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View ICR - OIRA Conclusion

OMB Control No: 3235-0774	ICR Reference No: 202006-3235-001
Status: Historical Active	Previous ICR Reference No: 201911-3235-005
Agency/Subagency: SEC	Agency Tracking No: TM-270-818
Title: Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/08/2020
	Date Received in OIRA: 06/03/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2023	36 Months From Approved
Responses	120	0	0
Time Burden (Hours)	7,800	0	0
Cost Burden (Dollars)	866,667	0	0

Authorizing Statute(s): 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

Citations for New Statutory Requirements: None

ICR Summary of Burden

	Total Approved	Change Due to Agency Discretion
Annual Number of Responses	120	120
Annual Time Burden (Hours)	7,800	7,800
Annual Cost Burden (Dollars)	866,667	866,667

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: No

Burden Reduction Due to:

Short Statement: 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.

Annual Cost to Federal Government:

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

Agency Contact: Erika Berg 202 551-5925

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