Transaction Fee Pilot for NMS Stocks

ICR 201709-3235-015

OMB: 3235-0761

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2018-03-22
ICR Details
3235-0761 201709-3235-015
Historical Inactive
SEC TM-270-772
Transaction Fee Pilot for NMS Stocks
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 05/03/2018
Retrieve Notice of Action (NOA) 03/26/2018
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
0 0 0
0 0 0
0 0 0

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
  
None

3235-AM04 Proposed rulemaking 83 FR 13008 03/26/2018

No

3
IC Title Form No. Form Name
Exchange Transaction Fee Summaries
Pilot Securities Exchange Lists and Pilot Securities Change Lists
Order Routing Data

Yes
Changing Regulations
No
This is a new information collection.

No
    No
    No
No
No
No
Uncollected
Erika Berg 202 551-5925

  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.
03/26/2018


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