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Federal forms, ICRs, and supporting documents

OMB control number

Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)

OMB 3235-0671 · SEC.

OMB 3235-0671

Rule 613 requires the national securities exchanges and national securities association ("Participants") to develop and file a national market system (“NMS”) plan to govern the creation, implementation and maintenance of a consolidated audit trail and central repository for the collection of information for NMS securities. The NMS plan must require each SRO and its respective members to provide certain data to the central repository in compliance with Rule 613. The Participants filed the NMS plan required by Rule 613 ("CAT NMS Plan"). This PRA contains the information collections required by Rule 613, as informed by the data that was provided in the CAT NMS Plan. The Commission approved the initial NMS plan in November 2016.

The latest form for Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613) expires 2026-10-31 and is listed under ICR 202306-3235-008.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0671.pdf Supplementary Document
3235-0671.pdf Supplementary Document
2023 Supporting Statement _ Rule 613 DGL REVISED.pdfSupporting Statement A
3235-0671 60 Day Notice.pdf Supplementary Document
3235-0671 30 Day Notice.pdf Supplementary Document
CAT NMS Plan Order Supporting Statement (December 1) pdf.pdf Supplementary Document
CAT NMS Plan Notice Supporting Statement - 8-8-16.docx Supplementary Document
Background Checks Information collection
Financial Statements Information collection
Assessment of Material Systems Change on Error Rate Information collection
Report on Impact of Tiered Fees on Market Liquidity Information collection
Assessment of Errors in Customer Information Fields Information collection
Assessment of Industry Member Bulk Access to Reported Data Information collection
Coordinated Surveillance Report Information collection
Review of Clock Synchronization Standards Information collection
Independent Audit of Expenses Incurred Prior to the Effective Date Information collection
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-ELPs Information collection
Small Non-OATS-Reporting Broker-Dealers Information collection
Data Collection and Reporting - Small OATS-Reporting Broker-Dealers Information collection
Data Collection and Reporting - Large OATS-Reporting Broker-Dealers Information collection
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-Options Market Makers Information collection
Document on Expansion to Other Securities Information collection
Written Assessment of Operation of the Consolidated Audit Trail Information collection
Surveillance Information collection
Data Collection and Reporting - Participants Information collection
Central Repository Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202306-3235-008 Extension without change of a currently approved collection 2023-07-25 Approved without change
201911-3235-003 Extension without change of a currently approved collection 2020-06-23 Approved without change
201703-3235-005 Revision of a currently approved collection 2017-03-21 Approved without change
201611-3235-027 Revision of a currently approved collection 2016-12-05 Approved without change
201608-3235-003 Revision of a currently approved collection 2016-08-09 Approved without change
201507-3235-009 Extension without change of a currently approved collection 2015-10-26 Approved without change
201208-3235-001 New collection (Request for a new OMB Control Number) 2012-08-01 Approved without change
201008-3235-014 New collection (Request for a new OMB Control Number) 2010-08-18 Preapproved

OMB Details

Central Repository

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight