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

ICR 202006-3235-001

OMB: 3235-0774

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2020-06-01
IC Document Collections
IC ID
Document
Title
Status
238527
Modified
238526
Modified
ICR Details
3235-0774 202006-3235-001
Active 201911-3235-005
SEC TM-270-818
Amendments to the National Market System Plan Governing the Consolidated Audit Trail
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 07/08/2020
Retrieve Notice of Action (NOA) 06/03/2020
  Inventory as of this Action Requested Previously Approved
07/31/2023 36 Months From Approved
120 0 0
7,800 0 0
866,667 0 0

The Securities & Exchange Commission is amending the national market system plan governing the consolidated audit trail in order to increase transparency and accountability.

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 78c Name of Law: Definitions and application
   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 Final or interim final rulemaking 85 FR 31322 05/22/2020

No

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

  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 120 0 0 120 0 0
Annual Time Burden (Hours) 7,800 0 0 7,800 0 0
Annual Cost Burden (Dollars) 866,667 0 0 866,667 0 0
Yes
Changing Regulations
No
The Commission increased the number of respondents from the proposal to the final rule by one respondent. This resulted in an increase in the number of responses. It also resulted in a slight modification to the hour burdens per response because of the way the estimated industry burdens were allocated over all respondents (this is explained further in Item 15 of the Supporting Statement). When the new hour burdens per response are multiplied by the new number of responses, there is a small increase in the total estimated hour burden.

No
    No
    No
No
No
No
No
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.
06/03/2020


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