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

OMB 3235-0556

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.

OMB Details

Amendments for Form BD-N

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 1500BD-Nwww.sec.gov/about/forms/formbd-n.pdfForm and instruction

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