In the future
for this collection, please add the annual number of responses
received in the burden table for response 12 (so that the public
can easily track the number in ROCIS to the supporting statement;
the 11,137 number is not currently listed anywhere in the
supporting statement). Additionally, please update response 17 to
add that authorization to omit the expiration date was approved in
previous collections.
Inventory as of this Action
Requested
Previously Approved
10/31/2022
36 Months From Approved
10/31/2019
11,137
0
13,730
4,118
0
4,998
0
0
0
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 reduction in the
respondents’ annual time burden (from 4,999 hours to 4,118 hours)
is due to a reduction in the estimated number of applications and
amendments the staff expects broker-dealers to file on Form
BD.
$928,240
No
No
No
No
No
No
Uncollected
Jane Wetterau 202
551-4483
No
On behalf of this Federal agency, I certify that
the collection of information encompassed by this request complies
with 5 CFR 1320.9 and the related provisions of 5 CFR
1320.8(b)(3).
The following is a summary of the topics, regarding
the proposed collection of information, that the certification
covers:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a
benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control
number;
If you are unable to certify compliance with any of
these provisions, identify the item by leaving the box unchecked
and explain the reason in the Supporting Statement.