Rule 19b-5 and Form PILOT

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.

Latest Forms, Documents, and Supporting Material

Document Name
Form SEC 2552 Pilot Trading System Rule Filing Requirements (Initial Reports) Form and Instruction
3235-0507.pdf Supplementary Document
3235-0507.pdf Supplementary Document
TM Emergency Request Memo FINAL 3235-0507 Rule 19b-5 and Form PILOT SIGNED dlb.pdf Supplementary Document
DGL REVISED Rule 19b-5 2022 supporting stmt.pdf Supporting Statement A
Pilot Trading System Rule Filing Requirements (Initial Reports) Form and Instruction
Pilot Trading System Rule Filing Requirements (Material System Changes)
Pilot Trading System Rule Filing Requirements (Quarterly Reports)

All Historical Document Collections

202302-3235-014 Approved without change	Revision of a currently approved collection	2023-02-13
202204-3235-005 Approved without change	Reinstatement without change of a previously approved collection	2022-11-15
201903-3235-035 Approved without change	Extension without change of a currently approved collection	2019-08-07
201604-3235-015 Approved without change	Extension without change of a currently approved collection	2016-08-05
201306-3235-002 Approved with change	Extension without change of a currently approved collection	2013-08-15
201006-3235-014 Approved without change	Extension without change of a currently approved collection	2010-07-20
200705-3235-004 Approved without change	Revision of a currently approved collection	2007-07-23
200408-3235-008 Approved without change	Extension without change of a currently approved collection	2004-08-12
200106-3235-005 Approved without change	Extension without change of a currently approved collection	2001-06-06
199804-3235-006 Approved without change	New collection (Request for a new OMB Control Number)	1998-04-29

OMB Details

Pilot Trading System Rule Filing Requirements (Initial Reports)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2552

Form PILOT

www.sec.gov/about/forms/formpilot.pdf

Form and instruction

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