Proposed Collection; Comment Request, 13613 [2010-6118]
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Federal Register / Vol. 75, No. 54 / Monday, March 22, 2010 / Notices
240.14a–6(n)). The Notice takes
approximately 0.25 hours per response
and is filed by 4 respondents for a total
of one annual burden hour.
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information 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.
Please direct your written comments
to 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.
Dated: March 16, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–6152 Filed 3–19–10; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
pwalker on DSK8KYBLC1PROD with NOTICES
Extension:
Rule 15a–4; SEC File No. 270–7; OMB
Control No. 3235–0010.
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 soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Rule 15a–4 (17 CFR 240.15a–4) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (the ‘‘Exchange Act’’)
permits a natural person member of a
securities exchange who terminates his
or her association with a registered
VerDate Nov<24>2008
16:41 Mar 19, 2010
Jkt 220001
broker-dealer to continue to transact
business on the exchange while the
Commission reviews his or her
application for registration as a brokerdealer if the exchange files a statement
indicating that there does not appear to
be any ground for disapproving the
application. The total annual hourly
burden imposed by Rule 15a–4 is
approximately 42 hours, based on
approximately 10 responses (10
Respondents x 1 Response/Respondent),
each requiring approximately 4.23 hours
to complete.
The Commission uses the information
disclosed by applicants in Form BD: (1)
To determine whether the applicant
meets the standards for registration set
forth in the provisions of the Exchange
Act; (2) to develop a central information
resource where members of the public
may obtain relevant, up-to-date
information about broker-dealers,
municipal securities dealers and
government securities broker-dealers,
and where the Commission, other
regulators and SROs may obtain
information for investigatory purposes
in connection with securities litigation;
and (3) to develop statistical
information about broker-dealers,
municipal securities dealers and
government securities broker-dealers.
Without the information disclosed in
Form BD, the Commission could not
effectively implement policy objectives
of the Exchange Act with respect to its
investor protection function.
The statement submitted by the
exchange assures the Commission that
the applicant, in the opinion of the
exchange, is qualified to transact
business on the exchange during the
time that the applications are reviewed.
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
estimate 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.
Please direct your written comments
to: Charles Boucher, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
PO 00000
Frm 00131
Fmt 4703
Sfmt 9990
13613
Alexandria, Virginia 22312 or send an
e-mail to: PRA_Mailbox@sec.gov.
Dated: March 12, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–6118 Filed 3–19–10; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meeting
Notice is hereby given, pursuant to
the provisions of the Government in the
Sunshine Act, Public Law 94–409, that
the Securities and Exchange
Commission will hold a Closed Meeting
on Thursday, March 25, 2010 at 2 p.m.
Commissioners, Counsel to the
Commissioners, the Secretary to the
Commission, and recording secretaries
will attend the Closed Meeting. Certain
staff members who have an interest in
the matters also may be present.
The General Counsel of the
Commission, or his designee, has
certified that, in his opinion, one or
more of the exemptions set forth in 5
U.S.C. 552b(c)(3), (5), (6), (7), 9(B) and
(10) and 17 CFR 200.402(a)(3), (5), (6),
(7), 9(ii) and (10), permit consideration
of the scheduled matters at the Closed
Meeting.
Commissioner Casey, as duty officer,
voted to consider the items listed for the
Closed Meeting in a closed session.
The subject matter of the Closed
Meeting scheduled for Thursday, March
25, 2010 will be:
Institution and settlement of injunctive
actions;
Institution and settlement of
administrative proceedings;
Adjudicatory matters; and
Other matters relating to enforcement
proceedings.
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: March 17, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010–6368 Filed 3–18–10; 4:15 pm]
BILLING CODE 8011–01–P
E:\FR\FM\22MRN1.SGM
22MRN1
]]>Agencies
[Federal Register Volume 75, Number 54 (Monday, March 22, 2010)]
[Notices]
[Page 13613]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-6118]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Rule 15a-4; SEC File No. 270-7; OMB Control No. 3235-0010.
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 soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
Rule 15a-4 (17 CFR 240.15a-4) under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) (the ``Exchange Act'') permits a natural
person member of a securities exchange who terminates his or her
association with a registered broker-dealer to continue to transact
business on the exchange while the Commission reviews his or her
application for registration as a broker-dealer if the exchange files a
statement indicating that there does not appear to be any ground for
disapproving the application. The total annual hourly burden imposed by
Rule 15a-4 is approximately 42 hours, based on approximately 10
responses (10 Respondents x 1 Response/Respondent), each requiring
approximately 4.23 hours to complete.
The Commission uses the information disclosed by applicants in Form
BD: (1) To determine whether the applicant meets the standards for
registration set forth in the provisions of the Exchange Act; (2) to
develop a central information resource where members of the public may
obtain relevant, up-to-date information about broker-dealers, municipal
securities dealers and government securities broker-dealers, and where
the Commission, other regulators and SROs may obtain information for
investigatory purposes in connection with securities litigation; and
(3) to develop statistical information about broker-dealers, municipal
securities dealers and government securities broker-dealers. Without
the information disclosed in Form BD, the Commission could not
effectively implement policy objectives of the Exchange Act with
respect to its investor protection function.
The statement submitted by the exchange assures the Commission that
the applicant, in the opinion of the exchange, is qualified to transact
business on the exchange during the time that the applications are
reviewed.
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
estimate 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.
Please direct your written comments to: 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.
Dated: March 12, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-6118 Filed 3-19-10; 8:45 am]
BILLING CODE 8011-01-P
