OMB control number
Regulation ATS Rule 301 Amendments
OMB 3235-0509 · SEC.
The Securities and Exchange Commission is amending the regulatory requirements in Regulation ATS under the Exchange Act applicable to NMS Stock ATSs. The majority of these regulatory requirements are in new Rule 304 and Form ATS-N, which are being submitted to OMB separately for approval and a control number. However, the rulemaking also includes new information collections under Rule 301 and a related revision to the existing IC for Form ATS (which has the same OMB Control Number as Rule 301) and we are also updating our burden estimates for some of the other ICs in the rule.
The latest form for Regulation ATS Rule 301 Amendments expires 2028-01-31 and can be found here.
Document Name |
|---|
Form and Instruction |
Form and Instruction |
Form and Instruction |
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Form Form ATS-R Form ATS-R - Quarterly Reports
89 FR 73136 (OMB 3235-0509).pdf
Form ATS-R - Quarterly Reports Form ATS-R - Quarterly Reports
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
| Form Form ATS-R | Form ATS-R | www.sec.gov/about/forms/formats.pdf | Form and instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.