Rule 608 - Filing and Amendment of National Market System Plans (17 CFR 242.608)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0500_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-25	Available
3235-0500_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-07-23	Available
3235-0500 Supporting Statement (2026 Extension).pdf	Supporting Statement A	Uploaded 2026-07-17	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35262	New NMS Plans		Modified
241918	Plan Processor Selections		Modified
241917	NMS Plan Amendments		Modified

ICR Details

OMB Control No: 3235-0500	ICR Reference No: 202607-3235-012
Status: Received in OIRA	Previous ICR Reference No: 202307-3235-015
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 608 - Filing and Amendment of National Market System Plans (17 CFR 242.608)
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	12/31/2026
Responses	450	375
Time Burden (Hours)	14,918	12,432
Cost Burden (Dollars)	731,314	483,333

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Abstract: Rule 608, 17 CFR 242.608, under the Securities Exchange Act of 1934, as amended, provides that self-regulatory organizations may, acting jointly, file a national market system plan or may propose an amendment to an effective national market system plan by submitting the text of the plan or amendment to the Secretary of the Commission, together with a statement of the purpose of such plan or amendment and, to the extent applicable, the documents and information required by paragraphs (b)(4) and (5) of the rule.

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Authorizing Statute(s): US Code: 15 USC 78k-1(a) Name of Law: 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 46497	07/23/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 60998	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: 3

table that charts list of burden

IC Title	Form No.	Form Name
NMS Plan Amendments
New NMS Plans
Plan Processor Selections

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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	450	375	0	75	0	0
Annual Time Burden (Hours)	14,918	12,432	0	2,486	0	0
Annual Cost Burden (Dollars)	731,314	483,333	0	247,981	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: No

Burden Reduction Due to:

Short Statement: The estimated burden increased due in part to an increase in the number of respondents. The estimated burdens are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government:

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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