Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems

ICR 201305-3235-005

OMB: 3235-0510

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2013-08-05
IC Document Collections
ICR Details
3235-0510 201305-3235-005
Historical Active 201006-3235-008
SEC TM-270-453
Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems
Extension without change of a currently approved collection   No
Regular
Approved without change 09/23/2013
Retrieve Notice of Action (NOA) 08/05/2013
  Inventory as of this Action Requested Previously Approved
09/30/2016 36 Months From Approved 10/31/2013
23,920 0 21,060
11,960 0 10,530
0 0 0

Rule 302 provides that, as a condition of operating as a broker- dealer, alternative trading systems must keep certain records regarding subscribers to their system, daily trading summaries and time-sequenced records of order information in the alternative trading systems.

US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  78 FR 28899 05/16/2013
78 FR 43944 07/22/2013
No

1
IC Title Form No. Form Name
Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alterna- tive Trading Systems

  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 23,920 21,060 0 2,860 0 0
Annual Time Burden (Hours) 11,960 10,530 0 1,430 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
No
The estimated hour burden associated with Rule 302 of Regulation ATS has increased from 10,530 to 11,960 hours per year as a result of an increase in the SEC's estimate of the number of ATSs from 81 to 92.

$0
No
No
No
No
No
Uncollected
Ilya Fradkin 202 551-5783

  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.
08/05/2013


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