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Federal forms, ICRs, and supporting documents

OMB control number

Rule 605 of Regulation NMS (f/k/a Rule 11Ac1-5)

OMB 3235-0542 · SEC.

OMB 3235-0542

The information disclosed under Rule 605 of Regulation NMS will be used by investors, broker-dealers and market centers to help analyze order execution practices and evaluate different market centers. Respondents will be market centers. Partial Revision: On March 6, 2024, the Commission adopted amendments to Rule 605 to update the disclosure required for order executions in national market system (“NMS”) stocks. The Commission is revising the information collection and apply such collection of information to new categories of respondents and to add new information collections.

The latest form for Rule 605 of Regulation NMS (f/k/a Rule 11Ac1-5) expires 2027-05-31 and is listed under ICR 202404-3235-016.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Supporting Statement (3235-0542)-- 2024 Adopted Amendments.pdfSupporting Statement A
Rule 605 of Regulation NMS (Ongoing Burden for All Respondents) Information collection
Rule 605 of Regulation NMS (Initial Burden for NMS Plan Participants) Information collection
Rule 605 of Regulation NMS (Initial Burden for New Respondents) Information collection
Rule 605 of Regulation NMS (Initial Burden for Existing Respondents) Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202404-3235-016 Revision of a currently approved collection 2024-04-16 Approved without change
202303-3235-029 Revision of a currently approved collection 2023-03-23 Comment filed on proposed rule and continue
202104-3235-015 Reinstatement with change of a previously approved collection 2022-04-01 Approved with change
201810-3235-043 Revision of a currently approved collection 2018-11-20 Approved without change
201802-3235-021 Revision of a currently approved collection 2018-03-09 Comment filed on proposed rule and continue
201601-3235-010 Extension without change of a currently approved collection 2016-04-14 Approved without change
201301-3235-001 Extension without change of a currently approved collection 2013-04-08 Approved without change
201003-3235-009 Extension without change of a currently approved collection 2010-05-12 Approved without change
200701-3235-004 Revision of a currently approved collection 2007-01-04 Approved with change
200311-3235-001 Extension without change of a currently approved collection 2003-11-12 Approved without change
200103-3235-008 No material or nonsubstantive change to a currently approved collection 2001-03-28 Approved without change
200008-3235-007 New collection (Request for a new OMB Control Number) 2000-08-04 Approved without change

OMB Details

Rule 605 of Regulation NMS (Ongoing Burden for All Respondents)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight