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

OMB 3235-0395

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.

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