Submission for OMB Review; Comment Request, 61809 [E6-17397]

Download as PDF cprice-sewell on PROD1PC66 with NOTICES Federal Register / Vol. 71, No. 202 / Thursday, October 19, 2006 / Notices letter should be included in the submission itself. Similarly, to the extent possible, any attachments to the submission should be included in the same file as the submission itself, and not as separate files. A person requesting that information contained in a comment submitted by that person be treated as confidential business information must certify that such information is business confidential and would not customarily be released to the public by the submitter. Confidential business information must be clearly designated as such and the submission must be marked ‘‘Business Confidential’’ at the top and bottom of the cover page and each succeeding page. Information or advice contained in a comment submitted, other than business confidential information, may be determined by USTR to be confidential in accordance with section 135(g)(2) of the Trade Act of 1974 (19 U.S.C. 2155(g)(2)). If the submitter believes that information or advice may qualify as such, the submitter— (1) Must clearly so designate the information or advice; (2) Must clearly mark the material as ‘‘Submitted in Confidence’’ at the top and bottom of the cover page and each succeeding page; and (3) Is encouraged to provide a nonconfidential summary of the information or advice. Pursuant to section 127(e) of the URAA (19 U.S.C. 3537(e)), USTR will maintain a file on this dispute settlement proceeding, accessible to the public, in the USTR Reading Room, which is located at 1724 F Street, NW., Washington, DC 20508. The public file will include non-confidential comments received by USTR from the public with respect to the dispute; and the U.S. submissions, the submissions, or nonconfidential summaries of submissions, received from other participants in the dispute; the report of the panel and; if applicable, the report of the Appellate Body. An appointment to review the public file (Docket No. WT/DS285, Gambling and Betting Dispute) may be made by calling the USTR Reading Room at (202) 395–6186. The USTR Reading Room is open to the public from 9:30 a.m. to noon and 1 p.m. to 4 p.m., Monday through Friday. Daniel E. Brinza, Assistant United States Trade Representative for Monitoring and Enforcement. [FR Doc. E6–17527 Filed 10–18–06; 8:45 am] BILLING CODE 3190–W7–P VerDate Aug<31>2005 14:50 Oct 18, 2006 Jkt 211001 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 Frm 00104 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

Agencies

[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