Rule 31 Section 31 transaction fees; Form R31-Form for reporting covered sales and covered round turn transactions under Section 31 of the Securities Exchange Act of 1934

ICR 201605-3235-011

OMB: 3235-0597

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2016-09-02
IC Document Collections
ICR Details
3235-0597 201605-3235-011
Historical Active 201305-3235-011
SEC TM-270-537
Rule 31 Section 31 transaction fees; Form R31-Form for reporting covered sales and covered round turn transactions under Section 31 of the Securities Exchange Act of 1934
Extension without change of a currently approved collection   No
Regular
Approved without change 10/07/2016
Retrieve Notice of Action (NOA) 09/02/2016
  Inventory as of this Action Requested Previously Approved
10/31/2019 36 Months From Approved 11/30/2016
312 0 288
408 0 390
0 0 12,000

Rule 31 establishes the procedure for calculating the fees and assessments due from national securities exchanges and national securities associations (collectively, “SROs”) pursuant to Section 31 of the Exchange Act. Under Rule 31, the SROs are required to submit Form R31 to the SEC within ten business days after the end of every month. The SROs are required to report on Form R31 data on all sales of securities that are subject to Section 31 fees and all of round turn transactions in security futures that are subject to Section 31 assessments. Based on that data, the SEC calculates the fees and assessments owed by each SRO.

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

Not associated with rulemaking

  81 FR 36977 06/08/2016
81 FR 53533 08/12/2016
No

  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 312 288 0 24 0 0
Annual Time Burden (Hours) 408 390 0 18 0 0
Annual Cost Burden (Dollars) 0 12,000 0 -12,000 0 0
Yes
Miscellaneous Actions
No
The increase in burden from 390 to 408 hours represents a proportional increase based on an increase in registered respondents and expected new respondents during the authorization period. The cost burden has decreased from $12,000 to zero because it was erroneously included as a cost in the previous submission.

$16,343
No
No
No
No
No
Uncollected
Andrew Sioson 202 551-7186

  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.
09/02/2016


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