Regulation ATS Rule 301 Amendments

OMB 3235-0509

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 2021-09-30 and can be found here.

OMB Details

Form ATS-R - Quarterly Reports

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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.


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