Information Collection Request
Form BD and Rule 15b1-1. Application for registration as a broker- dealer
ICR 202306-3235-010 · OMB 3235-0012 · Active
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0012 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Form Form BD Form BD/Rule 15b1-1. Application for registration as a broker- dealer. |
Form and Instruction | Unchanged | Repair queued |
| Form Form BD Form BD/Rule 15b1-1. Application for registration as a broker- dealer. |
Form and Instruction | Unchanged | Repair queued |
 3235-0012 Justification for Non-Substnative, Non-Material Change (2023).pdf |
Justification for No Material/Nonsubstantive Change | Uploaded 2023-06-09 | Available |
| 3235-0012 Justification for Non-Substnative, Non-Material Change (2023).pdf |
Justification for No Material/Nonsubstantive Change | Uploaded 2023-06-09 | Repair queued |
| DGL REVISED 2022 Rule 15b1-1 Justification.pdf |
Supporting Statement A | Uploaded 2022-04-20 | Available |
| DGL REVISED 2022 Rule 15b1-1 Justification.pdf |
Supporting Statement A | Uploaded 2022-04-20 | Repair queued |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 34042 |  Form BD/Rule 15b1-1. Application for registration as a broker- dealer. |
Form and Instruction | Unchanged | |
| 34042 | Form BD/Rule 15b1-1. Application for registration as a broker- dealer. |
Form and Instruction | Unchanged | |
| 193354 | Form BD/Rule 15b1-1. Application for registration as a broker- dealer (Amendments). |
Unchanged |
ICR Details
| Status | Active |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0012 |
| Type of Information Collection | No material or nonsubstantive change to a currently approved collection |
| Previous ICR Reference No | 202302-3235-015 |
| Agency Tracking No | TM-270-019 |
| Date Submitted to OIRA | 2023-06-10 |
| Requested Expiration Date | 1969-12-31 |