Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments

ICR 200407-3235-014

OMB: 3235-0017

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
3235-0017 200407-3235-014
Historical Active 200106-3235-008
SEC
Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
Extension without change of a currently approved collection   No
Regular
Approved without change 08/26/2004
Retrieve Notice of Action (NOA) 07/09/2004
  Inventory as of this Action Requested Previously Approved
08/31/2007 08/31/2007 08/31/2004
11 0 14
416 0 416
0 0 0

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 so 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

None
None


No

1
IC Title Form No. Form Name
Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments 1

  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 11 14 0 -3 0 0
Annual Time Burden (Hours) 416 416 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
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.
07/09/2004


© 2024 OMB.report | Privacy Policy