OMB control number

Order Protection Rule - Rule 611 of Regulation NMS

OMB 3235-0600 · SEC.

OMB 3235-0600

Rule 611, adopted June 9, 2005, effective August 29, 2005 (see 70 FR 37495), requires a trading center (which included national securities exchanges, national securities association, alternative trading systems, exchange market makers, OTC market makers) to establish, maintain, and enforce written policies and procedures that area reasonably designed to prevent trade-throughs of protected quotations and, if relying on an exception, that are reasonably designed to ensure compliance with the terms of the exception.

The latest form for Order Protection Rule - Rule 611 of Regulation NMS expires 2026-08-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0600.pdf Supplementary Document
3235-0600.pdf Supplementary Document
DGL REVISED 2023 Rule 611 Supporting Statement.pdf Supporting Statement A
3235-0600 30 Day Notice.pdf Supplementary Document
3235-0600 60 day notice.pdf Supplementary Document
Order Protection Rule - Rule 611 of Regulation NMS

All Historical Document Collections

202304-3235-011 Approved without change	Extension without change of a currently approved collection	2023-07-11
202005-3235-016 Approved without change	Extension without change of a currently approved collection	2020-08-07
201704-3235-011 Approved without change	Extension without change of a currently approved collection	2017-07-28
201403-3235-003 Approved without change	Extension without change of a currently approved collection	2014-06-05
201103-3235-014 Approved without change	Extension without change of a currently approved collection	2011-05-18
200802-3235-021 Approved without change	Extension without change of a currently approved collection	2008-04-09
200412-3235-034 Approved without change	New collection (Request for a new OMB Control Number)	2004-12-21