Rule 15b9-1 – Exemption for Certain Exchange Members

OMB 3235-0743

Latest Forms, Documents, and Supporting Material

Document Name
3235-0743 (Rule 15b9-1) Supporting Statement.pdf Supporting Statement A
Maintaining and Enforcing Written Policies and Procedures
Establishing Written Policies and Procedures
Dealer Policies and Procedures

All Historical Document Collections

202308-3235-022	Existing collection in use without an OMB Control Number	2023-09-07
202209-3235-013 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2022-09-18
201602-3235-003 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2016-02-23