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Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b6-1 and Form BDW

Securities and Exchange Commission [OMB Control No. 3235-0018] ( printed page 44938) Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of F...

Securities and Exchange Commission
  1. [OMB Control No. 3235-0018]
( printed page 44938)

Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (SEC or “Commission”) is submitting to the Office of Management and Budget (“OMB”) this request for extension of the proposed collection of information provided for in Rule 15b6-1 (17 CFR 240.15b6-1), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Registered broker-dealers use Form BDW (17 CFR 249.501a) to withdraw from registration with the Commission, the self-regulatory organizations, and the states. On average, the Commission estimates that it would take a broker-dealer approximately one hour to complete and file a Form BDW to withdraw from Commission registration as required by Rule 15b6-1. The Commission estimates that approximately 283 broker-dealers withdraw from Commission registration annually [1] and, therefore, file a Form BDW via the internet with the Central Registration Depository, a computer system operated by the Financial Industry Regulatory Authority, Inc. that maintains information regarding registered broker-dealers and their registered personnel. The 283 broker-dealers that withdraw from registration by filing Form BDW would incur an aggregate annual reporting burden of approximately 283 hours.[2]

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB Control Number.

The public may view and comment on this information collection request at: https://www.reginfo.gov/​public/​do/​PRAViewICR?​ref_​nbr=​202605-3235-005 or email comment to within 30 days of the day after publication of this notice, by August 17, 2026.

Dated: July 14, 2026.

Sherry R. Haywood,

Assistant Secretary.

Footnotes

1.  This estimate is based on Form BDW data collected over the past three years for fully registered broker-dealers. This estimate is based on the numbers of forms filed; therefore, the number may include multiple forms per broker-dealer if the broker-dealer's initial filing was incomplete. In fiscal year (from 10/1 through 9/30) 2023, 291 broker-dealers withdrew from registration. In fiscal year 2024, 304 broker-dealers withdrew from registration. In fiscal year 2025, 255 broker-dealers withdrew from registration. (291 + 304 + 255)/3 = 283 (rounded down from 283.33).

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2.  (283 × 1 hour) = 283 hours.

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[FR Doc. 2026-14414 Filed 7-16-26; 8:45 am]

BILLING CODE 8011-01-P

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91 FR 44938

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“Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b6-1 and Form BDW,” thefederalregister.org (July 17, 2026), https://thefederalregister.org/documents/2026-14414/agency-information-collection-activities-submission-for-omb-review-comment-request-extension-rule-15b6-1-and-form-bdw.