APPLICATION FOR BROKER-DEALER REGISTRATION -- 17 CFR 249.501

ICR 199712-3235-019

OMB: 3235-0012

Federal Form Document

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ICR Details
3235-0012 199712-3235-019
Historical Active 199502-3235-001
SEC
APPLICATION FOR BROKER-DEALER REGISTRATION -- 17 CFR 249.501
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved with change 12/29/1997
Retrieve Notice of Action (NOA) 12/29/1997
  Inventory as of this Action Requested Previously Approved
03/31/1998 03/31/1998 03/31/1998
15,000 0 12,000
7,260 0 7,260
0 0 0

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 REQUIRED TO BE DISCLOSED ON FORM BD IS NECESSARY FOR THE COMMISSION TO DETERMINE WHETHER SUCH APPLICATIONS SHOULD BE GRANTED AND TO MAINTAIN CURRENT INFORMATION ON BROKER-DEALERS FOR USE BY THE COMMISSION, SELF-REGULATORY ORGANIZATIONS, THE STATES, AND THE PUBLIC.

None
None


No

1
IC Title Form No. Form Name
APPLICATION FOR BROKER-DEALER REGISTRATION -- 17 CFR 249.501 BD-SEC-1490

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 15,000 12,000 0 3,000 0 0
Annual Time Burden (Hours) 7,260 7,260 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

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.
12/29/1997


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