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Small Non-OATS-Reporting Broker-Dealers
Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)
OMB: 3235-0671
IC ID: 222887
OMB.report
SEC
OMB 3235-0671
ICR 201703-3235-005
IC 222887
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0671 can be found here:
2023-07-25 - Extension without change of a currently approved collection
2020-06-23 - Extension without change of a currently approved collection
Documents and Forms
Document Name
Document Type
no available documents/forms check other ICs listed under this ICR
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
Small Non-OATS-Reporting Broker-Dealers
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Unchanged
Obligation to Respond:
Mandatory
CFR Citation:
17 CFR 242.613
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Federal Enterprise Architecture Business Reference Module
Line of Business:
Economic Development
Subfunction:
Financial Sector Oversight
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
823
Number of Respondents for Small Entity:
823
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
100 %
Approved
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
823
0
0
0
0
823
Annual IC Time Burden (Hours)
2,098,650
0
0
0
0
2,098,650
Annual IC Cost Burden (Dollars)
136,752,297
0
0
0
0
136,752,297
Documents for IC
Title
Document
Date Uploaded
No associated records found
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.