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Federal forms, ICRs, and supporting documents

OMB control number

Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules

OMB 3235-0434 · SEC.

OMB 3235-0434

Rule 17 CFR 240.15g-2, adopted Jul 12, 1992, and amended on July 13, 2005, requires broker-dealers to provide their customers with a risk disclosure document, as set forth in Schedule 15G, prior to their first non-exempt transaction in a "penny stock."

The latest form for Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules expires 2026-12-31 and is listed under ICR 202308-3235-014.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0434.pdf Supplementary Document
3235-0434.pdf Supplementary Document
2023 PRA Ext Rule 15g-2 Supporting Statement 9.7.23.pdfSupporting Statement A
3235-0434 30 Day Notice.pdf Supplementary Document
3235-0434 60 Day Notice.pdf Supplementary Document
15g-2(a) - Mailing documents Information collection
15g-2(d) Information collection
15g-2(c) Information collection
15g-2(a) - E-mailing documents Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202308-3235-014 Revision of a currently approved collection 2023-11-17 Approved without change
202007-3235-020 Extension without change of a currently approved collection 2020-11-09
201707-3235-004 Extension without change of a currently approved collection 2017-10-18 Approved without change
201404-3235-015 Extension without change of a currently approved collection 2014-10-08 Approved without change
201106-3235-013 Extension without change of a currently approved collection 2011-09-06 Approved without change
200804-3235-006 Revision of a currently approved collection 2008-08-27 Approved without change
200507-3235-004 Revision of a currently approved collection 2005-07-12 Approved without change
200506-3235-003 Extension without change of a currently approved collection 2005-06-09 Withdrawn and continue
200401-3235-013 Revision of a currently approved collection 2004-01-29 Comment filed on proposed rule and continue
200206-3235-004 Extension without change of a currently approved collection 2002-06-04 Approved without change
199906-3235-006 Extension without change of a currently approved collection 1999-06-22 Approved without change
199607-3235-002 Extension without change of a currently approved collection 1996-07-15 Approved without change
199307-3235-007 New collection (Request for a new OMB Control Number) 1993-07-07 Approved without change

OMB Details

15g-2(a) - Mailing documents

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight