Regulation ATS Rule 304 and Form ATS-N

ICR 202109-3235-014

OMB: 3235-0763

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Form and Instruction
Modified
Form and Instruction
Modified
Supplementary Document
2022-01-03
Supplementary Document
2022-01-03
Supporting Statement A
2021-09-30
ICR Details
3235-0763 202109-3235-014
Received in OIRA 201807-3235-002
SEC TM-270-451
Regulation ATS Rule 304 and Form ATS-N
Extension without change of a currently approved collection   No
Regular 01/03/2022
  Requested Previously Approved
36 Months From Approved 03/31/2022
196 214
2,042 2,942
0 0

The Commission is adopting amendments to Regulation ATS, which include new Rule 304 and Form ATS-N for alternative trading systems that trade in ATS stocks.

US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  86 FR 58329 10/21/2021
87 FR 136 01/03/2022
No

  Total Request 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 196 214 0 0 -18 0
Annual Time Burden (Hours) 2,042 2,942 0 0 -900 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated hour burden associated with the filing of amendments to Form ATS-N increased because the estimated number of amendments per respondent increased but the total estimated annual time burden associated with Rule 304 decreased from approximately 2,942 hours to approximately 2,042 hours primarily because the 2018 estimates included a one-time filing burden for 41 existing NMS Stock ATSs to file a Form ATS-N. These one-time burdens have been satisfied.

$0
No
    Yes
    No
No
No
No
No
Amir Katz 202 551-2000

  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.
01/03/2022


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