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 202205-3235-031

OMB: 3235-0597

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supplementary Document
2022-08-02
Supplementary Document
2022-08-02
Supporting Statement A
2022-05-20
IC Document Collections
IC ID
Document
Title
Status
43051 Modified
221711
Unchanged
207100
Unchanged
207099
Unchanged
207098
Modified
207097
Modified
207096
Modified
207095
Unchanged
207094
Unchanged
ICR Details
3235-0597 202205-3235-031
Received in OIRA 201903-3235-010
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 08/02/2022
  Requested Previously Approved
36 Months From Approved 09/30/2022
360 348
450 408
0 0

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

  87 FR 32212 05/27/2022
87 FR 47238 08/02/2022
No

  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 360 348 0 0 12 0
Annual Time Burden (Hours) 450 408 0 0 42 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated burden hours have increased from 408 hours to 450 hours. This is due to the increase in the number of estimated respondents. The estimated burden hours for each response type did not change.

$20,307
No
    No
    No
No
No
No
No
Michou Hai Minh Nguyen 202 551-5634 [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.
08/02/2022


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