Form BD-N/Rule 15b11-1 Application for registration as a notice registered broker-dealer

ICR 201009-3235-027

OMB: 3235-0556

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Form and Instruction
New
Supporting Statement A
2010-12-20
IC Document Collections
ICR Details
3235-0556 201009-3235-027
Historical Active 200708-3235-022
SEC TM-270-498
Form BD-N/Rule 15b11-1 Application for registration as a notice registered broker-dealer
Extension without change of a currently approved collection   No
Regular
Approved without change 02/16/2011
Retrieve Notice of Action (NOA) 12/20/2010
  Inventory as of this Action Requested Previously Approved
02/28/2014 36 Months From Approved 02/28/2011
21 0 16
8 0 8
0 0 0

Form BD-N is used to elicit basic identification information as well as information that allows the Commission staff to ensure that the futures commission merchants and introducing brokers meet the statutory conditions to register by notice pursuant to Section 15(b)(11) of the Exchange Act. Form BD-N is (a) used by futures commission merchants (FCMs), (b) used by introducing brokers (IBs)that are registered with the Commodity Futures Trading Commission to register with the SEC as broker-dealers for the purpose of effecting transactions in security futures products, and (c) used to amend a previously filed Form BD-N.

US Code: 15 USC 78o(a), 78o(b), 78q(a), and 78 Name of Law: Sections 15(a), 15(b), 17(a) and 23(a) of the Securities Exchange Act of 1934.
  
None

Not associated with rulemaking

  75 FR 62612 10/12/2010
75 FR 79426 12/20/2010
No

2
IC Title Form No. Form Name
Amendments for Form BD-N BD-N BD-N
Form BD-N Initial Applications BD-N BD-N

  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 21 16 0 5 0 0
Annual Time Burden (Hours) 8 8 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
Yes
Miscellaneous Actions
Our staff estimates the total annual filing (reporting) burden associated with Rule 15b11-1 and Form BD-N has not changed. The number of initial applications filed on Form BD-N decreased, however, the number of amendments received on Form BD-N increased since the last OMB submission.

$0
No
No
No
No
No
Uncollected
Bonnie Gauch 202 942-0765

  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.
12/20/2010


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