Information Collection

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

IC 34042 under ICR 201302-3235-003 · OMB 3235-0012.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0012 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form Form BD Form BD/Rule 15b1-1. Application for registration as a broker- dealer.	Form and Instruction
Form BD Uniform Application for Broker-Dealer Registration form bd.pdf www.sec.gov/about/forms/formbd.pdf	Form and Instruction

IC Title:

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

Agency IC Tracking Number:

270-19

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15b1-1

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form BD	Uniform Application for Broker-Dealer Registration	form bd.pdf	http://www.sec.gov/about/forms/formbd.pdf	No		Paper Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 288

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	288	-53	341
Annual IC Time Burden (Hours)	792	-146	938
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
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.