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

ICR 202306-3235-010

OMB: 3235-0012

Federal Form Document

⚠️ Notice: This information collection may be outdated.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

2023-07-07 - Revision of a currently approved collection

Forms and Documents

Document Name	Status
Form Form BD Form BD/Rule 15b1-1. Application for registration as a broker- dealer. Form and Instruction	Unchanged
Form Form BD Form BD/Rule 15b1-1. Application for registration as a broker- dealer. Form and Instruction	Unchanged
3235-0012 Justification for Non-Substnative, Non-Material Change (2023).pdf Justification for No Material/Nonsubstantive Change	2023-06-09
3235-0012 Justification for Non-Substnative, Non-Material Change (2023).pdf Justification for No Material/Nonsubstantive Change	2023-06-09
DGL REVISED 2022 Rule 15b1-1 Justification.pdf Supporting Statement A	2022-04-20
DGL REVISED 2022 Rule 15b1-1 Justification.pdf Supporting Statement A	2022-04-20

IC Document Collections

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

ICR Details

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