Submission for OMB Review; Comment Request, 42138-42139 [E7-14845]

Download as PDF 42138 Federal Register / Vol. 72, No. 147 / Wednesday, August 1, 2007 / Notices second public comment period closed on May 29, 2007, and no comments have been received. RG 4.15, Revision 2, is no longer considered ‘‘for trial use’’ but is considered ‘‘for final use’’ without change to the information in the guide. Electronic copies of Regulatory Guide 4.15 are available through the NRC’s public Web site under Regulatory Guides in the Regulatory Guides document collection of the NRC’s Electronic Reading Room at https://www.nrc.gov/reading-rm/doccollections/. In addition, regulatory guides are available for inspection at the NRC’s Public Document Room (PDR), which is located at 11555 Rockville Pike, Rockville, Maryland. The PDR’s mailing address is USNRC PDR, Washington, DC 20555–0001. The PDR can also be reached by telephone at (301) 415–4737 or (800) 397–4209, by fax at (301) 415– 3548, and by e-mail to PDR@nrc.gov. Regulatory guides are not copyrighted, and NRC approval is not required to reproduce them. (5 U.S.C. 552(a)) Dated at Rockville, Maryland, this 25th day of July, 2007. For the U.S. Nuclear Regulatory Commission. Brian W. Sheron, Director, Office of Nuclear Regulatory Research. [FR Doc. E7–14863 Filed 7–31–07; 8:45 am] BILLING CODE 7590–01–P POSTAL REGULATORY COMMISSION International Mail Briefing AGENCY: ACTION: Postal Regulatory Commission. Notice of briefing. SUMMARY: Representatives of U.S. regulators and the private sector will present a briefing on Wednesday, August 1, 2007, beginning at 11:30 a.m., in the Postal Regulatory Commission’s main conference room. The briefing will address issues raised by the sale of financial services by international postal operators. DATES: August 1, 2007. Postal Regulatory Commission, 901 New York Avenue, NW., Suite 200, Washington, DC 20268– 0001. jlentini on PROD1PC65 with NOTICES ADDRESSES: FOR FURTHER INFORMATION CONTACT: Stephen L. Sharfman, General Counsel, Postal Regulatory Commission, 202– VerDate Aug<31>2005 20:12 Jul 31, 2007 Jkt 211001 789–6820 and stephen.sharfman@prc.gov. Garry J. Sikora, Acting Secretary. [FR Doc. 07–3761 Filed 7–31–07; 8:45 am] BILLING CODE 7710–FW–M SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–453; OMB Control No. 3235–0510] Submission for OMB Review; Comment Request; Extension: Rule 302 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. Regulation ATS (17 CFR 242.300 et seq.) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) provides a regulatory structure that directly addresses issues related to alternative trading systems’ role in the marketplace. Regulation ATS allows alternative trading systems to choose between two regulatory structures. Alternative trading systems have the choice between registering as broker-dealers and complying with Regulation ATS or registering as national securities exchanges. Rule 302 of Regulation ATS describes the recordkeeping requirements for alternative trading systems that are not national securities exchanges. Under Rule 302, alternative trading systems are required to make a record of subscribers to the alternative trading system, daily summaries of trading in the alternative trading system, and time-sequenced records of order information in the alternative trading system. The information required to be collected under the Rule should increase the abilities of the Commission, state securities regulatory authorities, and the SROs to ensure that alternative trading systems are in compliance with Regulation ATS as well as other rules and regulations of the Commission and the SROs. If the information is not collected or collected less frequently, the Commission would be severely limited in its ability to comply with its statutory obligations, provide for the protection of investors and promote the maintenance of fair and orderly markets. Respondents consist of alternative trading systems that choose to register PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 as broker-dealers and comply with the requirements of Regulation ATS. The Commission estimates that there are currently approximately 65 respondents. An estimated 65 respondents will spend approximately 2,340 hours per year (65 respondents at 36 burden hours/respondent) to comply with the recordkeeping requirements of Rule 302. At an average cost per burden hour of $86.54, the resultant total related cost of compliance for these respondents is $202,504.00 per year (2,340 burden hours multiplied by $86.54/hour; a slight discrepancy is due to arithmetic rounding). Compliance with Rule 302 is mandatory. The information required by the Rule 302 is available only to the examination of the Commission staff, state securities authorities and the SROs. Subject to the provisions of the Freedom of Information Act, 5 U.S.C. 522, and the Commission’s rules thereunder (17 CFR 200.80(b)(4)(iii)), the Commission does not generally publish or make available information contained in any reports, summaries, analyses, letters, or memoranda arising out of, in anticipation of, or in connection with an examination or inspection of the books and records of any person or any other investigation. Regulation ATS requires alternative trading systems to preserve any records, for at least three years, made in the process of complying with the systems capacity, integrity and security requirements. 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: July 23, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–14842 Filed 7–31–07; 8:45 am] BILLING CODE 8010–01–P E:\FR\FM\01AUN1.SGM 01AUN1 Federal Register / Vol. 72, No. 147 / Wednesday, August 1, 2007 / Notices SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–451, OMB Control No. 3235–0509] Submission for OMB Review; Comment Request Upon written request, copies available from: Securities and Exchange Commission, Office of Investor Education and Assistance, Washington, DC 20549–0213. jlentini on PROD1PC65 with NOTICES Extension: Rule 301 and Forms ATS and ATS–R. 