Information Collection

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

IC 193354 under ICR 202204-3235-006 · OMB 3235-0012.

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Information Collection (IC) Details

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IC Title:	Form BD/Rule 15b1-1. Application for registration as a broker- dealer (Amendments).	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:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 3,553	Number of Respondents for Small Entity: 1,405

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

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Change Due to Adjustment in Agency Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses for this IC	9,667	-1,287	10,954
Annual IC Time Burden (Hours)	3,222	-393	3,615
Annual IC Cost Burden (Dollars)	0	0	0

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