Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments

ICR 201812-3235-003

OMB: 3235-0017

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Form and Instruction
Modified
Supplementary Document
2019-03-12
Supplementary Document
2019-03-12
Supporting Statement A
2019-03-12
ICR Details
3235-0017 201812-3235-003
Active 201512-3235-001
SEC TM-270-018
Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
Extension without change of a currently approved collection   No
Regular
Approved without change 06/25/2019
Retrieve Notice of Action (NOA) 03/12/2019
  Inventory as of this Action Requested Previously Approved
06/30/2022 36 Months From Approved 06/30/2019
190 0 163
5,605 0 4,930
0 0 0

Rule 6a-1 states that the Commission may not grant an entity registration as a national securities exchange unless it finds, among other things, that the exchange is so organized so that it has the capacity to carry out the purposes of and to comply with the Exchange Act. Rule 6a-1 also directs entities seeking exchange registration (or seeking exemption from registration based on limited volume) to provide information on Form 1 that would enable the Commission to make this determination. Rule 6a-2 directs registered and exempt exchanges to notify the Commission of any material amendments to the information provided in the initial Form 1 and to make periodic updates of certain information provided in the initial Form 1.

US Code: 15 USC 7af(a) Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  83 FR 67408 12/28/2018
84 FR 8138 03/06/2019
No

2
IC Title Form No. Form Name
Form 1, Rules 6a-1 and 6a-2 - Amendments Form 1 SEC 1935
Form 1, Rules 6a-1 and 6a-2 - Initial Application Form 1 SEC 1935

  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 190 163 0 0 27 0
Annual Time Burden (Hours) 5,605 4,930 0 0 675 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated burden associated with Rule 6a-2 has been adjusted to reflect the fact that, since the last time the SEC sought OMB approval for the collection of information pursuant to Rules 6a-1 and 6a-2 and Form 1, the number of registered national securities exchanges has increased from 18 to 21.

$401,620
No
    No
    No
No
No
No
Uncollected
David Remus 202 551-5946

  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.
03/12/2019


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