Proposed Collection; Comment Request, 71708-71709 [E8-27987]

Download as PDF 71708 Federal Register / Vol. 73, No. 228 / Tuesday, November 25, 2008 / Notices the general comments field. Submissions in Microsoft Word (.doc) or Adobe Acrobat (.pdf) are preferred. If an application other than those two is used, please identify in your submission the specific application used. For any comments submitted electronically containing business confidential information, the file name of the business confidential version should begin with the characters ‘‘BC’’. Any page containing business confidential information must be clearly marked ‘‘BUSINESS CONFIDENTIAL’’ on the top of that page. Filers of submissions containing business confidential information should also attach a public version of their comments. The file name of the public version should begin with the character ‘‘P’’. The ‘‘BC’’ and ‘‘P’’ should be followed by the name of the person or entity submitting the comments or reply comments. Filers submitting comments containing no business confidential information should name their file using the character ‘‘P’’, followed by the name of the person or entity submitting the comments or reply comments. Electronic submissions should not contain separate cover letters; rather, information that might appear in a cover letter should be included in the submission itself. Similarly, to the extent possible, any attachments to a submission should be included in the same file as the submission itself and not as separate files. All nonconfidential comments and reply comments may be viewed at https:// www.regualtions.gov by entering Docket # USTR–2008–0039 in the search field. We strongly urge submitters to avail themselves of the electronic filing, if at all possible. If an electronic submission is impossible, alternative arrangements must be made with Ms. Blue prior to delivery of such submissions. Ms. Blue should be contacted at (202) 395–3475. Carmen Suro-Bredie, Chair, Trade Policy Staff Committee. [FR Doc. E8–27909 Filed 11–24–08; 8:45 am] BILLING CODE 3190–W9–P SECURITIES AND EXCHANGE COMMISSION jlentini on PROD1PC65 with NOTICES Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213 Extension: VerDate Aug<31>2005 Rule 15c1–5, OMB Control No. 3235–0471, SEC File No. 270–422. 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 approval of extension of the existing collection of information provided for in the following rule: Rule 15c1–5 (17 CFR 240.15c1–5) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Rule 15c1–5 states that any brokerdealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction. The Commission estimates that 278 respondents collect information annually under Rule 15c1– 5 and that approximately each respondent would spend 10 hours per year collecting this information (2,780 hours in aggregate). There is no retention period requirement under Rule 15c1–5. This Rule does not involve the collection of confidential information. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Comments should be directed to Lewis W. Walker, Acting 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. Dated: November 19, 2008. Florence E. Harmon, Acting Secretary. [FR Doc. E8–27986 Filed 11–24–08; 8:45 am] BILLING CODE 8011–01–P 17:01 Nov 24, 2008 Jkt 217001 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rule 15c1–6 , OMB Control No. 3235– 0472, SEC File No. 270–423. 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 approval of extension of the existing collection of information provided for in the following rule: Rule 15c1–6 (17 CFR 240.15c1–6) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Rule 15c1–6 states that any brokerdealer trying to sell to or buy from a customer a security in a primary or secondary distribution in which the broker-dealer is participating or is otherwise financially interested must give the customer written notification of the broker-dealer’s participation or interest at or before completion of the transaction. The Commission estimates that 556 respondents collect information annually under Rule 15c1–6 and that each respondent would spend approximately 10 hours annually complying with the collection of information requirement (approximately 5,560 hours in aggregate). Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Comments should be directed to Lewis W. Walker, Acting Director/Chief Information Officer, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, E:\FR\FM\25NON1.SGM 25NON1 Federal Register / Vol. 73, No. 228 / Tuesday, November 25, 2008 / Notices Alexandria, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Dated: November 19, 2008. Florence E. Harmon, Acting Secretary. [FR Doc. E8–27987 Filed 11–24–08; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. jlentini on PROD1PC65 with NOTICES Extension: Rule 15c1–7; OMB Control No. 3235–0134; SEC File No. 270–146. 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 approval of extension of the existing collection of information provided for in the following rule: Rule 15c1–7 (17 CFR 240.15c1–7) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Rule 15c1–7 states that any act of a broker-dealer designed to effect securities transactions with or for a customer account over which the broker-dealer (directly or through an agent or employee) has discretion will be considered a fraudulent, manipulative, or deceptive practice under the federal securities laws, unless a record is made of the transaction immediately by the broker-dealer. The record must include (a) the name of the customer, (b) the name, amount, and price of the security, and (c) the date and time when such transaction took place. The Commission estimates that 556 respondents collect information related to approximately 400,000 transactions annually under Rule 15c1– 7 and that each respondent would spend approximately 5 minutes on the collection of information for each transaction, for approximately 33,333 aggregate hours per year (approximately 60 hours per respondent). Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed VerDate Aug<31>2005 17:01 Nov 24, 2008 Jkt 217001 collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Comments should be directed to Lewis W. Walker, Acting 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. Dated: November 19, 2008. Florence E. Harmon, Acting Secretary. [FR Doc. E8–27988 Filed 11–24–08; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Federal Register Citation of Previous Announcement [73 FR 68464, November 18, 2008]. STATUS: PLACE: Closed Meeting. 100 F Street, NW., Washington, DC. DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: November 20, 2008 at 2 p.m. Deletion of an Item. The following item will not be considered during the Closed Meeting on Thursday, November 20, 2008: CHANGE IN THE MEETING: Consideration of amicus participation. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551–5400. Dated: November 20, 2008. Florence E. Harmon, Acting Secretary. [FR Doc. E8–28046 Filed 11–24–08; 8:45 am] BILLING CODE 8011–01–P PO 00000 Frm 00110 Fmt 4703 Sfmt 4703 71709 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–58949; File No. SR–Phlx– 2008–79] Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Reducing the Exposure Time for Option Limit Orders to One Second November 14, 2008. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1, and Rule 19b–4 2, thereunder, notice is hereby given that on November 10, 2008, NASDAQ OMX PHLX, Inc. (‘‘Phlx’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange, pursuant to Section 19(b)(1) of the Act 3 and Rule 19b–4 thereunder,4 proposes to amend Exchange Rule 1080(c) to provide that: (i) Order Entry Firms 5 may not execute as principal against orders on the limit order book they represent as agent unless such agency orders are first exposed on the limit order book for at least one (1) second, or the Order Entry Firm has been bidding or offering on the Exchange for at least one (1) second prior to receiving an agency order that is executable against such order, and (ii) Order Entry Firms must expose orders they represent as agent for at least one (1) second before such orders may be automatically executed, in whole or in part, against orders solicited from members and non-member brokerdealers to transact with such orders. The text of the proposed rule change is available on the Exchange’s Website at https://www.phlx.com/regulatory/ reg_rulefilings.aspx. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 15 U.S.C. 78s(b)(1). 4 17 CFR 240.19b–4. 5 The term ‘‘Order Entry Firm’’ means a member organization of the Exchange that is able to route orders to the Exchange’s AUTOM system. See Exchange Rule 1080(c)(ii)(A)(1). 2 17 E:\FR\FM\25NON1.SGM 25NON1

