OMB control number
Rule 15c2-1; Hypothecation of Customer Securities
OMB 3235-0485 ยท SEC.
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 2027-01-31 and is listed under ICR 202310-3235-009.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0485.pdf | Supplementary Document |
| 3235-0485.pdf | Supplementary Document |
| Supporting Statement _ Rule 15c2-1 2023 DGL REVISED.pdf | Supporting Statement A |
| 3235-0485 60 Day Notice.pdf | Supplementary Document |
| 3235-0485 30 Day Notice.pdf | Supplementary Document |
 Rule 15c2-1; Hypothecation of Customer Securities. |
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