OMB control number
Rule 8c-1, Hypothecation of customer's securities
OMB 3235-0514 ยท SEC.
OMB 3235-0514
Rule 8c-1, 17 CFR 240.8c-1, prohibits the commingling under the same lien of securities of customers (a) with securities of other customers without their written consent and (b) with the broker-dealer's proprietary securities. The rule also prohibits a broker-dealer from hypothecating customers' securities for a sum in excess of the customer aggregate indebtedness to the broker-dealer.
The latest form for Rule 8c-1, Hypothecation of customer's securities expires 2029-08-31 and is listed under ICR 202603-3235-023.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0514_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 3235-0514_60-Day Collection Notice.pdf | Supplementary Document |
| 3235-0514 Supporting Statement (2026 Extension).pdf | Supporting Statement A |
 Rule 8c-1, Hypothecation of customer's securities |
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