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
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.