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

OMB 3235-0012

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 latest form for Form BD and Rule 15b1-1. Application for registration as a broker- dealer expires 2022-10-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form Form BD Form BD/Rule 15b1-1. Application for registration as a broker- dealer. Form and Instruction
3235-0012-- 2023 Rule 15b1-1 revised Supporting Statement re ATS proposal.pdf Supporting Statement A
Form BD/Rule 15b1-1. Application for registration as a broker- dealer. Form and Instruction
Form BD/Rule 15b1-1. Application for registration as a broker- dealer (Amendments).

All Historical Document Collections

202306-3235-023 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-07-07
202306-3235-010 Approved without change	No material or nonsubstantive change to a currently approved collection	2023-06-10
202302-3235-015 Approved without change	Revision of a currently approved collection	2023-02-13
202204-3235-006 Approved without change	Reinstatement without change of a previously approved collection	2022-11-15
201905-3235-016 Approved without change	Extension without change of a currently approved collection	2019-08-07
201601-3235-003 Approved without change	Revision of a currently approved collection	2016-04-14
201302-3235-003 Approved without change	Extension without change of a currently approved collection	2013-04-23
201006-3235-011 Approved without change	Extension without change of a currently approved collection	2010-07-08
200705-3235-005 Approved without change	Revision of a currently approved collection	2007-07-23
200408-3235-010 Approved without change	Extension without change of a currently approved collection	2004-08-23
200201-3235-015 Approved without change	No material or nonsubstantive change to a currently approved collection	2002-01-04
200106-3235-015 Approved without change	Revision of a currently approved collection	2001-06-27
199905-3235-003 Approved without change	Revision of a currently approved collection	1999-05-11
199802-3235-001 Approved without change	Extension without change of a currently approved collection	1998-02-03
199712-3235-019 Approved with change	No material or nonsubstantive change to a currently approved collection	1997-12-29
199502-3235-001 Approved without change	Revision of a currently approved collection	1995-02-10
199208-3235-002 Approved without change	Revision of a currently approved collection	1992-08-26
199108-3235-016 Approved without change	Revision of a currently approved collection	1991-08-05
199103-3235-003 Approved without change	Revision of a currently approved collection	1991-03-15
198802-3235-002 Approved without change	Revision of a currently approved collection	1988-02-01
198704-3235-002 Approved without change	Revision of a currently approved collection	1987-04-23
198703-3235-001 Approved without change	Revision of a currently approved collection	1987-03-02
198504-3235-004 Approved without change	Revision of a currently approved collection	1985-04-30
198306-3235-006 Approved without change	Revision of a currently approved collection	1983-06-28
198106-3235-004 Approved without change	New collection (Request for a new OMB Control Number)	1981-06-16

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form BD

Uniform Application for Broker-Dealer Registration

www.sec.gov/files/formbd.pdf

Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.