Information Collection

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

IC 34042 under ICR 202509-3235-012 · OMB 3235-0012.

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
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
Form 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 and Instruction
Form BD Uniform Application for Broker-Dealer Registration formbd.pdf www.sec.gov/pdf/formbd.pdf	Form and Instruction
Form BD Uniform Application for Broker-Dealer Registration formbd.pdf www.sec.gov/pdf/formbd.pdf	Form and Instruction

IC Title:

Agency IC Tracking Number:

270-19

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15b1-1

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	Form BD			https://www.sec.gov/pdf/formbd.pdf	Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: SEC-03 Division of Trading and Markets Records

FR Citation: 83 FR 6892

Number of Respondents: 160

Number of Respondents for Small Entity: 62

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	160	-15	175
Annual IC Time Burden (Hours)	440	-41	481
Annual IC Cost Burden (Dollars)	0	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.

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