Rules 15aa-1 and 15aa-2 and Form 15A

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 15A Application for Registration as a National or Affiliated Securities Association and Amendments and Supplements Thereto	Form and Instruction	New	Available
Form 15A 15aa-2	Form and Instruction	New	Repair queued
Form 15A Application for Registration as a National or Affiliated	Form and Instruction	New	Available
Form 15A Rule 15aa-1	Form and Instruction	New	Repair queued
3235-0030 Supporting Statement (2023 Proposal).pdf	Supporting Statement A	Uploaded 2023-04-18	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42937	APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN_AFFILIATED		Removed
259157	15aa-2	Form and Instruction	New	Application for Registration as a National or Affiliated Securities Association and Amendments and Supplements Thereto
259157	15aa-2	Form and Instruction	New
258614	Rule 15aa-1	Form and Instruction	New	Application for Registration as a National or Affiliated
258614	Rule 15aa-1	Form and Instruction	New

ICR Details

OMB Control No: 3235-0030	ICR Reference No: 202302-3235-023
Status: Historical Inactive	Previous ICR Reference No: 199609-3235-020
Agency/Subagency: SEC	Agency Tracking No:
Title: Rules 15aa-1 and 15aa-2 and Form 15A
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 06/22/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/19/2023
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). 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. 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.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: Rules 15Aa-1 and 15Aa-2 requires applications for registration as a national securitites association and currently registered national securities associations to complete Form 15A. 2023 Proposed Rulemaking: The Commission has published a proposed rule to revise and reinstate collections of information that were previously approved under Control Nos. 3235-0030 and 3235-0044. Because the Commission is proposing to consolidate the collections in amended and re-designated forms, all collections would be under Control No. 3235-0030 and Control Number 3235-0044 would remain inactive. In addition, because of the length of time since these control numbers were last active, the Commission is providing completely new burden estimates.

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Authorizing Statute(s): US Code: 15 USC 78o-3 Name of Law: Securities Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL85	Proposed rulemaking	88 FR 23920	04/18/2023

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
15aa-2	15A	Application for Registration as a National or Affiliated Securities Association and Amendments and Supplements Thereto
APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN_AFFILIATED	RULE 15AA-1, X-15AA-1, 893
Rule 15aa-1	15A	Application for Registration as a National or Affiliated

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The Commission is proposing to reinstate this OMB Control Number in connection with a recent proposed rulemaking, which would result in an increased hour burden. The proposed collections and burdens are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 04/19/2023

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