OMB control number
Rule 15c6-2
OMB 3235-0810 · SEC.
OMB 3235-0810
The purpose of the collection under Rule 15c6-2 is to ensure that parties to institutional transactions – that is, transactions where a broker-dealer or its customer must engage with agents of the customer, including the customer’s investment adviser or its securities custodian, to prepare a transaction for settlement – can ensure the completion of the allocation, confirmation, and affirmation process as soon as technologically practicable and no later than the end of the day on trade date.
The latest form for Rule 15c6-2 expires 2026-12-31 and is listed under ICR 202307-3235-002.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-XXXX 15c6-2.pdf | Supplementary Document |
| 88 FR 47526.pdf | Supplementary Document |
| Rule 15c6-2 - Supporting Statement.pdf | Supporting Statement A |
 15c6-2 |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202307-3235-002 | New collection (Request for a new OMB Control Number) | 2023-09-28 | Approved without change |