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View ICR - OIRA Conclusion

OMB Control No: 3235-0012	ICR Reference No: 202509-3235-012
Status: Active	Previous ICR Reference No: 202306-3235-010
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration)
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: 03/13/2026
	Date Received in OIRA: 01/23/2026
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2029	36 Months From Approved	04/30/2026
Responses	9,481	0	9,842
Time Burden (Hours)	3,547	0	3,703
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	9,481	9,842	-361
Annual Time Burden (Hours)	3,547	3,703	-156
Annual Cost Burden (Dollars)	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 reduction in the annual time burden (from approximately 3,703 hours to approximately 3,547 hours) is due to a reduction in the number of registered broker-dealers (from 3,553 to 3,292), and a reduction in the estimated number of applications (from 175 to 160) and amendments (from 9,667 to 9,321) the staff expects broker-dealers to file on Form BD.

Annual Cost to Federal Government:

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. Yes

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? No

Agency Contact: Jane Wetterau 202 551-4483

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