Information Collection Request

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

ICR 202306-3235-023 · OMB 3235-0012 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0012 can be found here:

Forms and Documents

Document Name	Status
Form Form BD Form BD/Rule 15b1-1. Application for registration as a broker- dealer. Form and Instruction	Modified
3235-0012-- 2023 Rule 15b1-1 revised Supporting Statement re ATS proposal.pdf Supporting Statement A	2023-07-07

IC Document Collections

IC ID	Document Title	Status
34042	Form BD/Rule 15b1-1. Application for registration as a broker- dealer. Form and Instruction	Modified
193354	Form BD/Rule 15b1-1. Application for registration as a broker- dealer (Amendments).	Modified

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0012
Type of Information Collection	Revision of a currently approved collection
Previous ICR Reference No	202306-3235-010
Agency Tracking No	TM-270-019
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31