RULE 15B1-1, ORIGINALLY ADPTED ON JUNE
6, 1936, PROVIDES THAT AN APPLICATION FOR REGISTRATION WITH THE
COMMISSION AS A BROKER OR DEALER MUST BE FILED ON FORM BD. THE
INFORMATION REQUIRED TO BE DISCLOSED ON FORM BD, ORIGINALLY ADOPTED
ON JUNE 6, 1936, IS NECESSARY FOR THE COMMISSION TO DETERMINE
WHETHER REGISTRATION AS A BROKER OR DEALER SHOULD BE GRANTED AND TO
FURNISH INFORMATION TO PUBLIC INVESTORS.
On behalf of this Federal agency, I certify that
the collection of information encompassed by this request complies
with 5 CFR 1320.9 and the related provisions of 5 CFR
1320.8(b)(3).
The following is a summary of the topics, regarding
the proposed collection of information, that the certification
covers:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a
benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control
number;
If you are unable to certify compliance with any of
these provisions, identify the item by leaving the box unchecked
and explain the reason in the Supporting Statement.