Rule 15b6-1 and Form BDW

Documents and Forms

Document Name Document Type
Form SEC 122 Rule 15b6-1 and Form BDW Form and Instruction
SEC 122 Form BDW Form BDW (2023).pdf Form and Instruction
SEC 122 Form BDW Form BDW (2023).pdf Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Rule 15b6-1 and Form BDW	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 249.501a 17 CFR 240.15b6-1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 122	Form BDW	Form BDW (2023).pdf		Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC 49-Broker-Dealer Records	FR Citation: 64 FR 69051

Number of Respondents: 411	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	411	94	317
Annual IC Time Burden (Hours)	411	94	317
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.