SEC Extends Information Collection for Broker-Dealer Disclosure Rule
Broker-dealers and their customers are subject to the extended notice requirement, with comments due by Nov. 2, 2026.
The Securities and Exchange Commission has submitted to the Office of Management and Budget a request to extend the proposed collection of information for Rule 15c1-6 (17 CFR 240.15c1-6) under the Securities Exchange Act of 1934. The submission references OMB Control No. 3235-0472.
Rule 15c1-6 requires any broker-dealer that is participating in or otherwise financially interested in a primary or secondary securities distribution to provide the customer with written notification of the broker-dealer's participation or interest at or before the transaction is completed.
The Commission estimates that approximately 325 respondents will collect information annually under the rule, with each respondent spending about 10 hours per year, resulting in an aggregate burden of roughly 3,250 hours.
The public may view and comment on the information collection request at https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-016 or by email to the protected address. Comments must be received within 30 days of the notice's publication, by November 2, 2026.
The notice is dated September 28, 2026, and is signed by Sherry R. Haywood, Assistant Secretary.
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