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

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.

Latest Forms, Documents, and Supporting Material

Document Name
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.

All Historical Document Collections

202307-3235-017 Approved without change	Extension without change of a currently approved collection	2023-09-29
202008-3235-017 Approved without change	Extension without change of a currently approved collection	2021-01-14
201709-3235-004 Approved without change	Extension without change of a currently approved collection	2018-02-23
201409-3235-025 Approved without change	Extension without change of a currently approved collection	2015-01-16
201110-3235-021 Approved with change	Extension without change of a currently approved collection	2012-01-13
200811-3235-012 Approved without change	Extension without change of a currently approved collection	2009-01-28
200510-3235-001 Approved without change	Extension without change of a currently approved collection	2005-10-11
200208-3235-003 Approved without change	Extension without change of a currently approved collection	2002-08-09
199908-3235-008 Approved without change	Extension without change of a currently approved collection	1999-08-17
199609-3235-015 Approved without change	Existing collection in use without an OMB Control Number	1996-09-26