OMB control number
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration)
OMB 3235-0012 · SEC.
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. In addition, the Commission uses the information disclosed by applicants in Form BD to develop a central information resource where members of the public may obtain relevant, up-to-date information about broker-dealers, municipal securities dealers, and government securities broker-dealers, and where the Commission, other regulators, and SROs may obtain information for investigatory purposes.
The latest form for Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) expires 2029-03-31 and can be found here.
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Form Form BD Uniform Application for Broker-Dealer Registration
20260123_3235-0012_2026-01307_91 FR 2978_30-Day Submission Notice.pdf.pdf
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
| Form Form BD | Uniform Application for Broker-Dealer Registration | www.sec.gov/pdf/formbd.pdf | Form and instruction |
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