Notice2026-11209
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c3-1
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
June 4, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 107 (Thursday, June 4, 2026)</title>
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[Federal Register Volume 91, Number 107 (Thursday, June 4, 2026)]
[Notices]
[Page 33832]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-11209]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0200]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Extension: Rule 15c3-1
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (SEC or ``Commission'') is submitting to the Office of
Management and Budget (``OMB'') this request for approval of extension
of the previously approved collection of information provided for in
Rule 15c3-1 (17 CFR 240.15c3-1) under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 15c3-1 requires brokers-dealers to have at all times
sufficient liquid assets to meet their current liabilities,
particularly the claims of customers. The rule facilitates the
monitoring of the financial condition of broker-dealers by the
Commission and the various self-regulatory organizations. It is
estimated that broker-dealer respondents registered with the Commission
and subject to the collection of information requirements of Rule 15c3-
1 incur an aggregate annual time burden of approximately 67,773 hours
to comply with this rule and an aggregate annual cost burden of
approximately $133,867.
Rule 15c3-1 does not contain record retention requirements.
Compliance with the rule is mandatory. The required records are
available only to the examination staff of the Commission and the self-
regulatory organization of which the broker-dealer is a member.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202603-3235-022">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202603-3235-022</a> or email comment to
<a href="/cdn-cgi/l/email-protection#e9a4abb1c7a6a4abc7a6a0bba8c7baacaab68d8c9a82b6868f8f808a8c9ba986848bc78c8699c78e869f"><span class="__cf_email__" data-cfemail="de939c86f091939cf091978c9ff08d9b9d81babbadb581b1b8b8b7bdbbac9eb1b3bcf0bbb1aef0b9b1a8">[email protected]</span></a> within 30 days of the day
after publication of this notice, by July 6, 2026.
Dated: June 2, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-11209 Filed 6-3-26; 8:45 am]
BILLING CODE 8011-01-P
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