# Federal Register #2026-20145

SEC Request to Extend Rule 15c1-5 Information Collection Approval

**Buyer:** Securities and Exchange Commission
**Posted:** October 01, 2026
**Identifier:** 2026-20145

The Securities and Exchange Commission (SEC) is seeking continued approval for the information collection required by Rule 15c1-5.
- **Government entities:** The SEC is requesting an extension of approval from the Office of Management and Budget (OMB).
- **Rule requirement:** Broker-dealers affiliated with a security’s issuer must provide customers written disclosure of that control relationship at or before completing a transaction.
- **Estimated burden:** 162 respondents annually, about 10 hours per respondent, and approximately 1,620 total hours per year.
- **Public input:** The notice invites comments on the information collection.
- **Procurement items:** No products, services, vendors, or OEMs are requested.

### Description

The Securities and Exchange Commission is submitting a request to the Office of Management and Budget to extend the information collection provided for in Rule 15c1-5. The rule requires broker-dealers controlled by, controlling, or under common control with a security’s issuer to disclose that control relationship to customers in writing at or before the transaction is completed. The Commission estimates 162 respondents annually, each spending approximately 10 hours, for a total annual burden of approximately 1,620 hours. Comments are requested by November 2, 2026.

[View original listing](https://www.federalregister.gov/documents/2026/10/01/2026-20145/agency-information-collection-activities-submission-for-omb-review-comment-request-extension-rule)