Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0671_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-25	Available
3235-0671_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-07-22	Available
3235-0671 Supporting Statement (2026 Extension).pdf	Supporting Statement A	Uploaded 2026-07-16	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
226095	Background Checks		Modified
226094	Financial Statements		Modified
226093	Assessment of Material Systems Change on Error Rate		Modified
226092	Report on Impact of Tiered Fees on Market Liquidity		Removed
226091	Assessment of Errors in Customer Information Fields		Removed
226090	Assessment of Industry Member Bulk Access to Reported Data		Removed
226089	Coordinated Surveillance Report		Removed
226087	Review of Clock Synchronization Standards		Removed
226086	Independent Audit of Expenses Incurred Prior to the Effective Date		Removed
224670	Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-ELPs		Modified
222887	Data Collection and Reporting - Small Non-OATS-Reporting Broker-Dealers		Modified
222886	Data Collection and Reporting - Small OATS-Reporting Broker-Dealers		Unchanged
222885	Data Collection and Reporting - Large OATS-Reporting Broker-Dealers		Unchanged
222884	Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-Options Market Makers		Modified
222883	Document on Expansion to Other Securities		Removed
222882	Written Assessment of Operation of the Consolidated Audit Trail		Modified
222881	Surveillance		Modified
222880	Data Collection and Reporting - Participants		Modified
222879	Central Repository		Modified

ICR Details

OMB Control No: 3235-0671	ICR Reference No: 202607-3235-010
Status: Received in OIRA	Previous ICR Reference No: 202306-3235-008
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/25/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2026
Responses	1,264	1,703
Time Burden (Hours)	4,122,487	4,931,332
Cost Burden (Dollars)	384,727,051	328,662,911

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Abstract: Rule 613 requires the national securities exchanges and national securities association ("Participants") to develop and file a national market system (“NMS”) plan to govern the creation, implementation and maintenance of a consolidated audit trail and central repository for the collection of information for NMS securities. The NMS plan must require each SRO and its respective members to provide certain data to the central repository in compliance with Rule 613. The Participants filed the NMS plan required by Rule 613 ("CAT NMS Plan"). This PRA contains the information collections required by Rule 613, as informed by the data that was provided in the CAT NMS Plan. The Commission approved the initial NMS plan in November 2016.

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Authorizing Statute(s): US Code: 15 USC 78k-1(a)(3)(B) Name of Law: Section 11A(a)(3)(B) - National market system for securities; securities information processors
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 46199	07/22/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 61004	09/25/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 12

table that charts list of burden

IC Title	Form No.	Form Name
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-ELPs
Assessment of Errors in Customer Information Fields
Assessment of Industry Member Bulk Access to Reported Data
Assessment of Material Systems Change on Error Rate
Background Checks
Central Repository
Coordinated Surveillance Report
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-Options Market Makers
Data Collection and Reporting - Large OATS-Reporting Broker-Dealers
Data Collection and Reporting - Participants
Data Collection and Reporting - Small Non-OATS-Reporting Broker-Dealers
Data Collection and Reporting - Small OATS-Reporting Broker-Dealers
Document on Expansion to Other Securities
Financial Statements
Independent Audit of Expenses Incurred Prior to the Effective Date
Report on Impact of Tiered Fees on Market Liquidity
Review of Clock Synchronization Standards
Surveillance
Written Assessment of Operation of the Consolidated Audit Trail

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ICR Summary of Burden

table that charts list of burden

	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	1,264	1,703	0	-438	-1	0
Annual Time Burden (Hours)	4,122,487	4,931,332	0	-808,845	0	0
Annual Cost Burden (Dollars)	384,727,051	328,662,911	0	56,064,140	0	0

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: There are changes in the estimated because, as discussed in more detail in the attached Supporting Statement, the number of Participants subject to the Plan has increased (from 25 Participants to 27 Participants), certain information collection requirements have been completed, and some of the cost information has been updated to reflect 2026 figures.

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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: 09/25/2026

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