Rule 15b6-1 and Form BDW

Forms and Documents

Document Name	Status
Form SEC 122 Rule 15b6-1 and Form BDW Form and Instruction	Modified
Form BDW Justification 2011.pdf Supporting Statement A	2011-07-18

IC Document Collections

IC ID	Document Title	Status
34051	Rule 15b6-1 and Form BDW Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0018	ICR Reference No: 201104-3235-022
Status: Historical Active	Previous ICR Reference No: 200805-3235-019
Agency/Subagency: SEC	Agency Tracking No: TM-270-17
Title: Rule 15b6-1 and Form BDW
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/19/2011
	Date Received in OIRA: 07/18/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2014	36 Months From Approved	10/31/2011
Responses	515	0	737
Time Burden (Hours)	515	0	184
Cost Burden (Dollars)	0	0	0

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Abstract: Form BDW is used by the Commission to determine whether it is in the public interest to permit a broker-dealer or a notice-registered broker-dealer to withdraw its registration. In accordance with the instructions contained on Form BDW, the Form must be filed electronically with the Central Registration Depository ("CRD") a computer system operated by the Financial Industry Regulatory Authority, Inc. ("FINRA"), which maintains information regarding broker-dealers and their registered personnel.

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Authorizing Statute(s): US Code: 15 USC 15 U.S.C. 77c, 77d, 77g, 77j Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77s, 77z-2, 77z-3, 77eee Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77ggg, 77nnn, 77sss, 77ttt Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78c, 78d, 78e, 78f Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78g, 78i, 78j, 78j-1, 78k Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78k-1, 78l, 78m, 78n, 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78p, 78q, 78s, 78u-5 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w, 78x, 78ll, 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a- 20, 80a-23, 80a-29 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-37, 80b-3, 80b-4 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80b-11, and 7201 et seq Name of Law: Securities Exchange Act of 1934
   US Code: 18 USC 1350 Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 25381	05/04/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 39447	07/06/2011
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 15b6-1 and Form BDW	SEC 122	Form BDW

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ICR Summary of Burden

	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	515	737	0	0	-222	0
Annual Time Burden (Hours)	515	184	0	0	331	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The annual time burden of 515 hours reflects a 331 hour increase over the current OMB annual inventory of 184 hours. This change incorporates three changes - a decrease in the number of respondents from 737 to 515, an elimination of the assessment of possible third party submissions, and an increase in estimated time frame necessary to review, complete and file the Form BDW.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 07/18/2011

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