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

ICR 201911-3235-003

OMB: 3235-0671

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2020-06-23
Supplementary Document
2020-06-23
Supporting Statement A
2020-04-01
Supplementary Document
2017-03-16
Supplementary Document
2016-11-22
ICR Details
3235-0671 201911-3235-003
Active 201703-3235-005
SEC TM-270-616
Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)
Extension without change of a currently approved collection   No
Regular
Approved without change 07/28/2020
Retrieve Notice of Action (NOA) 06/23/2020
  Inventory as of this Action Requested Previously Approved
07/31/2023 36 Months From Approved 07/31/2020
1,839 0 2,157
7,572,610 0 8,269,746
463,322,593 0 534,465,567

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

  85 FR 21493 04/17/2020
85 FR 37721 06/23/2020
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 1,839 2,157 0 0 -318 0
Annual Time Burden (Hours) 7,572,610 8,269,746 0 0 -697,136 0
Annual Cost Burden (Dollars) 463,322,593 534,465,567 0 0 -71,142,974 0
No
No
The changes in burden have occurred because, while the number of Participants subject to the Plan has increased (from 21 Participants to 24 Participants), certain information collection requirements have been completed, the number of overall broker-dealers subject to the CAT reporting requirements has decreased (from 1,800 broker-dealers to 1,500 broker-dealers), and certain calculations have been adjusted.

$0
No
    No
    No
No
No
No
No
Andrew Bernstein 202 551-5565

  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.
06/23/2020


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