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View ICR - OIRA Conclusion

OMB Control No: 3235-0774	ICR Reference No: 202303-3235-046
Status: Active	Previous ICR Reference No: 202006-3235-001
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: 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: 08/24/2023
	Date Received in OIRA: 07/19/2023
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2026	36 Months From Approved	08/31/2023
Responses	125	0	120
Time Burden (Hours)	7,200	0	7,800
Cost Burden (Dollars)	800,000	0	866,667

Authorizing Statute(s): 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
   US Code: 15 USC 78e Name of Law: Transactions on unregistered exchanges

Citations for New Statutory Requirements: None

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion	Change Due to Adjustment in Estimate
Annual Number of Responses	125	120	1	4
Annual Time Burden (Hours)	7,200	7,800	0	-600
Annual Cost Burden (Dollars)	800,000	866,667	0	-66,667

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 overall burden has decreased because the initial one-time Implementation Plan has been completed, and the Commission estimates that there will be no further burden associated with that collection. The addition of a Participant has decreased the ongoing burden per Participant, because the work is divided among 25 Participants instead of 24, but the aggregate ongoing burden remains unchanged.

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: Katriana Roh 202 551-6031

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