Information Collection

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

IC 34042 under ICR 202302-3235-015 · 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⚠️ Notice: This information collection may be referencing outdated material.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

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 formbd.pdf www.sec.gov/files/formbd.pdf Form and Instruction
Form BD Uniform Application for Broker-Dealer Registration formbd.pdf www.sec.gov/files/formbd.pdf Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

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: Unchanged

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
Form and Instruction	Form BD	Uniform Application for Broker-Dealer Registration	formbd.pdf	https://www.sec.gov/files/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: 175	Number of Respondents for Small Entity: 47

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

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Previously Approved
Annual Number of Responses for this IC	175	175
Annual IC Time Burden (Hours)	481	481
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.