OMB control number
Rule 101, 17 CFR 242.101 (Activities by Distribution Participants)
OMB 3235-0464 · SEC.
Rule 101 of Regulation M requires persons participating in a secondary offering (i.e., the syndicate manager) to calculate the average daily trading volume (ADTV) to determine the restricted period, if any, that must be observed under Rule 101. The information collected pursuant to Rule 101 is obtained and used by syndicate managers to determine exceptions and restricted periods. The Commission recently adopted amendments to Rules 101 and 102 of Regulation M that remove the Investment Grade Exceptions and add, in their place, new exceptions for Nonconvertible Securities. Certain provisions of the final amendments contain “collection of information” requirements.
The latest form for Rule 101, 17 CFR 242.101 (Activities by Distribution Participants) expires 2026-10-31 and can be found here.
Document Name |
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Supporting Statement A |
3235-0464 Supporting Statement (2023 Partial Revision).pdf
Rule 101, 17 CFR 242.101 (Activities by Distribution Participants) Rule 101, 17 CFR 242.101 (Activities by Distribution Participants)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight