OMB control number

Transaction Fee Pilot for NMS Stocks

OMB 3235-0761 · SEC.

OMB 3235-0761

The Securities & Exchange Commission is adopting rules to institute a pilot to assess the effect that exchange transaction fees may have on order routing behavior, execution quality, and market quality.

The latest form for Transaction Fee Pilot for NMS Stocks expires 2022-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
TFP Final Rule Supporting Statement (Dec. 21, 2018).pdf Supporting Statement A
Order Routing Data
Exchange Transaction Fee Summaries
Pilot Securities Exchange Lists and Pilot Securities Change Lists

All Historical Document Collections

201812-3235-006 Approved without change	New collection (Request for a new OMB Control Number)	2019-02-21
201709-3235-015 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2018-03-26

OMB Details

Pilot Securities Exchange Lists and Pilot Securities Change Lists

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight