Requirements for Alternative Trading Systems That Are Not ATS-R, 17 CFR 242.301

ICR 199812-3235-022

OMB: 3235-0509

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0509 199812-3235-022
Historical Active 199804-3235-008
SEC
Requirements for Alternative Trading Systems That Are Not ATS-R, 17 CFR 242.301
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 12/14/1998
Retrieve Notice of Action (NOA) 12/14/1998
  Inventory as of this Action Requested Previously Approved
09/30/2001 09/30/2001 08/31/2001
466 0 473
1,922 0 1,872
37,000 0 37,000

Rule 301 provides the conditions with which a broker-dealer alternative trading system must comply. Initially, all such alternative trading system must file an initial operation report which includes information regarding operation of the system. Such alternative trading systems are also required to make quarterly reports of aggregate transaction data. Certain notice requirements are triggered by alternative trading system volume such as notification to an investor denied or limited access to the system and notice to the Commission of systems' outages.

None
None


No

1
IC Title Form No. Form Name
Requirements for Alternative Trading Systems That Are Not ATS-R, 17 CFR 242.301 FORM-ATS, FORM-ATS-R

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 466 473 0 -7 0 0
Annual Time Burden (Hours) 1,922 1,872 0 50 0 0
Annual Cost Burden (Dollars) 37,000 37,000 0 0 0 0
Yes
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
12/14/1998


© 2024 OMB.report | Privacy Policy