Submission for OMB Review; Comment Request, 64101 [E9-29044]

Download as PDF Federal Register / Vol. 74, No. 233 / Monday, December 7, 2009 / Notices Committee meeting. However, the transcript of any portions of the closed session falling within the relevant provisions of the Government in the Sunshine Act, 5 U.S.C. 552b(c)(6), and the corresponding provisions of the Legal Services Corporation’s implementing regulation, 45 CFR 1622.5(e), will not be available for public inspection. A copy of the General Counsel’s Certification that in his opinion the closing is authorized by law will be available upon request. MATTERS TO BE CONSIDERED: Agenda Open Session 1. Approval of agenda Closed Session 2. Consider and act on a recommendation to make to Board as to an Interim President for LSC Open Session 3. Consider and act on other business 4. Public Comment 5. Consider and act on motion to adjourn meeting CONTACT PERSON FOR INFORMATION: Katherine Ward, Executive Assistant to the Vice President & General Counsel, at (202) 295–1500. Questions may be sent by electronic mail to FR_NOTICE_QUESTIONS@lsc.gov. Special Needs: Upon request, meeting notices will be made available in alternate formats to accommodate visual and hearing impairments. Individuals who have a disability and need an accommodation to attend the meeting may notify Katherine Ward, at (202) 295–1500 or FR_NOTICE_QUESTIONS@lsc.gov. Dated: December 2, 2009. Mattie Cohen, Senior Assistant General Counsel. [FR Doc. E9–29117 Filed 12–3–09; 11:15 am] BILLING CODE 7050–01–P SECURITIES AND EXCHANGE COMMISSION erowe on DSK5CLS3C1PROD with NOTICES Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rule 17a–25; OMB Control No. 3235–0540; SEC File No. 270–482. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 VerDate Nov<24>2008 14:05 Dec 04, 2009 Jkt 220001 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of extension of the existing collection of information provided for in the following rule: Rule 17a–25 (17 CFR 240.17a–25) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Paragraph (a)(1) of Rule 17a–25 requires registered broker-dealers to electronically submit securities transaction information, including identifiers for prime brokerage arrangements, average price accounts, and depository institutions, in a standardized format when requested by the Commission staff. In addition, Paragraph (a)(3)(c) of Rule 17a–25 requires broker-dealers to submit, and keep current, contact person information for electronic blue sheets (‘‘EBS’’) requests. The Commission uses the information for enforcement inquiries or investigations and trading reconstructions, as well as for inspections and examinations. The Commission estimates that it sends approximately 5168 electronic blue sheet requests per year to clearing broker-dealers, who in turn submit an average 79,992 responses.1 It is estimated that each broker-dealer who responds electronically will take 8 minutes, and each broker-dealer who responds manually will take 11⁄2 hours to prepare and submit the securities trading data requested by the Commission. The annual aggregate hour burden for electronic and manual response firms is estimated to be 10,786 (79,992 x 8 ÷ 60 = 10,666 hours) + (80 x 1.5 = 120 hours), respectively.2 In addition, the Commission estimates that it will request 500 broker-dealers to supply the contact information identified in Rule 17a–25(c) and estimates the total aggregate burden hours to be 125. Thus, the annual aggregate burden for all respondents to the collection of information requirements of Rule 17a–25 is 1 A single EBS request has a unique number assigned to each request (e.g. ‘‘0900001’’). However, the number of broker-dealer responses generated from one EBS request can range from one to several hundred. EBS requests are sent directly to clearing firms, as the clearing firm is the repository for trading data for securities transactions information provided by itself and correspondent firms. Clearing brokers respond for themselves and other firms they clear for. 2 Few respondents submit manual EBS responses. The small percentage of respondents that submit manual responses do so by hand, via e-mail, spreadsheet, disk, or other electronic media. Thus, the number of manual submissions (80) has minimal effect on the total annual burden hours. PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 64101 estimated at 10,911 hours (10,786 + 125). 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: Shagufta_Ahmed@comb.eop.gov; and (ii) Charles Boucher, Director/Chief Information Officer, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send an email to PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. November 30, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–29044 Filed 12–4–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Rule 17a–5; SEC File No. 270–155; OMB Control No. 3235–0123] Proposed Extension of 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. 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’’) is publishing the following summary of a collection of information for public comment. Rule 17a–5 (17 CFR 240.17a–5) (the Rule) is the basic financial reporting rule for brokers and dealers.1 The Rule requires the filing of Form X–17A–5 (17 CFR 249.617), the Financial and Operational Combined Uniform Single Report (‘‘FOCUS Report’’), which was the result of years of study and comments by representatives of the securities industry through advisory committees and through the normal rule proposal methods. The FOCUS Report was designed to eliminate the 1 Rule 17a–5(c) requires a broker or dealer to furnish certain of its financial information to customers and is subject to a separate PRA filing (OMB Control Number 3235–0199). E:\FR\FM\07DEN1.SGM 07DEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 74, Number 233 (Monday, December 7, 2009)]
[Notices]
[Page 64101]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-29044]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