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. Regulation ATS (17 CFR 242.300 et seq.) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) provides a regulatory structure that directly addresses issues related to alternative trading systems’ role in the marketplace. Regulation ATS allows alternative trading systems to choose between two regulatory structures. Alternative trading systems have the choice between registering as broker-dealers and complying with Regulation ATS or registering as national securities exchanges. Regulation ATS provides the regulatory framework for those alternative trading systems that choose to be regulated as broker-dealers. Rule 301 of Regulation ATS contains certain notice and reporting requirements, as well as additional obligations that only apply to alternative trading systems with significant volume. Rule 301 describes the conditions with which a registered broker-dealer operating an alternative trading system must comply. The Rule requires all alternative trading systems that wish to comply with Regulation ATS to file an initial operation report on Form ATS. The initial operation report requires information regarding operation of the system including the method of operation, access criteria and the types of securities traded. Alternative trading systems are also required to supply updates on Form ATS to the Commission, describing material changes to the system, and quarterly transaction reports on Form ATS–R. Alternative trading systems are also required to file cessation of operations reports on Form ATS. Alternative trading systems with significant volume are required to VerDate Aug<31>2005 20:12 Jul 31, 2007 Jkt 211001 comply with requirements for fair access and systems capacity, integrity and security. Under Rule 301, such alternative trading systems are required to establish standards for granting access to trading on its system. In addition, upon a decision to deny or limit an investor’s access to the system, an alternative trading system is required to provide notice to the investor of the denial or limitation and their right to an appeal to the Commission. Regulation ATS requires alternative trading systems to preserve any records made in the process of complying with the systems’ capacity, integrity and security requirements. In addition, such alternative trading systems are required to notify Commission staff of material systems outages and significant systems changes. The Commission uses the information provided pursuant to the Rule to monitor the growth and development of alternative trading systems to confirm that investors effecting trades through the systems are adequately protected, and that the systems do not impede the maintenance of fair and orderly securities markets or otherwise operate in a manner that is inconsistent with the federal securities laws. In particular, the information collected and reported to the Commission by alternative trading systems enables the Commission to evaluate the operation of alternative trading systems with regard to national market system goals, and monitor the competitive effects of these systems to ascertain whether the regulatory framework remains appropriate to the operation of such systems. Without the information provided on Forms ATS and ATS–R, the Commission would not have readily available information on a regular basis in a format that will allow it to determine whether such systems have adequate safeguards. Respondents consist of alternative trading systems that choose to register as broker-dealers and comply with the requirements of Regulation ATS. The Commission estimates that there are currently approximately 65 respondents. An estimated 65 respondents will file an average total of 465 responses per year, which corresponds to an estimated annual response burden of 1,982.5 hours. At an average cost per burden hour of approximately $95.57, the resultant total related cost of compliance for these respondents is $189,458.15 per year (1,982.5 burden hours multiplied by $95.57 per hour; a slight discrepancy is due to arithmetic rounding). Compliance with Rule 301 is mandatory. The information required by PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 42139 the Rule 301 is available only to the examination of the Commission staff, state securities authorities and the SROs. Subject to the provisions of the Freedom of Information Act, 5 U.S.C. 522, and the Commission’s rules thereunder (17 CFR 200.80(b)(4)(iii)), the Commission does not generally publish or make available information contained in any reports, summaries, analyses, letters, or memoranda arising out of, in anticipation of, or in connection with an examination or inspection of the books and records of any person or any other investigation. Regulation ATS requires alternative trading systems to preserve any records, for at least three years, made in the process of complying with the systems capacity, integrity and security requirements. 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: July 23, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–14845 Filed 7–31–07; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–56134; File No. SR–CTA– 2007–01] Consolidated Tape Association; Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan July 25, 2007. Pursuant to section 11A of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 608 thereunder,2 1 15 2 17 E:\FR\FM\01AUN1.SGM U.S.C. 78k–1. CFR 242.608. 01AUN1

Agencies

[Federal Register Volume 72, Number 147 (Wednesday, August 1, 2007)]
[Notices]
[Pages 42138-42139]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-14845]


-----------------------------------------------------------------------



[[Page 42139]]

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-451, OMB Control No. 3235-0509]


Submission for OMB Review; Comment Request

Upon written request, copies available from: Securities and Exchange 
Commission, Office of Investor Education and Assistance, Washington, DC 
20549-0213.

