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⚠️ Notice: This information collection may be referencing outdated material.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 SEC 1500 Form BD-N Initial Applications Form and Instruction
SEC 1500 Form BD-N formbd-n.pdf www.sec.gov/files/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: Unchanged

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	SEC 1500	Form BD-N	formbd-n.pdf	https://www.sec.gov/files/formbd-n.pdf	Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 2	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	Previously Approved
Annual Number of Responses for this IC	2	2
Annual IC Time Burden (Hours)	1	1
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.