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View ICR - OIRA Conclusion

OMB Control No: 3235-0509	ICR Reference No: 202101-3235-011
Status: Historical Active	Previous ICR Reference No: 201806-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-451
Title: Regulation ATS Rule 301 Amendments
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: 11/30/2021
	Date Received in OIRA: 09/16/2021
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2024	36 Months From Approved	11/30/2021
Responses	700	0	649
Time Burden (Hours)	2,687	0	2,123
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	700	649	51
Annual Time Burden (Hours)	2,687	2,123	564
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 estimated time burdens associated with Rule 301 of Regulation ATS have increased – primarily as a result of an increase in the estimated number of entities expected to file initial operations reports, quarterly reports, and periodic amendments and an increase in the number of entities memorializing written safeguards and procedures.

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? No

Agency Contact: Dhawal Sharma 202 551-5779

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