Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Form 1 Form 1	Form and Instruction	Modified	Available
Form Form 1 Rule 6a-1 - Initial Application	Form and Instruction	Modified	Repair queued
Form Form 1 SEC 1935	Form and Instruction	Modified	Repair queued
Form Form 1 Rule 6a-2(b) (Annual Form 1 Amendments)	Form and Instruction	Modified	Repair queued
Supporting Statement for 3235-0017 (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
34046	Rule 6a-1 - Initial Application	Form and Instruction	Modified	Form 1
34046	Rule 6a-1 - Initial Application	Form and Instruction	Modified
259044	Rule 6a-3 (Supplemental Materials and Monthly Volume Reports)		New
259043	Rules 6a-2(a) and 6a-2(c) (Periodic Form 1 Amendments)		New
192853	Rule 6a-2(b) (Annual Form 1 Amendments)	Form and Instruction	Modified	SEC 1935
192853	Rule 6a-2(b) (Annual Form 1 Amendments)	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0017	ICR Reference No: 202303-3235-009
Status: Historical Inactive	Previous ICR Reference No: 202112-3235-017
Agency/Subagency: SEC	Agency Tracking No: TM-270-018
Title: Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	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	03/31/2025	03/31/2025	04/30/2025
Responses	265	0	265
Time Burden (Hours)	7,480	0	7,480
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 6a-1 states that the Commission may not grant an entity registration as a national securities exchange unless it finds, among other things, that the exchange is so organized that it has the capacity to carry out the purposes of, and to comply with, the Exchange Act. Rule 6a-1 also directs entities seeking exchange registration (or seeking exemption from registration based on limited volume) to provide information on Form 1 that would enable the Commission to make this determination. Rule 6a-2 directs registered and exempt exchanges to notify the Commission of any material amendments to the information provided in the initial Form 1 and to make periodic updates of certain information provided in the initial Form 1. Rule 6a-3 requires a national securities exchange or an exempt exchange to file certain supplemental material with the Commission.

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Authorizing Statute(s): US Code: 15 USC 79f(a) Name of Law: Section 6(a) of the Securities Exchange Act of 1934
  

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: 4

table that charts list of burden

IC Title	Form No.	Form Name
Rule 6a-1 - Initial Application	Form 1	Form 1
Rule 6a-2(b) (Annual Form 1 Amendments)	Form 1	SEC 1935
Rule 6a-3 (Supplemental Materials and Monthly Volume Reports)
Rules 6a-2(a) and 6a-2(c) (Periodic Form 1 Amendments)

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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 Forms

Short Statement: The proposal would revise or add new information collections to this ICR and these are discussed in more detail int the attached Supporting Statement. Please note that one of the information collections in this ICR is proposed to be separated into two ICRs. As explained in footnote 11 of the Supporting Statement, amendments were previously included in a single information collection titled “Form 1, Rules 6a-1 and 6a-2 – Amendments” because the burden per response for all such amendments was estimated to be the same. However, under the Proposal, we estimate that one type of amendment would incur a higher burden than others. Accordingly, we are proposing to separate the Rule 6a-2 amendments into two information collections: “Rule 6a-2(b) (Annual Form 1 Amendments)” and “Rules 6a-2(a) and 6a-2(c) (Periodic Form 1 Amendments).” We are also revising the titles of the information collections to more accurately characterize them.

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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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