Submission for OMB Review; Comment Request, 36074-36075 [E7-12662]

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 jlentini on PROD1PC65 with NOTICES Federal Register / Vol. 72, No. 126 / Monday, July 2, 2007 / Notices 1, both registered and exempt exchanges are subject to ongoing informational requirements. Initial filings on Form 1 by new exchanges are made on a one-time basis. The Commission estimates that it will receive approximately three initial Form 1 filings per year and that each respondent would incur an average burden of 47 hours to file an initial Form 1 at an average cost per response of approximately $4517. Therefore, the Commission estimates that the annual burden for all respondents to file the initial Form 1 would be 141 hours (one response/respondent × three respondents × 47 hours/response) and $13,551 (one response/respondent × three respondents × $4517/response). There currently are ten entities registered as national securities exchanges and two exempt exchanges. The Commission estimates that each registered or exempt exchange files one amendment or periodic update to Form 1 per year, incurring an average burden of 25 hours to comply with Rule 6a–2. The Commission estimates that the annual burden for all respondents to file amendments and periodic updates to the Form 1 pursuant to Rule 6a–2 is 300 hours (12 respondents × 25 hours/ response × one response/respondent per year) and $27,960 (12 respondents × $2330/response × one response/ respondent per year). Compliance with Rules 6a–1 and 6a– 2 and Form 1 is mandatory for entities seeking to register as a national securities exchange or seeking an exemption from registration based on limited trading volume. Information received in response to Rules 6a–1 and 6a–2 and Form 1 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 generally 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, 1 17 CFR 240.17a–1. VerDate Aug<31>2005 22:57 Jun 29, 2007 Jkt 211001 6432 General Green Way, Alexandria, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted to the Office of Management and Budget within 30 days of this notice. Dated: June 22, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–12662 Filed 6–29–07; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request June 4, 2007. Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549. Extension: Rule 15a–4, SEC File No. 270–7, OMB Control No. 3235–0010. 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. Rule 15a–4 (17 CFR 240.15a–4) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ‘‘Exchange Act’’) permits a natural person member of a securities exchange who terminates his or her association with a registered broker-dealer to continue to transact business on the exchange while the Commission reviews his or her application for registration as a brokerdealer if the exchange files a statement indicating that there does not appear to be any ground for disapproving the application. The total annual burden imposed by Rule 15a–4 is approximately 106 hours, based on approximately 25 responses (25 Respondents x 1 Response/Respondent), each requiring approximately 4.23 hours to complete. 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 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 36075 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. The statement submitted by the exchange assures the Commission that the applicant, in the opinion of the exchange, is qualified to transact business on the exchange during the time that the applications are reviewed. Completing and filing Form BD is mandatory in order for a natural person member of a securities exchange who terminates his or her association with a registered broker-dealer to obtain the 45day extension under Rule 15a–4. Compliance with Rule 15a–4 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/Chief Information Officer, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, VA 22312 or send an email 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. E7–12663 Filed 6–29–07; 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: E:\FR\FM\02JYN1.SGM 02JYN1

Agencies

[Federal Register Volume 72, Number 126 (Monday, July 2, 2007)]
[Notices]
[Pages 36074-36075]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-12662]


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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:
    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

[[Page 36075]]

1, both registered and exempt exchanges are subject to ongoing 
informational requirements.
    Initial filings on Form 1 by new exchanges are made on a one-time 
basis. The Commission estimates that it will receive approximately 
three initial Form 1 filings per year and that each respondent would 
incur an average burden of 47 hours to file an initial Form 1 at an 
average cost per response of approximately $4517. Therefore, the 
Commission estimates that the annual burden for all respondents to file 
the initial Form 1 would be 141 hours (one response/respondent x three 
respondents x 47 hours/response) and $13,551 (one response/respondent x 
three respondents x $4517/response).
    There currently are ten entities registered as national securities 
exchanges and two exempt exchanges. The Commission estimates that each 
registered or exempt exchange files one amendment or periodic update to 
Form 1 per year, incurring an average burden of 25 hours to comply with 
Rule 6a-2. The Commission estimates that the annual burden for all 
respondents to file amendments and periodic updates to the Form 1 
pursuant to Rule 6a-2 is 300 hours (12 respondents x 25 hours/response 
x one response/respondent per year) and $27,960 (12 respondents x 
$2330/response x one response/respondent per year).
    Compliance with Rules 6a-1 and 6a-2 and Form 1 is mandatory for 
entities seeking to register as a national securities exchange or 
seeking an exemption from registration based on limited trading volume. 
Information received in response to Rules 6a-1 and 6a-2 and Form 1 
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 generally 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 to the Office 
of Management and Budget within 30 days of this notice.

    Dated: June 22, 2007.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-12662 Filed 6-29-07; 8:45 am]
BILLING CODE 8010-01-P