Submission for OMB Review; Comment Request, 39648 [E7-13966]
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39648
Federal Register / Vol. 72, No. 138 / Thursday, July 19, 2007 / Notices
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 by sending an e-mail to:
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: July 12, 2007.
Nancy M. Morris,
Secretary.
[FR Doc. E7–13965 Filed 7–18–07; 8:45 am]
BILLING CODE 8010–01–P
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.
cprice-sewell on PROD1PC66 with NOTICES
Extension:
Rule 15a–6, SEC File No. 270–0329, OMB
Control No. 3235–0371.
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–6 (17 CFR 240.15a–6) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) provides, among
other things, an exemption from brokerdealer registration for foreign brokerdealers that effect trades with or for U.S.
institutional investors through a U.S.
registered broker-dealer, provided that
the U.S. broker-dealer obtains certain
information about, and consents to
service of process from, the personnel of
the foreign broker-dealer involved in
such transactions, and maintains certain
records in connection therewith.
These requirements are intended to
ensure (a) that the U.S. broker-dealer
will receive notice of the identity of,
and has reviewed the background of,
foreign personnel who will contact U.S.
institutional investors, (b) that the
foreign broker-dealer and its personnel
effectively may be served with process
in the event enforcement action is
necessary, and (c) that the Commission
has ready access to information
VerDate Aug<31>2005
15:31 Jul 18, 2007
Jkt 211001
concerning these persons and their U.S.
securities activities.
In general, the records to be
maintained under Rule 15a–6 must be
kept for the applicable time periods as
set forth in Rule 17a–4 (17 CFR
240.17a–4) under the Exchange Act or,
with respect to the consents to service
of process, for a period of not less than
six years after the applicable person
ceases engaging in U.S. securities
activities. Reliance on the exemption set
forth in Rule 15a–6 is voluntary, but if
a foreign broker-dealer elects to rely on
such exemption, the collection of
information described therein is
mandatory. The collection does not
involve 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.
It is estimated that approximately
2,000 respondents will incur an average
burden of three hours per year to
comply with this rule, for a total burden
of 6,000 hours. At an average cost per
hour of approximately $100, the
resultant total cost of compliance for the
respondents is $600,000 per year (2,000
entities × 3 hours/entity × $100/hour =
$600,000).
General comments regarding the
estimated burden hours should be
directed to the following persons: (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
send 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 OMB within 30 days of
this notice.
Dated: July 12, 2007.
Nancy M. Morris,
Secretary.
[FR Doc. E7–13966 Filed 7–18–07; 8:45 am]
BILLING CODE 8010–01–P
PO 00000
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–56055; File No. SR–ISE–
2007–52]
Self-Regulatory Organizations;
International Securities Exchange,
LLC; Notice of Filing and Immediate
Effectiveness of a Proposed Rule
Change as Modified by Amendment
No. 1 Thereto Relating to Fee Waivers
July 12, 2007.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’) 1 and Rule 19b–4 thereunder,2
notice is hereby given that on June 27,
2007, the International Securities
Exchange, LLC (‘‘ISE’’ or ‘‘Exchange’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been substantially prepared by the
Exchange. On July 11, 2007, the
Exchange filed Amendment No. 1 to the
proposed rule change. ISE has
designated this proposal as one
establishing or changing a due, fee, or
other charge imposed by ISE under
Section 19(b)(3)(A)(ii) of the Act 3 and
Rule 19b–4(f)(2) thereunder,4 which
renders the proposal effective upon
filing with the Commission. The
Commission is publishing this notice to
solicit comments on the proposed rule
change, as amended, from interested
persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
ISE proposes to amend its Schedule of
Fees to extend two fee waivers. The text
of the proposed rule change is available
at the Commission’s Public Reference
Room, at the Exchange, and on its Web
site at https://www.ise.com.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change, and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in Sections A, B, and C below, of
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A)(ii).
4 17 CFR 240.19b–4(f)(2).
2 17
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]]>Agencies
[Federal Register Volume 72, Number 138 (Thursday, July 19, 2007)]
[Notices]
[Page 39648]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-13966]
-----------------------------------------------------------------------
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 15a-6, SEC File No. 270-0329, OMB Control No. 3235-0371.
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-6 (17 CFR 240.15a-6) under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) provides, among other things, an exemption
from broker-dealer registration for foreign broker-dealers that effect
trades with or for U.S. institutional investors through a U.S.
registered broker-dealer, provided that the U.S. broker-dealer obtains
certain information about, and consents to service of process from, the
personnel of the foreign broker-dealer involved in such transactions,
and maintains certain records in connection therewith.
These requirements are intended to ensure (a) that the U.S. broker-
dealer will receive notice of the identity of, and has reviewed the
background of, foreign personnel who will contact U.S. institutional
investors, (b) that the foreign broker-dealer and its personnel
effectively may be served with process in the event enforcement action
is necessary, and (c) that the Commission has ready access to
information concerning these persons and their U.S. securities
activities.
In general, the records to be maintained under Rule 15a-6 must be
kept for the applicable time periods as set forth in Rule 17a-4 (17 CFR
240.17a-4) under the Exchange Act or, with respect to the consents to
service of process, for a period of not less than six years after the
applicable person ceases engaging in U.S. securities activities.
Reliance on the exemption set forth in Rule 15a-6 is voluntary, but if
a foreign broker-dealer elects to rely on such exemption, the
collection of information described therein is mandatory. The
collection does not involve 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.
It is estimated that approximately 2,000 respondents will incur an
average burden of three hours per year to comply with this rule, for a
total burden of 6,000 hours. At an average cost per hour of
approximately $100, the resultant total cost of compliance for the
respondents is $600,000 per year (2,000 entities x 3 hours/entity x
$100/hour = $600,000).
General comments regarding the estimated burden hours should be
directed to the following persons: (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 send 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 OMB within 30 days of
this notice.
Dated: July 12, 2007.
Nancy M. Morris,
Secretary.
[FR Doc. E7-13966 Filed 7-18-07; 8:45 am]
BILLING CODE 8010-01-P
