Form BD-N/Rule 15b11-1 Application for registration as a notice registered broker-dealer

OMB 3235-0556

Form BD-N is used to elicit basic identification information as well as information that allows the Commission staff to ensure that the futures commission merchants and introducing brokers meet the statutory conditions to register by notice pursuant to Section 15(b)(11) of the Exchange Act. Form BD-N is (a) used by futures commission merchants (FCMs), (b) used by introducing brokers (IBs)that are registered with the Commodity Futures Trading Commission to register with the SEC as broker-dealers for the purpose of effecting transactions in security futures products, and (c) used to amend a previously filed Form BD-N.

The latest form for Form BD-N/Rule 15b11-1 Application for registration as a notice registered broker-dealer expires 2023-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form SEC 1500 Amendments for Form BD-N Form and Instruction
Form SEC 1500 Form BD-N Initial Applications Form and Instruction
3235-0556.pdf Supplementary Document
3235-0556.pdf Supplementary Document
DGL REVISED 2022 Justification Rule 15b11-1 and Form BDN PRA renewal.pdf Supporting Statement A
3235-0556 60 Day Notice.pdf Supplementary Document
OMB 3235-0556 30 Day Notice.pdf Supplementary Document
Amendments for Form BD-N Form and Instruction
Form BD-N Initial Applications Form and Instruction

All Historical Document Collections

202211-3235-003 Approved without change	Extension without change of a currently approved collection	2023-01-17
201911-3235-010 Approved without change	Extension without change of a currently approved collection	2020-02-25
201610-3235-040 Approved without change	Extension without change of a currently approved collection	2017-04-12
201311-3235-012 Approved without change	Extension without change of a currently approved collection	2014-02-03
201009-3235-027 Approved without change	Extension without change of a currently approved collection	2010-12-20
200708-3235-022 Approved with change	Revision of a currently approved collection	2007-11-05
200408-3235-014 Approved without change	Extension without change of a currently approved collection	2004-08-31
200109-3235-001 Approved without change	New collection (Request for a new OMB Control Number)	2001-09-17

OMB Details

Amendments for Form BD-N

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 1500

BD-N

www.sec.gov/about/forms/formbd-n.pdf

Form and instruction

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