Application for Registration as Broker or Dealer -- Form BD/Rule 15b1-1

ICR 199802-3235-001

OMB: 3235-0012

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0012 199802-3235-001
Historical Active 199712-3235-019
SEC
Application for Registration as Broker or Dealer -- Form BD/Rule 15b1-1
Extension without change of a currently approved collection   No
Regular
Approved without change 03/30/1998
Retrieve Notice of Action (NOA) 02/03/1998
  Inventory as of this Action Requested Previously Approved
03/31/2001 03/31/2001 03/31/1998
15,846 0 15,000
7,276 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.

None
None


No

1
IC Title Form No. Form Name
Application for Registration as Broker or Dealer -- Form BD/Rule 15b1-1 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 15,846 15,000 0 0 846 0
Annual Time Burden (Hours) 7,276 7,260 0 0 16 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.
02/03/1998


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