OMB control number

Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security

OMB 3235-0781 · SEC.

OMB 3235-0781

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Supporting Statement CAT Data Security (New Request-- Proposed Rule).pdf	Supporting Statement A
Breach Management - Breach Notifications	Information collection
Breach Management - Policies and Procedures	Information collection
Secure Connectivity - Allow Listing	Information collection
Data Confidentiality Policies - Examination Report	Information collection
Data Confidentiality Policies - Procedures and Usage Restrictions	Information collection
Data Confidentiality Policies - Identical Policies	Information collection
Customer Identifying Systems Workflow - Audit Trail Report	Information collection
Customer Identifying Systems Workflow - Preparation of Programmatic Access Application	Information collection
Customer and Account Attributes - Regular Written Assessment	Information collection
Customer and Account Attributes - Transformed Value(s)	Information collection
Online Targeted Query Tool and Logging of Access and Extraction - Additional Logging	Information collection
Online Targeted Query Tool and Logging of Access and Extraction - Review Monthly Reports	Information collection
Non-SAW Environments - Operational Requirements (Notification)	Information collection
Non-SAW Environments - Operational Requirements (Material Changes)	Information collection
Non-SAW Environments - Implementation Requirements	Information collection
Non-SAW Environments - Revocations	Information collection
Non-SAW Environments - Determinations (Ongoing)	Information collection
Non-SAW Environments - Determinations (Initial)	Information collection
Non-SAW Environments - Application Materials (Ongoing)	Information collection
Non-SAW Environments - Application Materials (Initial)	Information collection
SAWs - Operational Requirements (Notification)	Information collection
SAWs - Operational Requirements (Maintenance)	Information collection
SAWs - Operational Requirements (Initial)	Information collection
SAWs - Implementation Requirements	Information collection
SAWs - Design Specifications (Ongoing)	Information collection
SAWs - Design Specifications (Initial)	Information collection
SAWs - Policies & Procedures (Ongoing)	Information collection
SAWs - Policies and Procedures (Initial)	Information collection
Security Working Group - Updates	Information collection
Security Working Group - Attendance	Information collection
Evaluation of the CISP	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Concluded	Action
202009-3235-001	New collection (Request for a new OMB Control Number)	2020-10-19		Comment filed on proposed rule