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Application For Broker-dealer Registration -- 17 Cfr 249.501
APPLICATION FOR BROKER-DEALER REGISTRATION -- 17 CFR 249.501
OMB: 3235-0012
IC ID: 177193
OMB.report
SEC
OMB 3235-0012
ICR 199712-3235-019
IC 177193
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0012 can be found here:
2023-07-07 - Revision of a currently approved collection
2023-06-10 - No material or nonsubstantive change to a currently approved collection
Documents and Forms
Document Name
Document Type
no available documents/forms check other ICs listed under this ICR
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
APPLICATION FOR BROKER-DEALER REGISTRATION -- 17 CFR 249.501
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Migrated
Obligation to Respond:
Mandatory
CFR Citation:
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Form
BD-SEC-1490
No
No
Federal Enterprise Architecture Business Reference Module
Line of Business:
Subfunction:
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
15,000
Number of Respondents for Small Entity:
0
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
0 %
Approved
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
15,000
0
3,000
0
0
12,000
Annual IC Time Burden (Hours)
7,260
0
0
0
0
7,260
Annual IC Cost Burden (Dollars)
0
0
0
0
0
0
Documents for IC
Title
Document
Date Uploaded
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.