OMB control number
Rule 15g-2 (17 CFR 240.15g-2) (Penny stock disclosure document relating to the penny stock market)
OMB 3235-0434 · SEC.
OMB 3235-0434
Rule 15g-2(a) prohibits a broker-dealer from effecting a transaction in a penny stock for, or with, the account of a customer unless, prior to effecting the first such transaction, the broker-dealer: (1) provides to the customer a disclosure document containing, among other things, the information set forth in Schedule 15G; and (2) receives a signed and dated acknowledgement of receipt of that document by the customer. In addition, Rule 15g-2(b) prohibits a broker-dealer from effecting a transaction in any penny stock for, or with, the account of a customer less than two business days after the broker-dealer sends the customer the penny stock disclosure document.
The latest form for Rule 15g-2 (17 CFR 240.15g-2) (Penny stock disclosure document relating to the penny stock market) expires 2029-10-31 and is listed under ICR 202605-3235-025.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0434_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 3235-0434_60-Day Collection Notice.pdf | Supplementary Document |
| 2026 Rule 15g-2 Supporting Statement.pdf | Supporting Statement A |
 15g-2(a) - Mailing documents |
Information collection |
| 15g-2(d) - Third-Party Disclosure |
Information collection |
| 15g-2(c) - Recordkeeping |
Information collection |
| 15g-2(a) - E-mailing documents |
Information collection |
All Historical Document Collections
OMB Details
15g-2(a) - Mailing documents
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight