Information Collection Request
Form BD-N/Rule 15b11-1 Application for registration as a notice registered broker-dealer
ICR 202211-3235-003 · OMB 3235-0556 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0556 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Form SEC 1500 Amendments for Form BD-N |
Form and Instruction | Modified | Available |
| Form SEC 1500 Form BD-N Initial Applications |
Form and Instruction | Modified | Missing upstream |
 3235-0556.pdf |
Supplementary Document | Uploaded 2023-01-17 | Missing upstream |
| 3235-0556.pdf |
Supplementary Document | Uploaded 2023-01-17 | Repair queued |
| DGL REVISED 2022 Justification Rule 15b11-1 and Form BDN PRA renewal.pdf |
Supporting Statement A | Uploaded 2022-11-02 | Repair queued |
| 3235-0556 60 Day Notice.pdf |
Supplementary Document | Uploaded 2020-02-25 | Repair queued |
| OMB 3235-0556 30 Day Notice.pdf |
Supplementary Document | Uploaded 2020-02-25 | Missing upstream |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 35386 |  Amendments for Form BD-N |
Form and Instruction | Modified | |
| 194765 | Form BD-N Initial Applications |
Form and Instruction | Modified |
ICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0556 |
| Type of Information Collection | Extension without change of a currently approved collection |
| Previous ICR Reference No | 201911-3235-010 |
| Agency Tracking No | TM-270-498 |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |