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
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.