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Federal forms, ICRs, and supporting documents

OMB control number

Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document

OMB 3235-0480 · SEC.

OMB 3235-0480

An options disclosure document ("ODD") contains information concerning standardized options and options trading. An options market must file the ODD with the Commission prior to furnishing the ODD to customers, and must file amendments to the ODD if the information becomes materially inaccurate or incomplete. In addition, Rule 9b-1 requires a broker-dealer to furnish to each customer, and keep current, an ODD, prior to accepting an order to purchase or sell an option on behalf of that customer.

The latest form for Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document expires 2027-05-31 and is listed under ICR 202402-3235-001.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0480.pdf Supplementary Document
3235-0480.pdf Supplementary Document
Supporting Statement _ Rule 9b-1 2024 DGL FINAL REVISED (002).pdfSupporting Statement A
3235-0480 60 Day Notice.pdf Supplementary Document
3235-0480 30 Day Notice.pdf Supplementary Document
Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document Information collection
Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202402-3235-001 Extension without change of a currently approved collection 2024-04-12 Approved without change
202101-3235-018 Extension without change of a currently approved collection 2021-05-17 Approved without change
201712-3235-007 Extension without change of a currently approved collection 2018-03-19 Approved without change
201410-3235-007 Extension without change of a currently approved collection 2015-01-15 Approved without change
201111-3235-021 Extension without change of a currently approved collection 2012-01-26 Approved without change
200812-3235-008 Extension without change of a currently approved collection 2009-01-26 Approved without change
200604-3235-010 Extension without change of a currently approved collection 2006-04-06 Approved without change
200303-3235-010 Extension without change of a currently approved collection 2003-03-20 Approved without change
199912-3235-002 Extension without change of a currently approved collection 1999-12-10 Approved without change
199612-3235-018 Existing collection in use without an OMB Control Number 1996-12-23 Approved without change

OMB Details

Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight