Form BD and Rule 15b1-1. Application for registration as a broker- dealer

ICR 201905-3235-016

OMB: 3235-0012

Federal Form Document

Forms and Documents
ICR Details
3235-0012 201905-3235-016
Active 201601-3235-003
SEC TM-270-019
Form BD and Rule 15b1-1. Application for registration as a broker- dealer
Extension without change of a currently approved collection   No
Regular
Approved without change 10/04/2019
Retrieve Notice of Action (NOA) 08/07/2019
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.

US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  84 FR 25596 06/03/2019
84 FR 38086 08/05/2019
No

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 11,137 13,730 0 0 -2,593 0
Annual Time Burden (Hours) 4,118 4,998 0 0 -880 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
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.
08/07/2019


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