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

Forms and Documents

Document Name	Status

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

IC ID	Document Title	Status
34047	Form 1, Rules 6a-1 and 6a-2: Form of Application and Amendments Form	Migrated

ICR Details

OMB Control No: 3235-0017	ICR Reference No: 200411-3235-009
Status: Historical Inactive	Previous ICR Reference No: 200407-3235-014
Agency/Subagency: SEC	Agency Tracking No:
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: 06/29/2005
	Date Received in OIRA: 11/24/2004
Terms of Clearance: This review is associated with SEC proposed rule release no. 34-50699, RIN 3235-AJ33, publishing December 8, 2004.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2007	06/30/2008	08/31/2007
Responses	11	0	11
Time Burden (Hours)	416	0	0
Cost Burden (Dollars)	0	0	0

---

Abstract: Rule 6a-1 requires an applicant for registration as a national securities exchange, or for an exemption from exchange registration based on limited volume, to file a Form 1. Rule 6a- 1 is designed to elicit the information necesssary to determine whether an exchange is organized in compliance with the Securities Exchange Act of 1934. The Commission is proposing to revise Form 1 and Rule 6a-2. Proposed Rule 6a-2 would require an exchange; (1) to submit annual amendments to its revised Form 1 updating the entire revised Form 1; (2) to file interime amendments to update certain exhibits of its revised Form 1; and

---

Authorizing Statute(s): None

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

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

---

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

---

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 11/24/2004

---