Order Protection Rule - Rule 611 of Regulation NMS

ICR 200412-3235-034

OMB: 3235-0600

Federal Form Document

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
35463
Migrated
ICR Details
3235-0600 200412-3235-034
Historical Active 200403-3235-005
SEC
Order Protection Rule - Rule 611 of Regulation NMS
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 04/19/2005
Retrieve Notice of Action (NOA) 12/21/2004
This approval applies to the ICR associated with the re-proposed Order Protection Rule, published December 27, 2004, release no. 34-50870. If this OMB Control Number is to be used with the final rule, the information collections must remain unchanged.
  Inventory as of this Action Requested Previously Approved
04/30/2008 04/30/2008
609 0 0
134,520 0 0
9,135,000 0 0

Reproposed Rule 611 would require a trading center (which includes national securities exchanges, exchange specialists, ATSs, OTC market makers, and block positioners) to establish, maintain, and enforce policies and procedures that are reasonably designed to prevent trade-throughs of protected quotations and, if relying on an exeception, that are reasonably designed to assure compliance with the terms of the exception.

None
None


No

1
IC Title Form No. Form Name
Order Protection Rule - Rule 611 of Regulation NMS

  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 609 0 0 609 0 0
Annual Time Burden (Hours) 134,520 0 0 134,520 0 0
Annual Cost Burden (Dollars) 9,135,000 0 0 9,135,000 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.
12/21/2004


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