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

OMB 3235-0012

OMB 3235-0012

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.

The latest form for Form BD and Rule 15b1-1. Application for registration as a broker- dealer expires 2022-10-31 and can be found here.

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form BDUniform Application for Broker-Dealer Registrationwww.sec.gov/files/formbd.pdfForm and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.


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