Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c1-5

Issuing agencies

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<title>Federal Register, Volume 91 Issue 189 (Thursday, October 1, 2026)</title>
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[Federal Register Volume 91, Number 189 (Thursday, October 1, 2026)]
[Notices]
[Pages 62584-62585]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-20145]


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SECURITIES AND EXCHANGE COMMISSION

[OMB Control No. 3235-0471]


Agency Information Collection Activities; Submission for OMB 
Review; Comment Request; Extension: Rule 15c1-5

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 extension of the 
proposed collection of information provided for in Rule 15c1-5 (17 CFR 
240.15c1-5) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Exchange Act'').
    Rule 15c1-5 states that any broker-dealer controlled by, 
controlling, or under common control with the issuer of a security that 
the broker-dealer is trying to sell to or buy from a customer must give 
the customer written notification disclosing the control relationship 
at or before completion of

[[Page 62585]]

the transaction. The Commission estimates that 162 respondents provide 
notifications annually under Rule 15c1-5 and that each respondent would 
spend approximately 10 hours per year complying with the requirements 
of the rule for a total burden of approximately 1,620 hours per year. 
There is no retention period requirement under Rule 15c1-5. This Rule 
does not involve the collection of confidential information.
    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=202607-3235-017">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-017</a> or email comment to 
<a href="/cdn-cgi/l/email-protection#672a253f49282a2549282e352649342224380302140c380801010e04021527080a054902081749000811"><span class="__cf_email__" data-cfemail="1a57584234555758345553485b34495f59457e7f697145757c7c73797f685a757778347f756a347d756c">[email&#160;protected]</span></a> within 30 days of the day 
after publication of this notice, by November 2, 2026.

    Dated: September 29, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-20145 Filed 9-30-26; 8:45 am]
BILLING CODE 8011-01-P


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