Notice2023-15000
Submission for OMB Review; Comment Request; Extension: Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Primary source
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Published
July 14, 2023
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 88 Issue 134 (Friday, July 14, 2023)</title>
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[Federal Register Volume 88, Number 134 (Friday, July 14, 2023)]
[Notices]
[Page 45253]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-15000]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-818, OMB Control No. 3235-0774]
Submission for OMB Review; Comment Request; Extension: Amendments
to the National Market System Plan Governing the Consolidated Audit
Trail
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for approval of extension of the
previously approved collection of information provided for in
connection with amendments \1\ adopted pursuant to the statutory
authority provided by the Securities Exchange Act of 1934,\2\ including
Sections 11A(a)(3)(B),\3\ 17(a),\4\ 19(b),\5\ and 23(a) \6\ thereof,
and pursuant to Rule 608(a)(2) and (b)(2),\7\ to a National Market
System (NMS) Plan filed with the Commission under Rule 613 (17 CFR
242.613), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
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\1\ See Securities Exchange Act Release No. 88890 (May 15,
2020), 85 FR 31322 (May 22, 2020) (File No. S7-13-19) (``Adopting
Release'').
\2\ See 15 U.S.C. 78a et seq.
\3\ See 15 U.S.C. 78k-1(a)(3)(B).
\4\ See 15 U.S.C. 78q(a).
\5\ See 15 U.S.C. 78s(b).
\6\ See 15 U.S.C. 78w(a).
\7\ See 17 CFR 242.608(a)(2), (b)(2).
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The amendments, as adopted, required two new collections of
information:
a. Implementation Plan. The amendments require the Participants,
within 30 calendar days following the effective date of the amendments,
to prepare, file with the Commission, and make publicly available on a
website a complete CAT implementation plan (``Implementation Plan'')
that includes a detailed timeline for achieving various implementation
milestones.
b. Quarterly Progress Reports. The amendments require the
Participants, within 30 calendar days after the end of each calendar
quarter, to prepare, file with the Commission, and make publicly
available on a website a complete report (the ``Quarterly Progress
Report'') that provides a detailed and up-to-date description of the
progress made by the Participants toward each of the milestones
identified in the Implementation Plan.
The one-time information collection associated with the
Implementation Plan was completed by the Participants, so there will be
no further burdens associated with the Implementation Plan. The
Quarterly Progress Report information collection continues.
There are currently 25 Participants, who must complete four
Quarterly Progress Reports per year. The Commission staff estimates
that, on the average, most Quarterly Progress Reports require
approximately 72 hours per Participant, and cost approximately $8,000
per Participant. The Commission staff estimates Participants spend a
total of approximately 7,200 hours per year (25 x 4 x 72) and $800,000
per year (25 x 4 x $8,000) complying with the rule.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.
The public may view background documentation for this information
collection at the following website: <a href="http://www.reginfo.gov">www.reginfo.gov</a>. Find this
particular information collection by selecting ``Currently under 30-day
Review--Open for Public Comments'' or by using the search function.
Written comments and recommendations for the proposed information
collection should be sent by August 14, 2023 to (i) <a href="http://www.reginfo.gov/public/do/PRAMain">www.reginfo.gov/public/do/PRAMain</a> and (ii) David Bottom, Director/Chief Information
Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F
Street NE, Washington, DC 20549, or by sending an email to:
<a href="/cdn-cgi/l/email-protection#9dcdcfdcc2d0fcf4f1fff2e5ddeef8feb3faf2eb"><span class="__cf_email__" data-cfemail="dc8c8e9d8391bdb5b0beb3a49cafb9bff2bbb3aa">[email protected]</span></a>.
Dated: July 11, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-15000 Filed 7-13-23; 8:45 am]
BILLING CODE 8011-01-P
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