Order Protection Rule - Rule 611 of Regulation NMS

ICR 201403-3235-003

OMB: 3235-0600

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2014-06-05
IC Document Collections
IC ID
Document
Title
Status
35463
Modified
ICR Details
3235-0600 201403-3235-003
Historical Active 201103-3235-014
SEC TM-270-540
Order Protection Rule - Rule 611 of Regulation NMS
Extension without change of a currently approved collection   No
Regular
Approved without change 09/18/2014
Retrieve Notice of Action (NOA) 06/05/2014
  Inventory as of this Action Requested Previously Approved
09/30/2017 36 Months From Approved 09/30/2014
641 0 658
38,460 0 39,480
0 0 0

Rule 611, adopted June 9, 2005, effective August 29, 2005 (see 70 FR 37495), requires a trading center (which included national securities exchanges, national securities association, alternative trading systems, exchange market makers, OTC market makers) to establish, maintain, and enforce written policies and procedures that area reasonably designed to prevent trade-throughs of protected quotations and, if relying on an exception, that are reasonably designed to ensure compliance with the terms of the exception.

US Code: 15 USC 78b, 78c(b), 78e, 78k-1, 78o-3 Name of Law: Sections 2, 3(b), 5, 6,11, 11A, 15, 15A, 17(a) and (b), 19, 23(a), and 36
  
None

Not associated with rulemaking

  79 FR 16840 03/26/2014
79 FR 31997 06/03/2014
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 641 658 0 -17 0 0
Annual Time Burden (Hours) 38,460 39,480 0 -1,020 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Miscellaneous Actions
With respect to the estimated annual hour burden, the number of respondents reflects a decrease in the number of firms that were registered equity market makers or specialists at year-end 2012.

$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.
06/05/2014


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