Rule 19b-5 and Form PILOT

OMB 3235-0507

OMB 3235-0507

Rule 19b-5 permits a self-regulatory organization (SRO) to operate a pilot trading system, under certain conditions, for two years without submitting a proposed rule change to the Commission pursuant to Rule 19b-4. SROs availing themselves of Rule 19b-5 are required to file a Form PILOT at least 20 days before com- mencing operation of the system. SROs are also required to file notices of material systems changes and quarterly activity re- ports on Form PILOT.

The latest form for Rule 19b-5 and Form PILOT expires 2022-10-31 and can be found here.

OMB Details

Pilot Trading System Rule Filing Requirements (Initial Reports)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2552Form PILOTwww.sec.gov/about/forms/formpilot.pdfForm and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.


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