Form BD-N Initial Applications

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0556 can be found here:

Documents and Forms

Document Name Document Type
Form BD-N Form BD-N Initial Applications Form and Instruction
BD-N BD-N formbd-n.pdf www.sec.gov/about/forms/formbd-n.pdf Form and Instruction

Information Collection (IC) Details

IC Title:	Form BD-N Initial Applications	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15b11-1 17 CFR 249.501b

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	BD-N	BD-N	formbd-n.pdf	http://www.sec.gov/about/forms/formbd-n.pdf	Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: Registration Statements Filed Pursuant to Provisions of the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940	FR Citation: 41 FR 4550

Number of Respondents: 10	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	10	10
Annual IC Time Burden (Hours)	5	5
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.