OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Regulation ATS Rule 301 Amendments

OMB 3235-0509 · SEC.

OMB 3235-0509

The Securities and Exchange Commission is amending the regulatory requirements in Regulation ATS under the Exchange Act applicable to NMS Stock ATSs. The majority of these regulatory requirements are in new Rule 304 and Form ATS-N, which are being submitted to OMB separately for approval and a control number. However, the rulemaking also includes new information collections under Rule 301 and a related revision to the existing IC for Form ATS (which has the same OMB Control Number as Rule 301) and we are also updating our burden estimates for some of the other ICs in the rule.

The latest form for Regulation ATS Rule 301 Amendments expires 2028-01-31 and is listed under ICR 202403-3235-005.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Form Form ATS-R Form ATS-R - Quarterly ReportsForm and Instruction
Form Form ATS Form ATS - AmendmentsForm and Instruction
Form Form ATS Form ATS - Initial Operation ReportForm and Instruction
89 FR 73136 (OMB 3235-0509).pdf Supplementary Document
89 FR 91824 (OMB 3235–0509).pdf Supplementary Document
Supporting Statement_Rule 301 2024 DGL REVISED.pdfSupporting Statement A
Form ATS-R - Quarterly Reports Form and Instruction
System Outage Notices Information collection
Fair Access Notices Information collection
Written Confidentiality Procedures - ATSs to Update Procedures Information collection
Written Confidentiality Procedures - ATSs w/o Procedures Information collection
Form ATS-R - NMS Stock ATSs Filing An Additional Set of Quarterly Reports Information collection
Systems Capacity, Integrity and Security Recordkeeping Information collection
Fair Access Standards Recordkeeping Information collection
Form ATS - Cessation of Operations Report Information collection
Form ATS - Amendments Form and Instruction
Form ATS - Initial Operation Report Form and Instruction

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202403-3235-005 Extension without change of a currently approved collection 2024-11-20
202306-3235-009 Revision of a currently approved collection 2023-06-16 Comment filed on proposed rule and continue
202101-3235-011 Extension without change of a currently approved collection 2021-09-16 Approved without change
201806-3235-002 Revision of a currently approved collection 2018-08-03 Approved without change
201605-3235-015 Revision of a currently approved collection 2016-06-01 Comment filed on proposed rule and continue
201510-3235-023 Revision of a currently approved collection 2015-10-29 Approved without change
201507-3235-003 Revision of a currently approved collection 2015-07-09 Comment filed on proposed rule and continue
201311-3235-011 Extension without change of a currently approved collection 2014-02-03 Approved without change
201304-3235-014 Revision of a currently approved collection 2013-06-10 Comment filed on proposed rule and continue
201010-3235-021 Extension without change of a currently approved collection 2011-01-05 Approved without change
200912-3235-018 Revision of a currently approved collection 2010-01-05 Preapproved
200706-3235-001 Revision of a currently approved collection 2007-08-03 Approved without change
200408-3235-006 Extension without change of a currently approved collection 2004-08-12 Approved without change
200106-3235-017 Extension without change of a currently approved collection 2001-06-27 Approved without change
199812-3235-022 No material or nonsubstantive change to a currently approved collection 1998-12-14 Approved without change
199804-3235-008 New collection (Request for a new OMB Control Number) 1998-04-29 Approved without change

OMB Details

Form ATS-R - Quarterly Reports

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
FormNameElectronic accessType
Form Form ATS-RForm ATS-Rwww.sec.gov/about/forms/formats.pdfForm and instruction

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