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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Revision of a currently approved collection 2007-07-23
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Extension without change of a currently approved collection 2004-08-23
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No material or nonsubstantive change to a currently approved collection 2002-01-04
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Revision of a currently approved collection 2001-06-27
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Revision of a currently approved collection 1999-05-11
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Extension without change of a currently approved collection 1998-02-03
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No material or nonsubstantive change to a currently approved collection 1997-12-29
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Revision of a currently approved collection 1995-02-10
Approved without change
Revision of a currently approved collection 1992-08-26
Approved without change
Revision of a currently approved collection 1991-08-05
Approved without change
Revision of a currently approved collection 1991-03-15
Approved without change
Revision of a currently approved collection 1988-02-01
Approved without change
Revision of a currently approved collection 1987-04-23
Approved without change
Revision of a currently approved collection 1987-03-02
Approved without change
Revision of a currently approved collection 1985-04-30
Approved without change
Revision of a currently approved collection 1983-06-28
Approved without change
New collection (Request for a new OMB Control Number) 1981-06-16
OMB Details

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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