View Information Collection Request (ICR) Package

Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.

View ICR - OIRA Conclusion

OMB Control No: 3235-0202	ICR Reference No: 202303-3235-044
Status: Active	Previous ICR Reference No: 202201-3235-016
Agency/Subagency: SEC	Agency Tracking No: TM-270-196
Title: Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information)
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: 08/11/2023
	Date Received in OIRA: 06/16/2023
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2026	36 Months From Approved	08/31/2023
Responses	5,540	0	5,162
Time Burden (Hours)	980,529	0	403,411
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	5,540	5,162	378
Annual Time Burden (Hours)	980,529	403,411	577,118
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 total aggregate annual hour burden for the collection of information pursuant to the Rule increased from 403,411 hours estimated in the previous submission (reflecting calendar year (“CY”) 2019) to 980,529 hours in this submission (reflecting CY2022). This increase is largely due to increases in the numbers of: (i) respondents subject to burdens associated with the information collection under the Rule (from 82 in CY2019 to 88 in CY2022); (ii) unique OTC securities with at least one published quotation (from 11,542 in CY2019 to 15,449 in CY2022); (iii) unique companies with an OTC security quoted at least once (from 9,895 in CY2019 to 13,214 in CY2022); and (iv) quotations published in reliance on the unsolicited quotation exception in the Rule (from 5,782,286 in CY2019 to 32,277,229 in CY2022).

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: Patrice Pitts 202 551-2151

Something went wrong when downloading this file. If you have any questions, please send an email to risc@gsa.gov.