OMB control number

Market Data Infrastructure -- Rule 614(d)(9)

OMB 3235-0794 · SEC.

OMB 3235-0794

The Commission adopted Rule 614(d)(9) for competing consolidators that do not meet a revenue threshold that will imposes obligations which are substantially similar to certain Regulation SCI requirements.

The latest form for Market Data Infrastructure -- Rule 614(d)(9) expires 2027-12-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Market Data Infrastructure -- Rule 614(d)(9) (Final Rule Supporting Statement).pdf Supporting Statement A
Identification of de minimis events required by Rule 614(d)(9)(iii)(B) and (C) - ongoing burden
Identification of de minimis events required by Rule 614(d)(9)(iii)(B) and (C) - initial burden
Corrective action required by Rule 614(d)(9)(iii)(A) - ongoing burden
Corrective action required by Rule 614(d)(9)(iii)(A) - initial burden
Dissemination of updates required by Rule 614(d)(9)(iii)(B) - ongoing burden
Dissemination of information required by Rule 614(d)(9)(iii)(B) - ongoing burden
Systems intrusion and disruption updates required by Rule 614(d)(9)(iii)(C) – ongoing burden
Systems intrusion and disruption notifications required by Rule 614(d)(9)(iii)(C) – ongoing burden
Mandate participation in certain testing required by 614(d)(9)(iv) - ongoing burden
Mandate participation in certain testing required by 614(d)(9)(iv) - initial burden
Policies and procedures required by Rule 614(d)(9)(ii)(C) - ongoing burden
Policies and procedures required by Rule 614(d)(9)(ii)(C) - initial burden
Policies and procedures required by Rule 614(d)(9)(ii)(B) - ongoing burden
Policies and procedures required by Rule 614(d)(9)(ii)(A) – initial burden

All Historical Document Collections

202410-3235-011	New collection (Request for a new OMB Control Number)	2024-10-25
202207-3235-031 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2022-07-28

OMB Details

Policies and procedures required by Rule 614(d)(9)(ii)(A) – initial burden

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight