OMB control number
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control
OMB 3235-0471 · SEC.
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 2026-12-31 and is listed under ICR 202307-3235-017.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0471.pdf | Supplementary Document |
| 3235-0471.pdf | Supplementary Document |
| Rule 15c1-5 Supporting Statement 2023 DGL REVISED.pdf | Supporting Statement A |
| 3235-0471 30 Day Notice.pdf | Supplementary Document |
| 3235-0471 60 day notice.pdf | Supplementary Document |
 Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control. |
Information collection |