OMB control number
Rule 15l-1 (Regulation BI- Best Interest)
OMB 3235-0762 · SEC.
OMB 3235-0762
Regulation BI established a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer.
The latest form for Rule 15l-1 (Regulation BI- Best Interest) expires 2026-06-30 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
3235-0762_30-Day Submission Notice.pdf.pdf
IC18 - Compliance Obligation Written Policies and Procedures (Large BDs) All Historical Document Collections
| Extension without change of a currently approved collection | 2026-05-11 | ||
|
Approved without change |
Extension without change of a currently approved collection | 2023-04-22 | |
|
Approved without change |
Reinstatement without change of a previously approved collection | 2022-11-15 | |
|
Approved with change |
New collection (Request for a new OMB Control Number) | 2019-08-09 | |
|
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2018-06-15 |
OMB Details
IC1 - Dually-registered BDs (Disclosure of Capacity)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight