Information Collection Request

Regulation ATS Rule 301 Amendments

ICR 202101-3235-011 · OMB 3235-0509 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0509 can be found here:

Forms and Documents

Document Name	Status
Form Form ATS-R Form ATS-R - Quarterly Reports Form and Instruction	Modified
Form Form ATS Form ATS - Amendments Form and Instruction	Modified
Form Form ATS Form ATS - Initial Operation Report Form and Instruction	Modified
3235-0509 30 Day Notice.pdf Supplementary Document	2021-09-16
3235-0509 60 day notice.pdf Supplementary Document	2021-09-16
DGL FINAL REVISED 2021 Rule 301 Supporting statement 6-2-21 (6.9.2021).pdf Supporting Statement A	2021-06-09

IC Document Collections

IC ID	Document Title	Status
35287	Form ATS-R - Quarterly Reports Form and Instruction	Modified
232434	System Outage Notices	Unchanged
232433	Fair Access Notices	Unchanged
221753	Written Confidentiality Procedures - ATSs to Update Procedures	Modified
221752	Written Confidentiality Procedures - ATSs w/o Procedures	Modified
221746	Form ATS-R - NMS Stock ATSs Filing An Additional Set of Quarterly Reports	Modified
194921	Systems Capacity, Integrity and Security Recordkeeping	Unchanged
194920	Fair Access Standards Recordkeeping	Unchanged
194919	Form ATS - Cessation of Operations Report	Modified
194918	Form ATS - Amendments Form and Instruction	Modified
194917	Form ATS - Initial Operation Report Form and Instruction	Modified

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0509
Type of Information Collection	Extension without change of a currently approved collection
Previous ICR Reference No	201806-3235-002
Agency Tracking No	TM-270-451
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31