Agencies

[Federal Register Volume 73, Number 228 (Tuesday, November 25, 2008)]
[Notices]
[Pages 71708-71709]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-27987]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of Investor Education and Advocacy, 
Washington, DC 20549-0213.

Extension:
    Rule 15c1-6 , OMB Control No. 3235-0472, SEC File No. 270-423.

    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 approval of extension of the existing collection of 
information provided for in the following rule: Rule 15c1-6 (17 CFR 
240.15c1-6) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Exchange Act'').
    Rule 15c1-6 states that any broker-dealer trying to sell to or buy 
from a customer a security in a primary or secondary distribution in 
which the broker-dealer is participating or is otherwise financially 
interested must give the customer written notification of the broker-
dealer's participation or interest at or before completion of the 
transaction. The Commission estimates that 556 respondents collect 
information annually under Rule 15c1-6 and that each respondent would 
spend approximately 10 hours annually complying with the collection of 
information requirement (approximately 5,560 hours in aggregate).
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information to 
be collected; and (d) ways to minimize the burden of the collection of 
information on respondents, including through the use of automated 
collection techniques or other forms of information technology. 
Consideration will be given to comments and suggestions submitted in 
writing within 60 days of this publication.
    Comments should be directed to Lewis W. Walker, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o 
Shirley Martinson, 6432 General Green Way,

[[Page 71709]]

Alexandria, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov.

    Dated: November 19, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-27987 Filed 11-24-08; 8:45 am]
BILLING CODE 8011-01-P
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