Information Collection Request
Short Position and Short Activity Reporting by Institutional Investment Managers
ICR 202301-3235-020 · OMB 3235-0804 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0804 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Form 249.333 Form SHO: Use of Structured XML-Based Data Language for Amended Filing |
Form and Instruction | New | Repair queued |
| Form 249.333 Form SHO: Amended Filing |
Form and Instruction | New | Repair queued |
| Form 249.333 Form SHO: Use of Structured XML-Based Data Language |
Form and Instruction | New | Repair queued |
| Form 249.333 Form SHO: Filings in EDGAR |
Form and Instruction | New | Repair queued |
| Form 249.333 Form SHO: Initial Technology Proects |
Form and Instruction | New | Repair queued |
 87 FR 14950.pdf |
Supporting Statement B | Uploaded 2023-01-31 | Repair queued |
| Supporting Statement for Proposed Short Position and Short Activity Reporting by Institutional Investment Managers.pdf |
Supporting Statement A | Uploaded 2023-01-31 | Repair queued |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 258113 |  CAT: Reporting of Bona Fide Market Making Exception –Outsourcers |
New | ||
| 258112 | CAT: Reporting of Bona Fide Market Making Exception – Insourcers |
New | ||
| 258111 | CAT: Reporting of Buy to cover Information for Orders –Outsourcers |
New | ||
| 258110 | CAT: Reporting of Buy to cover Information for Orders – Insourcers |
New | ||
| 258109 | CAT: Central Repository - Short Sale Data |
New | ||
| 258108 | Rule 205 "Buy to Cover":Order Marking |
New | ||
| 258107 | Rule 205 "Buy to Cover": Initial System Updates |
New | ||
| 258106 | Form SHO: Use of Structured XML-Based Data Language for Amended Filing |
Form and Instruction | New | |
| 258105 | Form SHO: Amended Filing |
Form and Instruction | New | |
| 258104 | Form SHO: Use of Structured XML-Based Data Language |
Form and Instruction | New | |
| 258103 | Form SHO: Filings in EDGAR |
Form and Instruction | New | |
| 258022 | Form SHO: Initial Technology Proects |
Form and Instruction | New |
ICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0804 |
| Type of Information Collection | New collection (Request for a new OMB Control Number) |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |