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View ICR - OIRA Conclusion

OMB Control No: 3235-0509	ICR Reference No: 201806-3235-002
Status: Historical Active	Previous ICR Reference No: 201605-3235-015
Agency/Subagency: SEC	Agency Tracking No: TM-270-451
Title: Regulation ATS Rule 301 Amendments
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/17/2018
	Date Received in OIRA: 08/03/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2021	36 Months From Approved	10/31/2018
Responses	649	0	586
Time Burden (Hours)	2,123	0	2,850
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion	Change Due to Adjustment in Estimate
Annual Number of Responses	649	586	479	-416
Annual Time Burden (Hours)	2,123	2,850	6,229	-6,956
Annual Cost Burden (Dollars)	0	0	2,300	-2,300

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Cutting Redundancy

Short Statement: As compared to the burdens and costs identified in the Commission’s 2015 PRA Submission, the estimated burdens associated with Rule 301 of Regulation ATS have decreased – primarily as a result of NMS Stock ATSs no longer being required to comply with the filing requirements of Rule 301(b)(2). Instead, NMS Stock ATSs are required to comply with Rule 304 and file public disclosures with the Commission on Form ATS-N.

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. Yes

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? Uncollected

Agency Contact: Catherine Moore 202 551-5718 mooreca@sec.gov

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