Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments

Forms and Documents

Document Name	Status
Form Form 1 Form 1, Rules 6a-1 and 6a-2 - Initial Application Form and Instruction	Unchanged
Form Form 1 Form 1, Rules 6a-1 and 6a-2 - Amendments Form and Instruction	Modified
3235-0017 Jan 3, 2022.pdf Supplementary Document	2022-01-27
3235-0017pdf.pdf Supplementary Document	2022-01-27
DGL REVISED 2022 Rule 6a1 and 6a2 PRA Supporting Statement for Form 1.pdf Supporting Statement A	2021-12-20
2019 30 day notice 6a1 6a2 - DGL REVISED.pdf Supplementary Document	2019-03-12
2019 60 day notice 6a1 6a2 - DGL REVISED.pdf Supplementary Document	2019-03-12

IC Document Collections

IC ID	Document Title	Status
34046	Form 1, Rules 6a-1 and 6a-2 - Initial Application Form and Instruction	Unchanged
192853	Form 1, Rules 6a-1 and 6a-2 - Amendments Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0017	ICR Reference No: 202112-3235-017
Status: Received in OIRA	Previous ICR Reference No: 201812-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM-270-018
Title: Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/27/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2022
Responses	265	190
Time Burden (Hours)	7,480	5,605
Cost Burden (Dollars)	0	0

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Abstract: Rule 6a-1 states that the Commission may not grant an entity registration as a national securities exchange unless it finds, among other things, that the exchange is so organized so that it has the capacity to carry out the purposes of and to comply with the Exchange Act. Rule 6a-1 also directs entities seeking exchange registration (or seeking exemption from registration based on limited volume) to provide information on Form 1 that would enable the Commission to make this determination. Rule 6a-2 directs registered and exempt exchanges to notify the Commission of any material amendments to the information provided in the initial Form 1 and to make periodic updates of certain information provided in the initial Form 1.

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Authorizing Statute(s): US Code: 15 USC 7af(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 132	01/03/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 4297	01/27/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Form 1, Rules 6a-1 and 6a-2 - Amendments	Form 1	SEC 1935
Form 1, Rules 6a-1 and 6a-2 - Initial Application	Form 1	SEC 1935

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ICR Summary of Burden

	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	265	190	0	0	75	0
Annual Time Burden (Hours)	7,480	5,605	0	0	1,875	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The total estimated annual time burden associated with Rules 6a-1 and 6a-2 increased from 5,605 hours to 7,480 hours because the total estimated annual time burden associated with the filing of amendments under Rule 6a-2 increased. The estimated time burden associated with the filing of amendments pursuant to Rule 6a-2 increased from 4,725 hours to 6,600 hours because the estimated number of registered national securities exchanges increased from 21 to 24 and the estimated average number of annual Rule 6a-2 responses per respondent increased from 9 to 11.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 01/27/2022

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