Rule 8c-1, Hypothecation of customer's securities

OMB 3235-0514

OMB 3235-0514

Rule 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 2023-07-31 and can be found here.

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