FORM BD IS USED TO APPLY TO THE
COMMISSION FOR REGISTRATION AS A BROKER-DEALER, NON-BANK MUNICIPAL
SECURITIES DEALER, OR NON-BANK GOVERNMENT SECURITIES BROKER-DEALER
AND TO AMEND SUCH APPLICATIONS. THE INFORMATION DISCLOSED ON FORM
BD IS NECESSARY FOR THE COMMISSION T DETERMINE WHETHER SUCH
APPLICATIONS SHOULD BE GRANTED AND TO MAINTAIN AN UP-TO-DATE
REGISTRY OF INFORMATION ON BROKER-DEALERS FOR USE BY THE
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.