Federal Register #OMB Control No. 3235-0472

SEC Requests Public Comment on Extension of Rule 15c1-6 Information Collection

This opportunity is a regulatory notice from the Securities and Exchange Commission (SEC) seeking public comment on the extension of information collection under Rule 15c1-6: - Government Buyer: - Securities and Exchange Commission (SEC) - Purpose: - Request for public input on the continued collection of information required by Rule 15c1-6 under the Securities Exchange Act of 1934 - Rule 15c1-6 requires broker-dealers to provide written notification to customers about the broker-dealer's participation or financial interest in certain securities transactions - No procurement of products or services is involved - No OEMs, vendors, or specific products are mentioned - The notice focuses on regulatory compliance and the effectiveness of current information collection practices - Unique Requirements: - Seeks feedback on the necessity, accuracy, and potential improvements to the information collection process - Part of the SEC's ongoing efforts to ensure regulatory compliance and transparency

Description

The Securities and Exchange Commission (SEC) is proposing to extend the approval of the collection of information related to Rule 15c1-6 under the Securities Exchange Act of 1934. This rule requires broker-dealers to notify customers in writing about their participation or financial interest in certain securities transactions. The SEC invites public comments on the necessity, accuracy, and ways to enhance this information collection. The notice is part of the SEC's ongoing regulatory process to ensure compliance and gather public input.

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