Extension: Rule 301 and Forms ATS and ATS-R.

    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.
    Regulation ATS (17 CFR 242.300 et seq.) of the Securities Exchange 
Act of 1934 (15 U.S.C. 78a et seq.) provides a regulatory structure 
that directly addresses issues related to alternative trading systems' 
role in the marketplace. Regulation ATS allows alternative trading 
systems to choose between two regulatory structures. Alternative 
trading systems have the choice between registering as broker-dealers 
and complying with Regulation ATS or registering as national securities 
exchanges. Regulation ATS provides the regulatory framework for those 
alternative trading systems that choose to be regulated as broker-
dealers. Rule 301 of Regulation ATS contains certain notice and 
reporting requirements, as well as additional obligations that only 
apply to alternative trading systems with significant volume. Rule 301 
describes the conditions with which a registered broker-dealer 
operating an alternative trading system must comply. The Rule requires 
all alternative trading systems that wish to comply with Regulation ATS 
to file an initial operation report on Form ATS. The initial operation 
report requires information regarding operation of the system including 
the method of operation, access criteria and the types of securities 
traded. Alternative trading systems are also required to supply updates 
on Form ATS to the Commission, describing material changes to the 
system, and quarterly transaction reports on Form ATS-R. Alternative 
trading systems are also required to file cessation of operations 
reports on Form ATS.
    Alternative trading systems with significant volume are required to 
comply with requirements for fair access and systems capacity, 
integrity and security. Under Rule 301, such alternative trading 
systems are required to establish standards for granting access to 
trading on its system. In addition, upon a decision to deny or limit an 
investor's access to the system, an alternative trading system is 
required to provide notice to the investor of the denial or limitation 
and their right to an appeal to the Commission. Regulation ATS requires 
alternative trading systems to preserve any records made in the process 
of complying with the systems' capacity, integrity and security 
requirements. In addition, such alternative trading systems are 
required to notify Commission staff of material systems outages and 
significant systems changes.
    The Commission uses the information provided pursuant to the Rule 
to monitor the growth and development of alternative trading systems to 
confirm that investors effecting trades through the systems are 
adequately protected, and that the systems do not impede the 
maintenance of fair and orderly securities markets or otherwise operate 
in a manner that is inconsistent with the federal securities laws. In 
particular, the information collected and reported to the Commission by 
alternative trading systems enables the Commission to evaluate the 
operation of alternative trading systems with regard to national market 
system goals, and monitor the competitive effects of these systems to 
ascertain whether the regulatory framework remains appropriate to the 
operation of such systems. Without the information provided on Forms 
ATS and ATS-R, the Commission would not have readily available 
information on a regular basis in a format that will allow it to 
determine whether such systems have adequate safeguards.
    Respondents consist of alternative trading systems that choose to 
register as broker-dealers and comply with the requirements of 
Regulation ATS. The Commission estimates that there are currently 
approximately 65 respondents.
    An estimated 65 respondents will file an average total of 465 
responses per year, which corresponds to an estimated annual response 
burden of 1,982.5 hours. At an average cost per burden hour of 
approximately $95.57, the resultant total related cost of compliance 
for these respondents is $189,458.15 per year (1,982.5 burden hours 
multiplied by $95.57 per hour; a slight discrepancy is due to 
arithmetic rounding).
    Compliance with Rule 301 is mandatory. The information required by 
the Rule 301 is available only to the examination of the Commission 
staff, state securities authorities and the SROs. Subject to the 
provisions of the Freedom of Information Act, 5 U.S.C. 522, and the 
Commission's rules thereunder (17 CFR 200.80(b)(4)(iii)), the 
Commission does not generally publish or make available information 
contained in any reports, summaries, analyses, letters, or memoranda 
arising out of, in anticipation of, or in connection with an 
examination or inspection of the books and records of any person or any 
other investigation.
    Regulation ATS requires alternative trading systems to preserve any 
records, for at least three years, made in the process of complying 
with the systems capacity, integrity and security requirements.
    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: July 23, 2007.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-14845 Filed 7-31-07; 8:45 am]
BILLING CODE 8010-01-P
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