Rule 15g-6; Account Statements for Penny Stock Customers

OMB 3235-0395

Rule 15g-6 (17 CFR 240.15g-6) requires brokers and dealers that sell penny stocks to their customers to provide monthly account statements containing information with regard to penny stocks held in customer accounts.

The latest form for Rule 15g-6; Account Statements for Penny Stock Customers expires 2022-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0395 60 Day Notice.pdf Supplementary Document
Submission 3235-0395 2021-22905.pdf Supplementary Document
DGL REVISED 2021 15g-6 Supporting Statement.pdf Supporting Statement A
EDGAR PIA 2016.pdf Supplementary Document
Rule 15g-6; Account Statements for Penny Stock Customers

All Historical Document Collections

202107-3235-012 Approved without change	Extension without change of a currently approved collection	2021-10-25
201803-3235-007 Approved without change	Extension without change of a currently approved collection	2018-09-07
201501-3235-005 Approved without change	Extension without change of a currently approved collection	2015-07-14
201203-3235-001 Approved without change	Extension without change of a currently approved collection	2012-05-21
200902-3235-009 Approved without change	Extension without change of a currently approved collection	2009-04-22
200604-3235-008 Approved with change	Extension without change of a currently approved collection	2006-04-06
200303-3235-013 Approved without change	Extension without change of a currently approved collection	2003-03-20
200003-3235-023 Approved without change	Extension without change of a currently approved collection	2000-03-10
199703-3235-029 Approved without change	Extension without change of a currently approved collection	1997-03-27
199403-3235-010 Approved without change	Extension without change of a currently approved collection	1994-03-29
199103-3235-007 Approved without change	New collection (Request for a new OMB Control Number)	1991-03-27