OMB control number

Rule 15b11-1 and Form BD-N: Application for Registration as a Notice Registered Broker-Dealer

OMB 3235-0556 · SEC.

OMB 3235-0556

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

The latest form for Rule 15b11-1 and Form BD-N: Application for Registration as a Notice Registered Broker-Dealer expires 2029-05-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form SEC 1500 BD-N Form and Instruction
Form SEC 1500 BD-N Form and Instruction
Form SEC 1500 Form BD-N Form and Instruction
Form SEC 1500 Form BD-N Form and Instruction
20260212_3235-0556_2026-02864_91 FR 6720_30-Day Submission Notice.pdf.pdf Supplementary Document
20260212_3235-0556_2026-02864_91 FR 6720_30-Day Submission Notice.pdf.pdf Supplementary Document
20251210_3235-0556_2025-22404_90 FR 57236_60-Day Collection Notice.pdf Supplementary Document
20251210_3235-0556_2025-22404_90 FR 57236_60-Day Collection Notice.pdf Supplementary Document
2025 Rule 15b11-1 and Form BD-N Supporting Statement.pdf Supporting Statement A
2025 Rule 15b11-1 and Form BD-N Supporting Statement.pdf Supporting Statement A
Amendments to Form BD-N Form and Instruction
Amendments to Form BD-N Form and Instruction
Amendments to Form BD-N Form and Instruction
Form BD-N Initial Applications Form and Instruction
Form BD-N Initial Applications Form and Instruction
Form BD-N Initial Applications Form and Instruction

All Historical Document Collections

202512-3235-005	Revision of a currently approved collection	2026-02-12
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 to 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.