OMB files this
comment in accordance with 5 CFR 1320.11(c). This OMB action is not
an approval to conduct or sponsor an information collection under
the Paperwork Reduction Act of 1995. This action has no effect on
any current approvals. If OMB has assigned this ICR a new OMB
Control Number, the OMB Control Number will not appear in the
active inventory. For future submissions of this information
collection, reference the OMB Control Number provided. Resubmit
when proposed rule is finalized.
Inventory as of this Action
Requested
Previously Approved
36 Months From Approved
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The Division is recommending that the
Securities & Exchange Commission propose rules to institute a
pilot to assess the effect that exchange transaction fees may have
on order routing behavior, execution quality, and market
quality.
US Code:
15
USC 78q Name of Law: Records and reports
US Code: 15
USC 78a Name of Law: Securities Exchange Act of 1934
US Code: 15
USC 78k-1 Name of Law: National market system for securities;
securities information processors
US Code: 15
USC 78w(a) Name of Law: Rules, regulations, and orders; annual
reports
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.