Rule 606 of Regulation NMS (f/k/a Rule 11Ac1-6)

ICR 201302-3235-002

OMB: 3235-0541

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2013-04-23
IC Document Collections
ICR Details
3235-0541 201302-3235-002
Historical Active 201003-3235-008
SEC TM-270-489
Rule 606 of Regulation NMS (f/k/a Rule 11Ac1-6)
Extension without change of a currently approved collection   No
Regular
Approved without change 05/31/2013
Retrieve Notice of Action (NOA) 04/23/2013
  Inventory as of this Action Requested Previously Approved
05/31/2016 36 Months From Approved 08/31/2013
1,065,812 0 1,065,812
683,280 0 683,280
0 0 0

The information disclosed by Rule 606 of Regulation NMS will be used by investors to evaluate their brokers' order routing decisions, and by broker-dealers to compete on the basis of order routing services. Respondents will be broker-dealers.

US Code: 15 USC 17k-1 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  78 FR 10217 02/13/2013
78 FR 23791 04/22/2013
No

2
IC Title Form No. Form Name
Rule 606 of Regulation NMS (f/k/a Rule 11Ac1-6)
Rule 606 of Regulation NMS (f/k/a Rule 11Ac1-6)

  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 1,065,812 1,065,812 0 0 0 0
Annual Time Burden (Hours) 683,280 683,280 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
No
No
No
Uncollected
Claudette Ransom 202 551-5607

  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.
04/23/2013


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