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⚠️ Notice: This information collection may be referencing outdated material.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

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

Information Collection (IC) Details

View Information Collection (IC)

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:

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 %

	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

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.