Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control

OMB 3235-0471

OMB 3235-0471

Rule 15c1-5 states that any broker-dealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction.

The latest form for Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control expires 2021-04-30 and can be found here.

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