Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

OMB 3235-0472

OMB 3235-0472

Rule 15c1-6 states that any broker-dealer trying to sell to or buy from a customer a security in a primary or secondary distribution in which the broker-dealer is participating or is otherwise financially interested must give the customer written notification of the broker-dealer's participation or interest at or before completion of the transaction.

The latest form for Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution. expires 2024-01-31 and can be found here.

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