Information Collection

Regulation Automated trading

IC 219127 under ICR 201512-3038-005 · OMB 3038-0023.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0023 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form 7R Regulation Automated trading	Form and Instruction
7R Firm Application 7-rForm.pdf	Form and Instruction
8R Floor Trader Order Enterer Application 8-rForm.pdf	Form and Instruction
Regulation Automated Trading NPRM.pdf Regulation Automated Trading NPRM	IC Document

IC Title:

Regulation Automated trading

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 1.3(x)(3)

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	7R	Firm Application	7-rForm.pdf		Yes	Yes	Fillable Fileable
Form and Instruction	8R	Floor Trader Order Enterer Application	8-rForm.pdf		Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 100

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	1,100	1,100
Annual IC Time Burden (Hours)	11	11
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
Regulation Automated Trading NPRM	Regulation Automated Trading NPRM.pdf	01/12/2016

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.