Submission for OMB Review; Comment Request, 8760 [2010-3770]

Download as PDF jlentini on DSKJ8SOYB1PROD with NOTICES 8760 Federal Register / Vol. 75, No. 37 / Thursday, February 25, 2010 / Notices schedules, which must be filed annually; and (4) a facing page, which must be filed with the annual audited report of financial statements. Under the Rule, a broker or dealer that computes certain of its capital charges in accordance with Appendix E to Exchange Act Rule 15c3–1 (17 CFR 240.15c3–1) must file additional monthly, quarterly, and annual reports with the Commission. The variation in the size and complexity of brokers and dealers subject to Rule 17a–5 and the differences in the FOCUS Report forms that must be filed under the Rule make it difficult to calculate the cost of compliance. However, we estimate that, on average, each report will require approximately 12 hours. At year-end 2008, the Commission estimates that there were approximately 5,190 brokers or dealers, and that of those firms there were approximately 530 brokers or dealers that clear transactions or carry customer securities. In addition, approximately 220 firms filed annual reports. The Commission therefore estimates that approximately 530 firms filed monthly reports, approximately 4,400 firms filed quarterly reports, and approximately 220 firms filed annual reports. In addition, approximately 5,190 firms filed annual audited reports. As a result, there were approximately 29,530 total annual responses ((530 × 12) + (4,400 × 4) + 220 + 5,190 = 29,370). This results in an estimated annual burden of 354,360 hours (29,530 annual responses × 12 hours = 354,360). In addition, we estimate that approximately 11 brokers or dealers will elect to use Appendix E to Rule 15c3– 1 to compute certain of their capital charges (as of October 2009, seven brokers or dealers have elected to use Appendix E). We estimate that the average amount of time necessary to prepare and file the additional monthly reports that must be filed by these firms is about 4 hours per month, or approximately 48 hours per year; the average amount of time necessary to prepare and file the additional quarterly reports is about 8 hours per quarter, or approximately 32 hours per year; and the average amount of time necessary to prepare and file the additional supplemental reports with the annual audit required is approximately 40 hours per year. Consequently, we estimate that the total additional annual burden for these 11 brokers or dealers is approximately 1,320 hours ((48 + 32 + 40) × 11 = 1,320). The Commission therefore estimates that the total annual burden under Rule 17a–5 is approximately 353,800 hours VerDate Nov<24>2008 16:34 Feb 24, 2010 Jkt 220001 (352,440 + 1,320 = 353,760, rounded to 353,800). 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: (i) 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. Dated: February 17, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–3769 Filed 2–24–10; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request prepare and is filed by approximately 6 respondents annually for a total reporting burden of 12 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. Written comments regarding the above information 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: Shagufta_Ahmed@omb.eop.gov.; and (ii) Charles Boucher, Director/CIO, 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. Dated: February 18, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–3770 Filed 2–24–10; 8:45 am] Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. BILLING CODE 8011–01–P Extension: Schedule 14D–9F; OMB Control No. 3235– 0382; SEC File No. 270–339. [Release No. 34–61534] 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 this request for extension of the previously approved collection of information discussed below. Schedule 14D–9F is used (17 CFR 240.14d–103) by any foreign private issuer incorporated or organized under the laws of Canada or any Canadian province or territory or by any director or officer of such issuer, where the issuer is the subject of a cash tender or exchange offer for a class of securities filed on Schedule 14D–1F. The information required to be filed with the Commission is intended to permit verification of compliance with the securities law requirements and assures the public availability of such information. The information provided is mandatory and all information is made available to the public upon request. Schedule 14D–9F takes approximately 2 hours per response to PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS Exchange, Inc. From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference February 18, 2010. BATS Exchange, Inc. (‘‘BATS Exchange’’) has filed with the Securities and Exchange Commission (‘‘Commission’’) an application for an exemption under Section 36(a)(1) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) 1 from the rule filing requirements of Section 19(b) of the Exchange Act 2 with respect to certain rules of another self-regulatory organization (‘‘SRO’’) that BATS Exchange seeks to incorporate by reference. Section 36 of the Exchange Act authorizes the Commission to conditionally or unconditionally exempt any person, security, or transaction, or any class thereof, from any provision of the Exchange Act or 1 15 2 15 E:\FR\FM\25FEN1.SGM U.S.C. 78mm(a)(1). U.S.C. 78s(b). 25FEN1

Agencies

[Federal Register Volume 75, Number 37 (Thursday, February 25, 2010)]
[Notices]
[Page 8760]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-3770]


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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:
    Schedule 14D-9F; OMB Control No. 3235-0382; SEC File No. 270-
339.

    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 this request for extension of the previously approved 
collection of information discussed below.
    Schedule 14D-9F is used (17 CFR 240.14d-103) by any foreign private 
issuer incorporated or organized under the laws of Canada or any 
Canadian province or territory or by any director or officer of such 
issuer, where the issuer is the subject of a cash tender or exchange 
offer for a class of securities filed on Schedule 14D-1F. The 
information required to be filed with the Commission is intended to 
permit verification of compliance with the securities law requirements 
and assures the public availability of such information. The 
information provided is mandatory and all information is made available 
to the public upon request. Schedule 14D-9F takes approximately 2 hours 
per response to prepare and is filed by approximately 6 respondents 
annually for a total reporting burden of 12 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.
    Written comments regarding the above information 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: Shagufta_Ahmed@omb.eop.gov.; and (ii) Charles Boucher, Director/CIO, 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.

    Dated: February 18, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-3770 Filed 2-24-10; 8:45 am]
BILLING CODE 8011-01-P
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