Submission for OMB Review; Comment Request, 36074 [E7-12661]

Download as PDF 36074 Federal Register / Vol. 72, No. 126 / Monday, July 2, 2007 / Notices 1. Report from Audit Committee. 2. Finance and Insurance Project— The Democratic Republic of Congo. 3. Finance Project—Costa Rica. 4. Approval of April 26, 2007 Minutes (Closed Portion). 7. Pending Major Projects. 8. Reports. CONTACT PERSON FOR INFORMATION: Information on the meeting may be obtained from Connie M. Downs at (202) 336–8438. Dated: June 28, 2007. Connie M. Downs, Corporate Secretary, Overseas Private Investment Corporation. [FR Doc. 07–3229 Filed 6–28–07; 12:15 pm] BILLING CODE 3210–01–M 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. jlentini on PROD1PC65 with NOTICES Extension: Rule 6a–3, SEC File No. 270–0015, OMB Control No. 3235–0021. 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 a request for extension of the previously approved collection of information discussed below. Section 6 of the Securities Exchange Act of 1934 (‘‘Act’’) (15 U.S.C. 78a et seq.) sets out a framework for the registration and regulation of national securities exchanges. Under Commission Rule 6a–3 (17 CFR 240.6a– 3), one of the rules that implements Section 6, a national securities exchange (or an exchange exempted from registration based on limited trading volume) must provide certain supplemental information to the Commission, including any material (including notices, circulars, bulletins, lists, and periodicals) issued or made generally available to members of, or participants or subscribers to, the exchange. Rule 6a–3 also requires the exchanges to file monthly reports that set forth the volume and aggregate dollar amount of securities sold on the exchange each month. The information required to be filed with the Commission pursuant to Rule 6a–3 is designed to enable the Commission to VerDate Aug<31>2005 22:57 Jun 29, 2007 Jkt 211001 carry out its statutorily mandated oversight functions and to ensure that registered and exempt exchanges continue to be in compliance with the Act. The respondents to the collection of information are national securities exchanges and exchanges that are exempt from registration based on limited trading volume. The Commission estimates that each respondent makes approximately 25 such filings on an annual basis at an average cost of approximately $21 per response. Currently, 12 respondents (ten national securities exchanges and two exempt exchanges) are subject to the collection of information requirements of Rule 6a–3. The Commission estimates that the total burden for all respondents is 150 hours (25 filings/respondent per year × 0.5 hours/filing × 12 respondents) and $6300 ($21/response × 25 responses/respondent per year × 12 respondents) per year. Compliance with Rule 6a–3 is mandatory for registered and exempt exchanges. Information received in response to Rule 6a–3 shall not be kept confidential; the information collected is public information. As set forth in Rule 17a–1 under the Act,1 a national securities exchange is required to retain records of the collection of information for at least five years. 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/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 within 30 days of this notice. Dated: June 22, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–12661 Filed 6–29–07; 8:45 am] BILLING CODE 8010–01–P 1 17 PO 00000 CFR 240.17a–1. Frm 00108 Fmt 4703 Sfmt 4703 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. Extension: Form 1, Rules 6a–1 and 6a–2; SEC File No. 270–0017; OMB Control No. 3235–0017. 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 a request for extension of the previously approved collection of information discussed below. The Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ‘‘Act’’) sets forth a regulatory scheme for national securities exchanges. Rule 6a–1 (17 CFR 240.6a–1) under the Act generally requires an applicant for initial registration as a national securities exchange to file an application with the Commission on Form 1. An exchange that seeks an exemption from registration based on limited trading volume also must apply for such exemption on Form 1. Rule 6a–2 (17 CFR 240.6a–2) under the Act requires registered and exempt exchanges: (1) to amend the Form 1 if there are any material changes to the information provided in the initial Form 1; and (2) to submit periodic updates of certain information provided in the initial Form 1, whether such information has changed or not. The information required pursuant to Rules 6a–1 and 6a– 2 is necessary to enable the Commission to maintain accurate files regarding the exchange and to exercise its statutory oversight functions. Without the information submitted pursuant to Rule 6a–1 on Form 1, the Commission would not be able to determine whether the respondent met the criteria for registration or exemption set forth in Sections 6 and 19 of the Act. Without the amendments and periodic updates of information submitted pursuant to Rule 6a–2, the Commission would have substantial difficulty determining whether a national securities exchange or exempt exchange was continuing to operate in compliance with the Act. The respondents to the collection of information are entities that seek registration as a national securities exchange or that seek exemption from registration based on limited trading volume. After the initial filing of Form E:\FR\FM\02JYN1.SGM 02JYN1

Agencies

[Federal Register Volume 72, Number 126 (Monday, July 2, 2007)]
[Notices]
[Page 36074]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-12661]


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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.

Extension:
    Rule 6a-3, SEC File No. 270-0015, OMB Control No. 3235-0021.

    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 a request for extension of the previously approved 
collection of information discussed below.
    Section 6 of the Securities Exchange Act of 1934 (``Act'') (15 
U.S.C. 78a et seq.) sets out a framework for the registration and 
regulation of national securities exchanges. Under Commission Rule 6a-3 
(17 CFR 240.6a-3), one of the rules that implements Section 6, a 
national securities exchange (or an exchange exempted from registration 
based on limited trading volume) must provide certain supplemental 
information to the Commission, including any material (including 
notices, circulars, bulletins, lists, and periodicals) issued or made 
generally available to members of, or participants or subscribers to, 
the exchange. Rule 6a-3 also requires the exchanges to file monthly 
reports that set forth the volume and aggregate dollar amount of 
securities sold on the exchange each month. The information required to 
be filed with the Commission pursuant to Rule 6a-3 is designed to 
enable the Commission to carry out its statutorily mandated oversight 
functions and to ensure that registered and exempt exchanges continue 
to be in compliance with the Act.
    The respondents to the collection of information are national 
securities exchanges and exchanges that are exempt from registration 
based on limited trading volume.
    The Commission estimates that each respondent makes approximately 
25 such filings on an annual basis at an average cost of approximately 
$21 per response. Currently, 12 respondents (ten national securities 
exchanges and two exempt exchanges) are subject to the collection of 
information requirements of Rule 6a-3. The Commission estimates that 
the total burden for all respondents is 150 hours (25 filings/
respondent per year x 0.5 hours/filing x 12 respondents) and $6300 
($21/response x 25 responses/respondent per year x 12 respondents) per 
year.
    Compliance with Rule 6a-3 is mandatory for registered and exempt 
exchanges. Information received in response to Rule 6a-3 shall not be 
kept confidential; the information collected is public information. As 
set forth in Rule 17a-1 under the Act,\1\ a national securities 
exchange is required to retain records of the collection of information 
for at least five years.
---------------------------------------------------------------------------

    \1\ 17 CFR 240.17a-1.
---------------------------------------------------------------------------

    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/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 within 30 
days of this notice.

    Dated: June 22, 2007.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-12661 Filed 6-29-07; 8:45 am]
BILLING CODE 8010-01-P