OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Rules 201 and 200(g)

ICR 201005-3235-005 · OMB 3235-0670 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
Rule 201 Final Federal Register Version.pdf Supporting Statement B Uploaded 2010-05-05 Available
PRA Supporting Statement for Rules 201 and 200(g) v 10.doc Supporting Statement A Uploaded 2010-10-06 Available
IC Document Collections
IC IDCollectionTypeStatusForm
194114 Exchange Act Rule 200(g): Marking Requirements New
194113 Exchange Act Rule 201(c) and 201(d)(6): Policies and Procedure Requirement under the Broker-Dealer and Riskless Principal Provisions New
192813 Proposed Rule 201: Policies and Procedures Requirement under Rule 201 New
ICR Details
3235-0670 201005-3235-005
Historical Active
SEC TM-270-606
Rules 201 and 200(g)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 11/09/2010
Retrieve Notice of Action (NOA) 08/05/2010
  Inventory as of this Action Requested Previously Approved
11/30/2013 36 Months From Approved
12,900,065,142 0 0
4,904,520 0 0
287,570,000 0 0
Rule 201 is a short sale-related circuit breaker rule that, when triggered by an intra-day decline in the price of a covered security of 10% or more from the prior day’s closing price for the covered security as determined by the covered security’s listing market, will apply for the remainder of the day and the following day a price test restriction that restricts short sales at or below the current national best bid for the particular covered security. Rule 200(g) will add a new marking requirement of “short exempt.” In particular, if the broker-dealer chooses to rely on its own determination that it is submitting the short sale order to the trading center at a price that is above the current national best bid at the time of the submission, or to rely on an exception specified in the rule, it must mark the order as “short exempt.”
US Code: 15 USC 78b, 78c(b), 78f, 78i(h), 78j Name of Law: Sections 2, 3(b), 6, 9(h), 10 of the Exchange Act
   US Code: 15 USC 78k-1, 78o, 78o-3, 78q, 78q-1 Name of Law: Sections 11A, 15, 15A, 17, 17A of the Exchange Act
   US Code: 15 USC 78s and 78w(a) Name of Law: Sections 19 and 23(a) of the Exchange Act
  
None
3235-AK22 Final or interim final rulemaking 75 FR 11232 03/10/2010
No
  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 12,900,065,142 0 0 12,900,065,142 0 0
Annual Time Burden (Hours) 4,904,520 0 0 4,904,520 0 0
Annual Cost Burden (Dollars) 287,570,000 0 0 287,570,000 0 0
Yes
Changing Regulations
No
This is an amendment to Rule 200(g) that results in a new collection of information. The information collected will also enable the Commission and SROs to examine for compliance with the requirements of these provisions. The total approximate estimated annual hour burden per year is 4,904,520 burden hours.
No
No
No
No
No
Uncollected
Katrina Wilson 2025515927
  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.
08/05/2010