Information Collection

Rule 301 (17 CFR 242.301) Requirements for Alternative Trading Systems that are not National Securities Exchanges

IC 35287 under ICR 200706-3235-001 · OMB 3235-0509.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0509 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form ATS Rule 301 (17 CFR 242.301) Requirements for Alternative Trading Systems that are not National Securities Exchanges	Form and Instruction
ATS ATS Form ATS.pdf	Form and Instruction
ATS-R ATS-R Form ATS R.pdf	Form and Instruction

IC Title:

Rule 301 (17 CFR 242.301) Requirements for Alternative Trading Systems that are not National Securities Exchanges

Agency IC Tracking Number:

270-451

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.301

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	ATS	ATS	Form ATS.pdf		Yes	No	Printable Only
Form and Instruction	ATS-R	ATS-R	Form ATS R.pdf		Yes	No	Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 65

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	465	86	379
Annual IC Time Burden (Hours)	1,976	443	1,533
Annual IC Cost Burden (Dollars)	189,488	158,488	31,000

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.