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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0012 · SEC.

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. 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.

The latest form for Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) expires 2029-03-31 and is listed under ICR 202509-3235-012.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Form Form BD Uniform Application for Broker-Dealer RegistrationForm and Instruction
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 RegistrationForm and Instruction
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
20260123_3235-0012_2026-01307_91 FR 2978_30-Day Submission Notice.pdf.pdfSupplementary Document
20260123_3235-0012_2026-01307_91 FR 2978_30-Day Submission Notice.pdf.pdf Supplementary Document
20251120_3235-0012_2025-20360_90 FR 52477_60-Day Collection Notice.pdfSupplementary Document
20251120_3235-0012_2025-20360_90 FR 52477_60-Day Collection Notice.pdf Supplementary Document
2026 15b1-1 and Form BD Supporting Statement.pdfSupporting Statement A
2026 15b1-1 and Form BD Supporting Statement.pdfSupporting Statement A
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Form and Instruction

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202509-3235-012 Extension without change of a currently approved collection 2026-01-23 Approved without change
202306-3235-023 Revision of a currently approved collection 2023-07-07 Comment filed on proposed rule and continue
202306-3235-010 No material or nonsubstantive change to a currently approved collection 2023-06-10 Approved without change
202302-3235-015 Revision of a currently approved collection 2023-02-13 Approved without change
202204-3235-006 Reinstatement without change of a previously approved collection 2022-11-15 Approved without change
201905-3235-016 Extension without change of a currently approved collection 2019-08-07 Approved without change
201601-3235-003 Revision of a currently approved collection 2016-04-14 Approved without change
201302-3235-003 Extension without change of a currently approved collection 2013-04-23 Approved without change
201006-3235-011 Extension without change of a currently approved collection 2010-07-08 Approved without change
200705-3235-005 Revision of a currently approved collection 2007-07-23 Approved without change
200408-3235-010 Extension without change of a currently approved collection 2004-08-23 Approved without change
200201-3235-015 No material or nonsubstantive change to a currently approved collection 2002-01-04 Approved without change
200106-3235-015 Revision of a currently approved collection 2001-06-27 Approved without change
199905-3235-003 Revision of a currently approved collection 1999-05-11 Approved without change
199802-3235-001 Extension without change of a currently approved collection 1998-02-03 Approved without change
199712-3235-019 No material or nonsubstantive change to a currently approved collection 1997-12-29 Approved with change
199502-3235-001 Revision of a currently approved collection 1995-02-10 Approved without change
199208-3235-002 Revision of a currently approved collection 1992-08-26 Approved without change
199108-3235-016 Revision of a currently approved collection 1991-08-05 Approved without change
199103-3235-003 Revision of a currently approved collection 1991-03-15 Approved without change
198802-3235-002 Revision of a currently approved collection 1988-02-01 Approved without change
198704-3235-002 Revision of a currently approved collection 1987-04-23 Approved without change
198703-3235-001 Revision of a currently approved collection 1987-03-02 Approved without change
198504-3235-004 Revision of a currently approved collection 1985-04-30 Approved without change
198306-3235-006 Revision of a currently approved collection 1983-06-28 Approved without change
198106-3235-004 New collection (Request for a new OMB Control Number) 1981-06-16 Approved without change

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
FormNameElectronic accessType
Form Form BDUniform Application for Broker-Dealer Registrationwww.sec.gov/pdf/formbd.pdfForm and instruction

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