Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-1

---
identifier: "/us/fr/2026-06236"
source: "fr"
legal_status: "authoritative_unofficial"
title: "Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-1"
title_number: 0
title_name: "Federal Register"
section_number: "2026-06236"
section_name: "Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-1"
positive_law: false
currency: "2026-04-01"
last_updated: "2026-04-01"
format_version: "1.1.0"
generator: "[email protected]"
agency: "Securities and Exchange Commission"
document_number: "2026-06236"
document_type: "notice"
fr_citation: "91 FR 16252"
fr_volume: 91
publication_date: "2026-04-01"
agencies:
  - "Securities and Exchange Commission"
docket_ids:
  - "OMB Control No. 3235-0200"
---


#  Agency Information Collection Activities; Proposed Collection; 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.* ) (“PRA”), the Securities and Exchange Commission (“Commission”) is soliciting comments on the existing 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.* ). The Commission plans to submit this existing collection of information to the Office of Management and Budget (“OMB”) for extension and approval.

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.

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.

*Written comments are invited on:* (a) whether this proposed collection of information is necessary for the proper performance of the functions of the SEC, including whether the information will have practical utility; (b) the accuracy of the SEC's estimate of the burden imposed by the proposed collection of information, including the validity of the methodology and the assumptions used; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated, electronic collection techniques or other forms of information technology.

Please direct your written comment to Austin Gerig, Director/Chief Data Officer, Securities and Exchange Commission, c/o Tanya Ruttenberg, 100 F Street NE, Washington, DC 20549 and send it by email to *[email protected]* within 60 days of publication of this notice, by June 1, 2026.

Dated: March 27, 2026.

Sherry R. Haywood,

Assistant Secretary.