OMB files this
comment in accordance with 5 CFR 1320.11( c ). This OMB action is
not an approval to conduct or sponsor an information collection
under the Paperwork Reduction Act of 1995. This action has no
effect on any current approvals. If OMB has assigned this ICR a new
OMB Control Number, the OMB Control Number will not appear in the
active inventory. For future submissions of this information
collection, reference the OMB Control Number provided. 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
36 Months From Approved
0
0
0
0
0
0
0
0
0
The Securities and Exchange Commission
recently proposed amendments to the national market system plan
governing the consolidated audit trail to comply with the
requirements of Rule 613, which directed each national securities
exchange and national securities association (who are collectively,
along with certain broker-dealers, the respondents) to create a
national market system plan to adopt a consolidated audit trail
(the “CAT”). This amendment includes new information collections to
enhance the security of the CAT and the protections afforded to CAT
data.
US Code:
15
USC 78k-1 Name of Law: National market system for securities;
securities information processors
The Commission has proposed
additional requirements for the national market system plan
governing the consolidated audit trail ("CAT") in order to further
protect the security and confidentiality of CAT data.
No
Yes
No
No
No
No
No
Sakisha Jackson 202
551-7741
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.
Supporting Statement CAT Data Security (New Request-- Proposed Rule).pdf
Breach Management - Breach Notifications