OMB control number
Regulation S-AM: Limitations on Affilate Marketing
OMB 3235-0609 · SEC.
Regulation S-AM implements the requirements of Section 624 of the Federal Credit Reporting Act (15 U.S.C. 1681s-3) with respect to investment advisers and transfer agents registered with the Securities and Exchange Commission (“SEC”), as well as brokers, dealers and investment companies (collectively, “Covered Persons”). Section 624 and Regulation S-AM limit a Covered Person’s use of certain consumer financial information received from an affiliate to solicit a consumer for marketing purposes, unless the consumer was given notice and a reasonable opportunity and a reasonable and simple method to opt out of such solicitations. This serves the SEC’s mission in protecting investors from abuse or fraud.
The latest form for Regulation S-AM: Limitations on Affilate Marketing expires 2029-04-30 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
20260130_3235-0609_2026-01888_91 FR 4153_30-Day Submission Notice.pdf.pdf
Regulation S-AM: Limitations on Affilate Marketing | Revision of a currently approved collection | 2026-01-30 | ||
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Approved without change |
Extension without change of a currently approved collection | 2022-10-31 | |
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Approved without change |
Extension without change of a currently approved collection | 2019-12-16 | |
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Approved without change |
Extension without change of a currently approved collection | 2017-03-10 | |
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Approved without change |
Extension without change of a currently approved collection | 2013-12-23 | |
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Approved without change |
Extension without change of a currently approved collection | 2011-01-03 | |
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Approved without change |
Reinstatement without change of a previously approved collection | 2010-08-05 | |
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Preapproved |
Revision of a currently approved collection | 2007-07-23 | |
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Approved without change |
New collection (Request for a new OMB Control Number) | 2004-07-14 |
Regulation S-AM: Limitations on Affilate Marketing
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight