OMB control number
Regulation S-AM: Limitations on Affilate Marketing
OMB 3235-0609 · SEC.
OMB 3235-0609
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 is listed under ICR 202511-3235-006.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20260130_3235-0609_2026-01888_91 FR 4153_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20260130_3235-0609_2026-01888_91 FR 4153_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20251128_3235-0609_2025-21392_90 FR 54814_60-Day Collection Notice.pdf | Supplementary Document |
| 20251128_3235-0609_2025-21392_90 FR 54814_60-Day Collection Notice.pdf | Supplementary Document |
| 2025 Regulation S-AM Supporting Statement.pdf | Supporting Statement A |
| 2025 Regulation S-AM Supporting Statement.pdf | Supporting Statement A |
 Regulation S-AM: Limitations on Affilate Marketing |
Information collection |
| Regulation S-AM |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202511-3235-006 | Revision of a currently approved collection | 2026-01-30 | ||
| 202208-3235-015 | Extension without change of a currently approved collection | 2022-10-31 | Approved without change | |
| 201909-3235-001 | Extension without change of a currently approved collection | 2019-12-16 | Approved without change | |
| 201609-3235-008 | Extension without change of a currently approved collection | 2017-03-10 | Approved without change | |
| 201308-3235-011 | Extension without change of a currently approved collection | 2013-12-23 | Approved without change | |
| 201010-3235-004 | Extension without change of a currently approved collection | 2011-01-03 | Approved without change | |
| 201008-3235-006 | Reinstatement without change of a previously approved collection | 2010-08-05 | Approved without change | |
| 200705-3235-001 | Revision of a currently approved collection | 2007-07-23 | Preapproved | |
| 200407-3235-016 | New collection (Request for a new OMB Control Number) | 2004-07-14 | Approved without change |
OMB Details
Regulation S-AM: Limitations on Affilate Marketing
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight