Rule 19b-5 and Form PILOT

ICR 201903-3235-035

OMB: 3235-0507

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2019-08-07
ICR Details
3235-0507 201903-3235-035
Active 201604-3235-015
SEC TM-270-448
Rule 19b-5 and Form PILOT
Extension without change of a currently approved collection   No
Regular
Approved without change 10/04/2019
Retrieve Notice of Action (NOA) 08/07/2019
In the future for this collection, please add the annual number of responses received in the burden table for response 12 (so that the public can easily track the number in ROCIS to the supporting statement; the 21 number is not currently listed anywhere in the supporting statement). Additionally, please update response 17 to add that authorization to omit the expiration date was approved in previous collections.
  Inventory as of this Action Requested Previously Approved
10/31/2022 36 Months From Approved 11/30/2019
21 0 21
126 0 126
10,670 0 10,047

Rule 19b-5 permits a self-regulatory organization (SRO) to operate a pilot trading system, under certain conditions, for two years without submitting a proposed rule change to the Commission pursuant to Rule 19b-4. SROs availing themselves of Rule 19b-5 are required to file a Form PILOT at least 20 days before com- mencing operation of the system. SROs are also required to file notices of material systems changes and quarterly activity re- ports on Form PILOT.

US Code: 17 USC 78s(b) Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  84 FR 25587 06/03/2019
84 FR 38086 08/05/2019
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 21 21 0 0 0 0
Annual Time Burden (Hours) 126 126 0 0 0 0
Annual Cost Burden (Dollars) 10,670 10,047 0 0 623 0
No
No

$7,683
No
    No
    No
No
No
No
Uncollected
Michou Hai Minh Nguyen 202 551-5634 nguyenm@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.
08/07/2019


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