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

Extension:
    Rule 17a-25; OMB Control No. 3235-0540; SEC File No. 270-482.

    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 (``OMB'') a request for approval of extension of the 
existing collection of information provided for in the following rule: 
Rule 17a-25 (17 CFR 240.17a-25) under the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').
    Paragraph (a)(1) of Rule 17a-25 requires registered broker-dealers 
to electronically submit securities transaction information, including 
identifiers for prime brokerage arrangements, average price accounts, 
and depository institutions, in a standardized format when requested by 
the Commission staff. In addition, Paragraph (a)(3)(c) of Rule 17a-25 
requires broker-dealers to submit, and keep current, contact person 
information for electronic blue sheets (``EBS'') requests. The 
Commission uses the information for enforcement inquiries or 
investigations and trading reconstructions, as well as for inspections 
and examinations.
    The Commission estimates that it sends approximately 5168 
electronic blue sheet requests per year to clearing broker-dealers, who 
in turn submit an average 79,992 responses.\1\ It is estimated that 
each broker-dealer who responds electronically will take 8 minutes, and 
each broker-dealer who responds manually will take 1\1/2\ hours to 
prepare and submit the securities trading data requested by the 
Commission. The annual aggregate hour burden for electronic and manual 
response firms is estimated to be 10,786 (79,992 x 8 / 60 = 10,666 
hours) + (80 x 1.5 = 120 hours), respectively.\2\ In addition, the 
Commission estimates that it will request 500 broker-dealers to supply 
the contact information identified in Rule 17a-25(c) and estimates the 
total aggregate burden hours to be 125. Thus, the annual aggregate 
burden for all respondents to the collection of information 
requirements of Rule 17a-25 is estimated at 10,911 hours (10,786 + 
125).
---------------------------------------------------------------------------

    \1\ A single EBS request has a unique number assigned to each 
request (e.g. ``0900001''). However, the number of broker-dealer 
responses generated from one EBS request can range from one to 
several hundred. EBS requests are sent directly to clearing firms, 
as the clearing firm is the repository for trading data for 
securities transactions information provided by itself and 
correspondent firms. Clearing brokers respond for themselves and 
other firms they clear for.
    \2\ Few respondents submit manual EBS responses. The small 
percentage of respondents that submit manual responses do so by 
hand, via e-mail, spreadsheet, disk, or other electronic media. 
Thus, the number of manual submissions (80) has minimal effect on 
the total annual burden hours.
---------------------------------------------------------------------------

    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: Shagufta_Ahmed@comb.eop.gov; and (ii) Charles Boucher, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Shirley 
Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send 
an e-mail to PRA_Mailbox@sec.gov. Comments must be submitted to OMB 
within 30 days of this notice.

    November 30, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-29044 Filed 12-4-09; 8:45 am]
BILLING CODE 8011-01-P

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