View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0541	ICR Reference No: 201601-3235-011
Status: Historical Active	Previous ICR Reference No: 201302-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-489
Title: Rule 606 of Regulation NMS (f/k/a Rule 11Ac1-6)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/02/2016
	Date Received in OIRA: 04/22/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2019	36 Months From Approved	07/31/2016
Responses	371,064	0	1,065,812
Time Burden (Hours)	116,560	0	683,280
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	371,064	1,065,812	-694,748
Annual Time Burden (Hours)	116,560	683,280	-566,720
Annual Cost Burden (Dollars)	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 decrease in burden is a result of a decrease in the estimated number of respondents due to a change in the method for estimating respondents in the period since last renewal. The current method for estimating of the number of clearing broker-dealers and broker-dealers that are small entities uses consolidated FOCUS data; the number of introducing brokers that that receive funds or securities from their customers is now estimated using Form Custody data.

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