Submission for OMB Review; Comment Request, 61809 [E6-17397]
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Federal Register / Vol. 71, No. 202 / Thursday, October 19, 2006 / Notices
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for Monitoring and Enforcement.
[FR Doc. E6–17527 Filed 10–18–06; 8:45 am]
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SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Regulation SHO; SEC File No. 270–534; OMB
Control No. 3235–0589.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
request for extension of the previously
approved collection of information
discussed below.
Regulation SHO
Proposed Regulation SHO, Rule 201
(17 CFR 242.200 through 242.203)
requires each broker-dealer that effects a
sell order in any equity security to mark
the order ‘‘long,’’ short,’’ or ‘‘short
exempt.’’ Proposed Regulation SHO,
Rule 201 causes a collection of
information because the rule’s
requirement that each order ticket be
marked either ‘‘long,’’ ‘‘short,’’ or ‘‘short
exempt’’ is a disclosure to third parties
and the public imposed on ten or more
persons.
The information required by the rule
is necessary for the execution of the
Commission’s mandate under the
Exchange Act to prevent fraudulent,
manipulative, and deceptive acts and
practices by broker-dealers. The purpose
of the information collected is to enable
regulators to monitor whether a person
effecting a short sale is acting in
accordance with proposed Regulation
SHO. Without the requirement that each
order or an equity security be marked
either ‘‘long,’’ ‘‘short,’’ or ‘‘short
exempt,’’ there would be no means to
police compliance with Regulation
SHO.
We assume that all of the
approximately 6,752 registered brokerdealers effect sell orders in securities
covered by proposed Regulation SHO.
For purposes of the Paperwork
Reduction Act, the Commission staff has
estimated that a total of 1,164,755,007
trades are executed annually.
This is an average of approximately
172,505 annual responses by each
respondent. Each response of marking
orders ‘‘long,’’ ‘‘short,’’ or ‘‘short
exempt’’ takes approximately .000139
hours (.5 seconds) to complete. Thus,
the total approximate estimated annual
hour burden per year is 161,900 burden
PO 00000
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Fmt 4703
Sfmt 4703
61809
hours (1,164,755,007 responses @
0.000139 hours/response). A reasonable
estimate for the paperwork compliance
for the proposed rules for each brokerdealer is approximately 24 burden hours
(172,505 responses @ .000139 hours/
response) or (161,900 burden hours /
6,752 respondents).
The retention period for the
recordkeeping requirement under
Regulation SHO is three years following
the trade date. The recordkeeping
requirement under this Rule is
mandatory to assist the Commission
with monitoring the short sales of
securities. This rule does not involve
the collection of confidential
information. Please note that an agency
may not conduct or sponsor, and a
person is not required to respond to, a
collection of information unless it
displays a currently valid control
number.
Comments should be directed to: (i)
Desk Officer for the Securities and
Exchange Commission, Office of
Information and Regulatory Affairs,
Office of Management and Budget,
Room 10102, New Executive Office
Building, Washington, DC 20503 or by
sending an e-mail to:
David_Rostker@omb.eop.gov; and (ii) R.
Corey Booth, Director/CIO, Office of
Information Technology, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
Alexandria, VA 22312 or send an e-mail
to: PRA_Mailbox@sec.gov. Comments
must be submitted to OMB within 30
days of this notice.
Dated: October 10, 2006.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E6–17397 Filed 10–18–06; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–54593; File No. SR–Amex–
2006–97]
Self-Regulatory Organizations;
American Stock Exchange LLC; Notice
of Filing and Immediate Effectiveness
of Proposed Rule Change To Amend
the Electronic Access Fee
October 12, 2006.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’) 1 and Rule 19b–4 thereunder,2
notice is hereby given that on October
4, 2006, the American Stock Exchange
LLC (‘‘Amex’’ or ‘‘Exchange’’) submitted
1 15
2 17
E:\FR\FM\19OCN1.SGM
U.S.C. 78s(b)(1).
CFR 240.19b–4.
19OCN1
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[Federal Register Volume 71, Number 202 (Thursday, October 19, 2006)]
[Notices]
[Page 61809]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-17397]
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SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.
Regulation SHO; SEC File No. 270-534; OMB Control No. 3235-0589.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission
(``Commission'') has submitted to the Office of Management and Budget
request for extension of the previously approved collection of
information discussed below.
Regulation SHO
Proposed Regulation SHO, Rule 201 (17 CFR 242.200 through 242.203)
requires each broker-dealer that effects a sell order in any equity
security to mark the order ``long,'' short,'' or ``short exempt.''
Proposed Regulation SHO, Rule 201 causes a collection of information
because the rule's requirement that each order ticket be marked either
``long,'' ``short,'' or ``short exempt'' is a disclosure to third
parties and the public imposed on ten or more persons.
The information required by the rule is necessary for the execution
of the Commission's mandate under the Exchange Act to prevent
fraudulent, manipulative, and deceptive acts and practices by broker-
dealers. The purpose of the information collected is to enable
regulators to monitor whether a person effecting a short sale is acting
in accordance with proposed Regulation SHO. Without the requirement
that each order or an equity security be marked either ``long,''
``short,'' or ``short exempt,'' there would be no means to police
compliance with Regulation SHO.
We assume that all of the approximately 6,752 registered broker-
dealers effect sell orders in securities covered by proposed Regulation
SHO. For purposes of the Paperwork Reduction Act, the Commission staff
has estimated that a total of 1,164,755,007 trades are executed
annually.
This is an average of approximately 172,505 annual responses by
each respondent. Each response of marking orders ``long,'' ``short,''
or ``short exempt'' takes approximately .000139 hours (.5 seconds) to
complete. Thus, the total approximate estimated annual hour burden per
year is 161,900 burden hours (1,164,755,007 responses @ 0.000139 hours/
response). A reasonable estimate for the paperwork compliance for the
proposed rules for each broker-dealer is approximately 24 burden hours
(172,505 responses @ .000139 hours/response) or (161,900 burden hours /
6,752 respondents).
The retention period for the recordkeeping requirement under
Regulation SHO is three years following the trade date. The
recordkeeping requirement under this Rule is mandatory to assist the
Commission with monitoring the short sales of securities. This rule
does not involve the collection of confidential information. Please
note that an agency may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless it displays
a currently valid control number.
Comments should be directed to: (i) Desk Officer for the Securities
and Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503 or by sending an e-mail to: David--
Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/CIO, Office of
Information Technology, Securities and Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way, Alexandria, VA 22312 or send an e-
mail to: PRA--Mailbox@sec.gov. Comments must be submitted to OMB within
30 days of this notice.
Dated: October 10, 2006.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E6-17397 Filed 10-18-06; 8:45 am]
BILLING CODE 8011-01-P
