Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)

ICR 201703-3235-005

OMB: 3235-0671

Federal Form Document

Forms and Documents
ICR Details
3235-0671 201703-3235-005
Historical Active 201611-3235-027
SEC TM-270-616
Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)
Revision of a currently approved collection   No
Regular
Approved without change 07/10/2017
Retrieve Notice of Action (NOA) 03/21/2017
  Inventory as of this Action Requested Previously Approved
07/31/2020 36 Months From Approved 03/31/2020
2,157 0 1,905
8,269,746 0 8,267,876
534,465,567 0 534,340,252

Rule 613 requires the national securities exchanges and national securities association ("Participants") to develop and file a national market system (“NMS”) plan to govern the creation, implementation and maintenance of a consolidated audit trail and central repository for the collection of information for NMS securities. The NMS plan must require each SRO and its respective members to provide certain data to the central repository in compliance with Rule 613. The Participants filed the NMS plan required by Rule 613 ("CAT NMS Plan"). This PRA contains the information collections required by Rule 613, as informed by the data that was provided in the CAT NMS Plan. The Commission approved the initial NMS plan in November 2016.

US Code: 15 USC 78k-1(a)(3)(B) Name of Law: Section 11A(a)(3)(B) - National market system for securities; securities information processors
  
None

Not associated with rulemaking

  81 FR 84696 11/23/2016
82 FR 14579 03/21/2017
No

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 2,157 1,905 0 252 0 0
Annual Time Burden (Hours) 8,269,746 8,267,876 0 1,870 0 0
Annual Cost Burden (Dollars) 534,465,567 534,340,252 0 125,315 0 0
Yes
Miscellaneous Actions
No
Changes in burden have occurred because the Commission added, as detailed in the supporting statement, new information collections of audits, reports, and assessments of various aspects of the CAT NMS Plan, which are necessary to achieving the CAT NMS Plan’s objective of improving the quality of the data available to regulators in four areas that affect the ultimate effectiveness of core regulatory efforts—completeness, accuracy, accessibility and timeliness, and background checks necessary to ensure that only authorized and qualified persons are using the CAT System.

$250,000
No
No
No
No
No
Uncollected
Leigh Duffy 202 551-5928 DuffyL@sec.gov

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
03/21/2017


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