Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail

ICR 201911-3235-005

OMB: 3235-0774

Federal Form Document

IC Document Collections
IC ID
Document
Title
Status
238527
New
238526
New
ICR Details
3235-0774 201911-3235-005
Historical Inactive
SEC TM-270-818
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 01/06/2020
Retrieve Notice of Action (NOA) 11/21/2019
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
  
None

3235-AM60 Proposed rulemaking 84 FR 48458 09/13/2019

No

2
IC Title Form No. Form Name
Quarterly Progress Reports
Implementation Plan

Yes
Changing Regulations
No
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.
11/21/2019


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