Regulation AC

OMB 3235-0575

Regulation AC requires that any research report disseminated by a broker or dealer include certifications that the research report accurately reflects the analyst's personal views, and whether the analyst received compensation or other payments in connection with his or her specific recommendations or views. Broker-dealers would also be required to obtain analyst certifications and disclosures in connection with public appearances.

The latest form for Regulation AC expires 2022-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0575 2021-24429.pdf Supplementary Document
3235-0575.pdf Supplementary Document
DGL REVISED FINAL 2021 Final Reg AC Supporting Statement Oct. 29.pdf Supporting Statement A
Final SIFMA SEC Reg AC Paperwork Reduction Act filing response- SEC File no. 270-517 OMB Control No 3235-0575.pdf Supplementary Document
Final SIFMA SEC Reg AC Paperwork Reduction Act filing response- SEC File no. 270-517 OMB Control No 3235-0575.pdf Supporting Statement B
Regulation AC

202110-3235-018 Approved without change	Extension without change of a currently approved collection	2022-01-11
201804-3235-019 Approved with change	Extension without change of a currently approved collection	2018-10-09
201410-3235-016 Approved without change	Extension without change of a currently approved collection	2015-05-06
201112-3235-008 Approved with change	Extension without change of a currently approved collection	2012-03-05
200812-3235-009 Approved without change	Extension without change of a currently approved collection	2009-02-25
200603-3235-001 Approved without change	Extension without change of a currently approved collection	2006-03-08
200212-3235-016 Approved without change	New collection (Request for a new OMB Control Number)	2002-12-20