OMB control number
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.
OMB 3235-0472 · SEC.
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 2026-12-31 and is listed under ICR 202307-3235-018.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0472.pdf | Supplementary Document |
| 3235-0472.pdf | Supplementary Document |
| Rule 15c1-6 Supporting Statement 2023 DGL REVISED.pdf | Supporting Statement A |
| 3235-0472 30 Day Notice.pdf | Supplementary Document |
| 3235-0472 60 Day Notice.pdf | Supplementary Document |
 Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution. |
Information collection |