Submission for OMB Review; Comment Request, 36075 [E7-12663]

Download as PDF 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]
[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