View Information Collection Request (ICR) Package

OMB Control No: 3235-0017	ICR Reference No: 202303-3235-009
Status: Historical Inactive	Previous ICR Reference No: 202112-3235-017
Agency/Subagency: SEC	Agency Tracking No: TM-270-018
Title: Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 06/22/2023
	Date Received in OIRA: 04/19/2023
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2025	03/31/2025	04/30/2025
Responses	265	0	265
Time Burden (Hours)	7,480	0	7,480
Cost Burden (Dollars)	0	0	0

Abstract: Rule 6a-1 states that the Commission may not grant an entity registration as a national securities exchange unless it finds, among other things, that the exchange is so organized that it has the capacity to carry out the purposes of, and to comply with, the Exchange Act. Rule 6a-1 also directs entities seeking exchange registration (or seeking exemption from registration based on limited volume) to provide information on Form 1 that would enable the Commission to make this determination. Rule 6a-2 directs registered and exempt exchanges to notify the Commission of any material amendments to the information provided in the initial Form 1 and to make periodic updates of certain information provided in the initial Form 1. Rule 6a-3 requires a national securities exchange or an exempt exchange to file certain supplemental material with the Commission.

Authorizing Statute(s): US Code: 15 USC 79f(a) Name of Law: Section 6(a) of the Securities Exchange Act of 1934

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL85	Proposed rulemaking	88 FR 23920	04/18/2023

Federal Register Notices & Comments
Did the Agency receive public comments on this ICR? No

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: Changing Forms

Short Statement: The proposal would revise or add new information collections to this ICR and these are discussed in more detail int the attached Supporting Statement. Please note that one of the information collections in this ICR is proposed to be separated into two ICRs. As explained in footnote 11 of the Supporting Statement, amendments were previously included in a single information collection titled “Form 1, Rules 6a-1 and 6a-2 – Amendments” because the burden per response for all such amendments was estimated to be the same. However, under the Proposal, we estimate that one type of amendment would incur a higher burden than others. Accordingly, we are proposing to separate the Rule 6a-2 amendments into two information collections: “Rule 6a-2(b) (Annual Form 1 Amendments)” and “Rules 6a-2(a) and 6a-2(c) (Periodic Form 1 Amendments).” We are also revising the titles of the information collections to more accurately characterize them.

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: David Remus 202 551-5946

View ICR - OIRA Conclusion