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View ICR - OIRA Conclusion

OMB Control No: 3235-0466	ICR Reference No: 202302-3235-003
Status: Active	Previous ICR Reference No: 202003-3235-010
Agency/Subagency: SEC	Agency Tracking No: TM-270-410
Title: Rule 103, 17 CFR 242.103 (Nasdaq Passive Market Making)
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: 06/23/2023
	Date Received in OIRA: 04/22/2023
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2026	36 Months From Approved	07/31/2023
Responses	428	0	307
Time Burden (Hours)	428	0	307
Cost Burden (Dollars)	0	0	0

Authorizing Statute(s): US Code: 15 USC 78b, 78c, 78g(c)(2),78i(a),78j Name of Law: Securities Exchange Act of 1934, Sections 2,3,7(c)(2), 9(a), 10
   US Code: 15 USC 77g, 77q(a), 77s(a) Name of Law: Securities Act of 1933, Sections 7, 17(a) and 19(a)
   US Code: 15 USC 78k-1(c),78l,78m,78n,78o(b) Name of Law: Securities Exchange Act of 1934, Sections 11A(c),12,13,14,15(b)
   US Code: 15 USC 78o(c),78o(h),78q(a),78q(b) Name of Law: Securities Exchange Act of 1934, Sections 15(c), 15(h), 17(a), 17(b)
   US Code: 15 USC 78q(h),78w(a),78dd-1,78mm Name of Law: Securities Exchange Act of 1934, Sections 17(h), 23(a), 30A and 36
   US Code: 15 USC 80a-23, 80a-29 and 80a-37 Name of Law: Investment Company Act of 1940, Section 23, 29 and 37

Citations for New Statutory Requirements: None

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	428	307	121
Annual Time Burden (Hours)	428	307	121
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 increase in annual burden hours from 307 to 428 is due to the increase in the number of firm commitment secondary offerings of Nasdaq securities from 307 to 428.

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

Agency Contact: Roland Lindmayer 202 551-2250

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