Information Collection Request

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

ICR 202211-3235-003 · OMB 3235-0556 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0556 can be found here:

Forms and Documents

Document Name	Status
Form SEC 1500 Amendments for Form BD-N Form and Instruction	Modified
Form SEC 1500 Form BD-N Initial Applications Form and Instruction	Modified
3235-0556.pdf Supplementary Document	2023-01-17
3235-0556.pdf Supplementary Document	2023-01-17
DGL REVISED 2022 Justification Rule 15b11-1 and Form BDN PRA renewal.pdf Supporting Statement A	2022-11-02
3235-0556 60 Day Notice.pdf Supplementary Document	2020-02-25
OMB 3235-0556 30 Day Notice.pdf Supplementary Document	2020-02-25

IC Document Collections

IC ID	Document Title	Status
35386	Amendments for Form BD-N Form and Instruction	Modified
194765	Form BD-N Initial Applications Form and Instruction	Modified

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0556
Type of Information Collection	Extension without change of a currently approved collection
Previous ICR Reference No	201911-3235-010
Agency Tracking No	TM-270-498
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31