Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence

ICR 202101-3235-009

OMB: 3235-0478

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2021-06-09
Supplementary Document
2021-06-09
Supporting Statement A
2021-03-09
ICR Details
3235-0478 202101-3235-009
Received in OIRA 201804-3235-015
SEC TM-270-428
Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence
Extension without change of a currently approved collection   No
Regular 06/09/2021
  Requested Previously Approved
36 Months From Approved 09/30/2021
10,760 11,840
15 17
0 0

Rule 11a1-1(T) provides that an exchange member's proprietary order may be executed on the exchange of which the trader is a member, if, among other things: (1) the member discloses that a bid or offer for its account is for its account to any member with whom such bid or offer is placed or to whom it is communicated; (2) any such member through whom that bid or offer is communicated discloses to others participating in effecting the order that is for the account of a member; and (3) immediately before executing the order, a member (other than a specialist in such security) presenting any order for the account of a member on the exchange clearly announces or otherwise indicates to the specialist and to other members then present that he is presenting an order for the account of a member.

US Code: 15 USC 78k(1) Name of Law: Section 11(a)(1) of the Exchange Act
  
None

Not associated with rulemaking

  86 FR 16240 03/26/2021
86 FR 30643 06/09/2021
No

1
IC Title Form No. Form Name
Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence

  Total Request 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 10,760 11,840 0 0 -1,080 0
Annual Time Burden (Hours) 15 17 0 0 -2 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated annual time burden decreased from 17 hours to 15 hours because the estimated number of respondents decreased from 592 to 538.

$0
No
    No
    No
No
No
No
No
Ed Cho 202 551-5508 [email protected]

  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.
06/09/2021


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