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. Pursuant to
5 CFR 1320.11(c), OMB files this comment on this information
collection request (ICR). The agency shall examine public comment
in response to the NPRM and will describe in the supporting
statement of its next collection any public comments received
regarding the collection as well as why (or why it did not)
incorporate the commenter’s recommendation. The next submission to
OMB must include the draft final rule.
Inventory as of this Action
Requested
Previously Approved
36 Months From Approved
0
0
0
0
0
0
0
0
0
The Securities & Exchange
Commission is proposing amendments to the national market system
plan governing the consolidated audit trail in order to increase
transparency and accountability.
US Code:
15
USC 78c Name of Law: Definitions and application
US Code: 15
USC 78e Name of Law: Transactions on unregistered exchanges
US Code: 15
USC 78f Name of Law: National securities exchanges
US Code: 15
USC 78b Name of Law: Necessity for regulation
US Code: 15
USC 78k-1 Name of Law: National market system for securities;
securities information processors
US Code: 15
USC 78o Name of Law: Registration and regulation of brokers and
dealers
US Code: 15
USC 78o-3 Name of Law: Registered securities associations
US Code: 15
USC 78q Name of Law: Records and reports
US Code: 15
USC 78s Name of Law: Registration, responsibilities, and
oversight of self-regulatory organizations
US Code: 15
USC 78w Name of Law: Rules, regulations, and orders; annual
reports
This is a new proposal that
would add new hour and cost burdens if the proposal is ultimately
adopted.
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.