Form BD/Rule 15b1-1 Application for registration as a broker or

ICR 200201-3235-015

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 200201-3235-015
Historical Active 200106-3235-015
SEC
Form BD/Rule 15b1-1 Application for registration as a broker or
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 01/04/2002
Retrieve Notice of Action (NOA) 01/04/2002
  Inventory as of this Action Requested Previously Approved
08/31/2004 08/31/2004 08/31/2004
26,000 0 32,738
24,806 0 29,105
207,000 0 243,000

Form BD is used to apply to the Commission for registration as a broker-dealer, non-bank municipal securities dealer, non-bank government securities broker-dealer, and to amend such applications.

None
None


No

1
IC Title Form No. Form Name
Form BD/Rule 15b1-1 Application for registration as a broker or 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 26,000 32,738 0 -6,738 0 0
Annual Time Burden (Hours) 24,806 29,105 0 -4,299 0 0
Annual Cost Burden (Dollars) 207,000 243,000 0 -36,000 0 0
No
Yes

$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.
01/04/2002


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