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

ICR 201601-3235-003

OMB: 3235-0012

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2016-04-14
ICR Details
3235-0012 201601-3235-003
Historical Active 201302-3235-003
SEC TM-270-019
Form BD and Rule 15b1-1. Application for registration as a broker- dealer
Revision of a currently approved collection   No
Regular
Approved without change 08/09/2016
Retrieve Notice of Action (NOA) 04/14/2016
  Inventory as of this Action Requested Previously Approved
08/31/2019 36 Months From Approved 08/31/2016
13,730 0 15,890
4,998 0 5,941
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.

US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  81 FR 6552 02/09/2016
81 FR 21550 04/14/2016
No

  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 13,730 15,890 0 0 -2,160 0
Annual Time Burden (Hours) 4,998 5,941 0 0 -943 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The reduction in the respondents’ annual time burden (from 5,941 hours to 4,999 hours) is due to a reduction in the estimated number of applications and amendments the staff expects broker-dealers to file on Form BD.

$1,044,375
No
No
No
No
No
Uncollected
Brandon Hill 202 551-3268

  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.
04/14/2016


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