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Federal forms, ICRs, and supporting documents

OMB control number

Rule 605 of Regulation NMS (f/k/a Rule 11Ac1-5)

OMB 3235-0542 · SEC.

OMB 3235-0542

The information disclosed under Rule 605 of Regulation NMS will be used by investors, broker-dealers and market centers to help analyze order execution practices and evaluate different market centers. Respondents will be market centers. Partial Revision: On March 6, 2024, the Commission adopted amendments to Rule 605 to update the disclosure required for order executions in national market system (“NMS”) stocks. The Commission is revising the information collection and apply such collection of information to new categories of respondents and to add new information collections.

The latest form for Rule 605 of Regulation NMS (f/k/a Rule 11Ac1-5) expires 2027-05-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supporting Statement A
All Historical Document Collections
Approved without change
 Revision of a currently approved collection 2024-04-16
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2023-03-23
Approved with change
 Reinstatement with change of a previously approved collection 2022-04-01
Approved without change
 Revision of a currently approved collection 2018-11-20
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2018-03-09
Approved without change
 Extension without change of a currently approved collection 2016-04-14
Approved without change
 Extension without change of a currently approved collection 2013-04-08
Approved without change
 Extension without change of a currently approved collection 2010-05-12
Approved with change
 Revision of a currently approved collection 2007-01-04
Approved without change
 Extension without change of a currently approved collection 2003-11-12
Approved without change
 No material or nonsubstantive change to a currently approved collection 2001-03-28
Approved without change
 New collection (Request for a new OMB Control Number) 2000-08-04
OMB Details

Rule 605 of Regulation NMS (Ongoing Burden for All Respondents)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight