OMB control number
Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems
OMB 3235-0505 · SEC.
OMB 3235-0505
Rule 303 provides that alternative trading systems must preserve certain records for a certain amount of time, including records made pursuant to Rule 302, notices to subscribers, certain documents relating to compliance with the fair access and capacity, integrity and security requriements set forth in Rule 301, and organizational documents. The rule describes how such records must be maintained, what entities may perform this function, and how long records must be preserved.
The latest form for Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems expires 2028-03-31 and is listed under ICR 202411-3235-003.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 2025 01 30_90 FR 8544_3235-0505_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 2025 01 30_90 FR 8544_3235-0505_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 89 FR 93384 (OMB 3235-0505).pdf | Supplementary Document |
| Supporting_Statement Rule 303 2024 DGL REVISED.pdf | Supporting Statement A |
| Supporting_Statement Rule 303 2024 DGL REVISED.pdf | Supporting Statement A |
 Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems |
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| Rule 303(a)(2)(ii) - Record Preservation Requirements for Alternative Trading Systems |
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OMB Details
Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight