Pursuant to 5
CFR 1320.11(c), OMB files this comment on this information
collection request (ICR. The agency shall examine public comment in
response to the NPRM and will describe in the supporting statement
of its next collection any public comments received regarding the
collection as well as why (or why it did not) incorporate the
commenter’s recommendation. The next submission to OMB must include
the draft final rule.
Inventory as of this Action
Requested
Previously Approved
09/30/2016
36 Months From Approved
11/30/2016
92
0
92
1,380
0
1,380
0
0
0
Rule 303 provides that alternative
trading systems must preserve certain records for a certain amount
of time, including records made pursuant to Rule 302, notices to
subscribers, certain documents relating to compliance with the fair
access and capacity, integrity and security requriements set forth
in Rule 301, and organizational documents. The rule describes how
such records must be maintained, what entities may perform this
function, and how long records must be preserved.
US Code:
15
USC 78a Name of Law: Securities Exchange Act of 1934
The estimated hour burden
associated with Rule 303 of Regulation ATS has decreased despite
the additional burden hours from the new proposed requirements from
1,380 hours per year to 1305 hours per year. This decrease results
primarily from a decrease in the number of ATSs from 92 to 84.
$0
No
No
No
No
No
Uncollected
Dhawal Sharma 202
551-5779
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.