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

ICR 201911-3235-010

OMB: 3235-0556

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Form and Instruction
Unchanged
Supplementary Document
2020-02-25
Supplementary Document
2020-02-25
Supporting Statement A
2019-11-26
IC Document Collections
ICR Details
3235-0556 201911-3235-010
Active 201610-3235-040
SEC TM-270-498
Form BD-N/Rule 15b11-1 Application for registration as a notice registered broker-dealer
Extension without change of a currently approved collection   No
Regular
Approved without change 04/08/2020
Retrieve Notice of Action (NOA) 02/25/2020
  Inventory as of this Action Requested Previously Approved
04/30/2023 36 Months From Approved 06/30/2020
5 0 11
2 0 3
0 0 0

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.

US Code: 15 USC 78o(a), 78o(b), 78q(a), and 78 Name of Law: Sections 15(a), 15(b), 17(a) and 23(a) of the Securities Exchange Act of 1934.
  
None

Not associated with rulemaking

  84 FR 67763 12/11/2019
85 FR 10201 02/21/2020
No

2
IC Title Form No. Form Name
Amendments for Form BD-N SEC 1500 BD-N
Form BD-N Initial Applications SEC 1500 Form BD-N

  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 5 11 0 0 -6 0
Annual Time Burden (Hours) 2 3 0 0 -1 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The total annual reporting burden associated with Rule 15b11-1 and Form BD-N decreased by approximately one hour due to the estimated number of amendments filed on Form BD-N falling from 9 to 3.

$0
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.
02/25/2020


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