Proposed Collection; Comment Request, 28086 [E7-9572]
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Federal Register / Vol. 72, No. 96 / Friday, May 18, 2007 / Notices
consumers with notice and an opt-out
opportunity.
The Commission has estimated that
each of the approximately 15,474
Covered Persons having one or more
affiliates would require an average onetime burden of 1 hour to review affiliate
marketing practices, for a total of 15,474
hours, at a total staff cost of
approximately $3,791,130.
Approximately 2,211 Covered Persons
would be required to provide notice and
opt-out and would incur an average
first-year burden of 6 hours in doing so,
for a total estimated first-year burden of
13,266 hours, at a total staff cost of
approximately $2,510,590.50. With
regard to continuing notice burdens,
each of the approximately 2,211
Covered Persons required to provide
notice and opt-out would incur a onetime first-year burden of 2 hours to
develop notices for new consumers and
an annual burden of 2 hours to deliver
the notices and record any opt-outs, at
a total staff cost of approximately
$1,673,727. Averaged across the first
three years for which compliance would
be required, the total average yearly
burden would be approximately 12,528
hours and $7,975,447.50 in staff costs.
Direct your written comments to R.
Corey Booth, Director/Chief Information
Officer, Securities and Exchange
Commission, C/O Shirley Martinson,
6432 General Green Way, Alexandria,
Va. VA 22312 or send an e-mail to:
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 60 days of
this notice.
Dated: May 11, 2007.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E7–9568 Filed 5–17–07; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
pwalker on PROD1PC71 with NOTICES
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension:
Form BD/Rule 15b1–1; SEC File No.
270–19; OMB Control No. 3235–
0012.
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’’) is soliciting comments
on the collection of information
VerDate Aug<31>2005
17:06 May 17, 2007
Jkt 211001
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Form BD (17 CFR 249.501) under the
Securities Exchange Act of 1934 (17
U.S.C. 78a et seq.) is the application
form used by firms to apply to the
Commission for registration as a brokerdealer. Form BD also is used by firms
other than banks and registered brokerdealers to apply to the Commission for
registration as a municipal securities
dealer or a government securities
broker-dealer. In addition, Form BD is
used to change information contained in
a previous Form BD filing that becomes
inaccurate.
The total annual burden imposed by
Form BD is approximately 6,808 hours,
based on approximately 18,174
responses (335 initial filings + 17,839
amendments). Each initial filing
requires approximately 2.75 hours to
complete and each amendment requires
approximately 20 minutes to complete.
There is no annual cost burden.
The Commission uses the information
disclosed by applicants in Form BD: (1)
To determine whether the applicant
meets the standards for registration set
forth in the provisions of the Exchange
Act; (2) to develop a central information
resource where members of the public
may obtain relevant, up-to-date
information about broker-dealers,
municipal securities dealers and
government securities broker-dealers,
and where the Commission, other
regulators and SROs may obtain
information for investigatory purposes
in connection with securities litigation;
and (3) to develop statistical
information about broker-dealers,
municipal securities dealers and
government securities broker-dealers.
Without the information disclosed in
Form BD, the Commission could not
effectively implement policy objectives
of the Exchange Act with respect to its
investor protection function.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the proposed collection
of information; (c) ways to enhance the
quality, utility and clarity of the
information to be collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
PO 00000
Frm 00068
Fmt 4703
Sfmt 4703
comments and suggestions submitted in
writing within 60 days of this
publication.
Direct your written comments to R.
Corey Booth, Director/Chief Information
Officer, 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 60 days of
this notice.
Dated: May 11, 2007.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E7–9572 Filed 5–17–07; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension:
Regulation 12B; OMB Control No.
3235–0062; SEC File No. 270–70.
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’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Regulation 12B (17 CFR 240.12b–1—
12b–37) includes rules governing all
registration statements pursuant to
Sections 12(b) and 12(g) (U.S.C. 78l(b)
and 78l(g)) of the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.)
(‘‘Exchange Act’’), including all
amendments to such statements and
reports. The purpose of the regulation is
to set forth guidelines for the uniform
preparation of Exchange Act documents.
Regulation 12B is assigned one burden
hour for administrative convenience
because the regulation simply prescribes
the disclosure that must appear in other
filings under the federal securities laws.
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the collection
E:\FR\FM\18MYN1.SGM
18MYN1
]]>Agencies
[Federal Register Volume 72, Number 96 (Friday, May 18, 2007)]
[Notices]
[Page 28086]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-9572]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.
Extension:
Form BD/Rule 15b1-1; SEC File No. 270-19; OMB Control No. 3235-
0012.
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'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
Form BD (17 CFR 249.501) under the Securities Exchange Act of 1934
(17 U.S.C. 78a et seq.) is the application form used by firms to apply
to the Commission for registration as a broker-dealer. Form BD also is
used by firms other than banks and registered broker-dealers to apply
to the Commission for registration as a municipal securities dealer or
a government securities broker-dealer. In addition, Form BD is used to
change information contained in a previous Form BD filing that becomes
inaccurate.
The total annual burden imposed by Form BD is approximately 6,808
hours, based on approximately 18,174 responses (335 initial filings +
17,839 amendments). Each initial filing requires approximately 2.75
hours to complete and each amendment requires approximately 20 minutes
to complete. There is no annual cost burden.
The Commission uses the information disclosed by applicants in Form
BD: (1) To determine whether the applicant meets the standards for
registration set forth in the provisions of the Exchange Act; (2) to
develop a central information resource where members of the public may
obtain relevant, up-to-date information about broker-dealers, municipal
securities dealers and government securities broker-dealers, and where
the Commission, other regulators and SROs may obtain information for
investigatory purposes in connection with securities litigation; and
(3) to develop statistical information about broker-dealers, municipal
securities dealers and government securities broker-dealers. Without
the information disclosed in Form BD, the Commission could not
effectively implement policy objectives of the Exchange Act with
respect to its investor protection function.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information shall
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the proposed collection of information; (c) ways to
enhance the quality, utility and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology.
Consideration will be given to comments and suggestions submitted in
writing within 60 days of this publication.
Direct your written comments to R. Corey Booth, Director/Chief
Information Officer, 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
60 days of this notice.
Dated: May 11, 2007.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E7-9572 Filed 5-17-07; 8:45 am]
BILLING CODE 8010-01-P
