Rule 15g-5; Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions

OMB 3235-0394

OMB 3235-0394

Rule 15g-5 (17 CFR 240.15g-5) requires brokers and dealers effecting transactions for or with customer in penny stocks to disclose the amount of compensation to be received by the sales agent in connection with the transaction.

The latest form for Rule 15g-5; Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions expires 2022-02-28 and can be found here.


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