Information Collection Request
ICR 201608-3235-003 · OMB 3235-0671 · Public filing
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0671 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Rule 613 Supporting Statement FINAL - 10-26-15 (extension).pdf |
Supplementary Document | Uploaded 2016-08-09 | Available |
 CAT NMS Plan Notice Supporting Statement - Final - 8-8-16.docx |
Supporting Statement A | Uploaded 2016-08-08 | Repair queued |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 222887 |  Non-OATS-Reporting Broker-Dealers |
New | ||
| 222886 | Data Collection and Reporting - Small OATS-Reporting Broker-Dealers |
New | ||
| 222885 | Data Collection and Reporting - Large OATS-Reporting Broker-Dealers |
New | ||
| 222884 | Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers |
New | ||
| 222883 | Document on Expansion to Other Securities |
New | ||
| 222882 | Written Assessment of Operation of the Consolidated Audit Trail |
New | ||
| 222881 | Surveillance |
New | ||
| 222880 | Data Collection and Reporting - Participants |
New | ||
| 222879 | Central Repository |
New | ||
| 194273 | Creation and Filing of NMS Plan |
Unchanged |
ICR Details
| OMB Control No | 3235-0671 |
|---|