SEC Extends Rule 608 Information Collection Requirements for SROs
Self-regulatory organizations must continue to file and post NMS Plans under the extended Rule 608 collection, with comments due by Oct. 26, 2026.
The Securities and Exchange Commission has submitted to the Office of Management and Budget a request to extend the previously approved information collection for Rule 608 (17 CFR 242.608). The extension applies to self-regulatory organizations that file new national market system (NMS) plans or amend existing plans under the Securities Exchange Act of 1934. The notice, published in the Federal Register on September 25, 2026 (FR Doc No. 2026-19619), carries OMB Control No. 3235-0500.
The Commission estimates the annual industry burden for the collection at 14,918 hours, comprising 1,020 hours for creating new NMS plans, 150 hours for posting them, 13,260 hours for plan amendments, 148 hours for posting amendments, and 340 hours for plan-processor selection. Corresponding costs total approximately $731,314 per year, broken down as $226,914 for new plans, $491,790 for amendments, and $12,610 for processor-selection activities.
Compliance with Rule 608 remains mandatory; NMS plans and any amendments must be posted on designated websites and linked from participants' own sites. While the plan texts are public, any confidential information submitted to the Commission is protected by law. Records must be retained for at least five years, with the first two years in an easily accessible location.
The public may review the collection request at https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-012 and submit comments by October 26, 2026, the deadline specified in the notice.
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