Federal Register #2026-20052

SEC Rule 15c1-6 Information Collection Requirements Extension

This Securities and Exchange Commission notice concerns an extension of information collection requirements under Rule 15c1-6, not a purchase of goods or services. - Government agency: U.S. Securities and Exchange Commission (SEC); no sub-agency or office is identified. - Requirement: Certain broker-dealers participating in or financially interested in securities distributions must notify customers in writing at or before the transaction is completed. - Estimated annual reporting burden: Approximately 325 respondents, 10 hours per respondent, and 3,250 hours in total. - Procurement items, OEMs, vendors, quantities, and part numbers: None identified.

Description

The Securities and Exchange Commission is requesting an extension of the information collection requirements in Rule 15c1-6 under the Securities Exchange Act of 1934. The rule requires broker-dealers with a participation or financial interest in certain primary or secondary securities distributions to notify customers in writing no later than completion of the transaction. The SEC estimates approximately 325 respondents annually, with about 10 hours of reporting burden per respondent, or 3,250 hours in total per year. Public comments are requested by November 2, 2026.

View original listing