Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration)

Forms and Documents

Document Name	Status
Form Form BD Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction	Modified
Form Form BD Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction	Modified
20260123_3235-0012_2026-01307_91 FR 2978_30-Day Submission Notice.pdf.pdf Supplementary Document	2026-01-23
20251120_3235-0012_2025-20360_90 FR 52477_60-Day Collection Notice.pdf Supplementary Document	2025-11-20
2026 15b1-1 and Form BD Supporting Statement.pdf Supporting Statement A	2025-09-30

IC Document Collections

IC ID	Document Title	Status
34042	Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction	Modified
193354	Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0012	ICR Reference No: 202509-3235-012
Status: Received in OIRA	Previous ICR Reference No: 202306-3235-010
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/23/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2026
Responses	9,481	9,842
Time Burden (Hours)	3,547	3,703
Cost Burden (Dollars)	0	0

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Abstract: Form BD is used to apply to the Commission for registration as a broker-dealer, non-bank municipal securities dealer, or non-bank government securities broker-dealer, and to amend such applications. In addition, the Commission uses the information disclosed by applicants in Form BD to develop a central information resource where members of the public may obtain relevant, up-to-date information about broker-dealers, municipal securities dealers, and government securities broker-dealers, and where the Commission, other regulators, and SROs may obtain information for investigatory purposes.

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Authorizing Statute(s): US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 52477	11/20/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 2978	01/23/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration)	Form BD	Uniform Application for Broker-Dealer Registration
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration)	Form BD	Uniform Application for Broker-Dealer Registration

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	9,481	9,842	0	0	-361	0
Annual Time Burden (Hours)	3,547	3,703	0	0	-156	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The reduction in the annual time burden (from approximately 3,703 hours to approximately 3,547 hours) is due to a reduction in the number of registered broker-dealers (from 3,553 to 3,292), and a reduction in the estimated number of applications (from 175 to 160) and amendments (from 9,667 to 9,321) the staff expects broker-dealers to file on Form BD.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/23/2026

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