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Federal forms, ICRs, and supporting documents

OMB control number

Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems

OMB 3235-0510 · SEC.

OMB 3235-0510

Rule 302 provides that, as a condition of operating as a broker- dealer, alternative trading systems must keep certain records regarding subscribers to their system, daily trading summaries and time-sequenced records of order information in the alternative trading systems.

The latest form for Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems expires 2029-06-30 and is listed under ICR 202512-3235-022.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
20260304_3235-0510_2026-04234_91 FR 10660_30-Day Submission Notice.pdf.pdfSupplementary Document
20251223_3235-0510_2025-23686_90 FR 60147_60-Day Collection Notice.pdfSupplementary Document
2026 Rule 302 Supporting Statement [3235-0510].pdfSupporting Statement A
Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alterna- tive Trading Systems Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202512-3235-022 Extension without change of a currently approved collection 2026-03-04
202306-3235-020 Revision of a currently approved collection 2023-07-07 Comment filed on proposed rule and continue
202209-3235-005 Extension without change of a currently approved collection 2022-12-05 Approved without change
201906-3235-011 Extension without change of a currently approved collection 2019-10-24 Approved without change
201905-3235-015 Revision of a currently approved collection 2019-09-11 Withdrawn and continue
201604-3235-005 Extension without change of a currently approved collection 2016-08-18 Approved without change
201305-3235-005 Extension without change of a currently approved collection 2013-08-05 Approved without change
201006-3235-008 Extension without change of a currently approved collection 2010-09-08 Approved without change
200706-3235-003 Revision of a currently approved collection 2007-08-01 Approved with change
200408-3235-007 Extension without change of a currently approved collection 2004-08-12 Approved without change
200106-3235-016 Extension without change of a currently approved collection 2001-06-27 Approved without change
199812-3235-021 No material or nonsubstantive change to a currently approved collection 1998-12-14 Approved without change
199804-3235-011 New collection (Request for a new OMB Control Number) 1998-04-29 Approved without change