Information Collection

Rule 15b6-1 and Form BDW

IC 34051 under ICR 202306-3235-011 · OMB 3235-0018.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0018 can be found here:

Documents and Forms

IC Title:

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15b6-1 17 CFR 249.501a

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 122	Form BDW	Form BDW (2023).pdf		Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: SEC 49-Broker-Dealer Records

FR Citation: 64 FR 69051

Number of Respondents: 317

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Approved	Previously Approved
Annual Number of Responses for this IC	317	317
Annual IC Time Burden (Hours)	317	317
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

table that charts IC Documents
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.