SEC Extends OMB Approval for Rule 613 Information Collection
27 exchanges and associations and 1,172 broker-dealers must continue reporting under the CAT NMS Plan; comments due Oct. 26, 2026.
The Securities and Exchange Commission has submitted to the Office of Management and Budget a request to extend the previously approved collection of information required by Rule 613 of Regulation NMS, as mandated by the Paperwork Reduction Act.
The collection supports the Consolidated Audit Trail (CAT) National Market System Plan, which was filed on February 27, 2015, and approved on November 15, 2016. Since 2017, the Commission has approved amendments and exemptive relief that have modified the data retained in the CAT, including the removal of certain customer and account-level information and shortened data-retention periods.
The Commission estimates that 1,199 respondents - 27 participants (the 26 national securities exchanges and one national securities association) and 1,172 broker-dealers - will incur an aggregate burden of approximately 4,122,488 hours and $384,727,051 per year to comply with the information collection requirements.
Comments on the collection request may be submitted online at https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-010 or by email to the address provided in the notice. The comment period closes on October 26, 2026.
The notice reiterates that a collection of information may not be conducted or sponsored without a currently valid OMB control number, which for this request is 3235-0671.
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