Submission for OMB Review; Comment Request, 36075 [E7-12663]
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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
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Fmt 4703
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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]
[Page 36075]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-12663]
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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 broker-dealer 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 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 45-day
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
