Rule 15c2-1; Hypothecation of Customer Securities

OMB 3235-0485

OMB 3235-0485

Rule 15c2-1 prohibits the commingling under the same lien of securities of margin customers (a) with other customers without their written consent and (b) with the broker or dealer. The rule also prohibits the rehypothecation of customer margin securities for a sum in excess of the customers' aggregate indebtedness.

The latest form for Rule 15c2-1; Hypothecation of Customer Securities expires 2021-05-31 and can be found here.

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