Submission for OMB Review; Comment Request, 16528 [2010-7366]

Download as PDF 16528 Federal Register / Vol. 75, No. 62 / Thursday, April 1, 2010 / Notices 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. Please direct your 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 e-mail to: PRA_Mailbox@sec.gov. Dated: March 25, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–7359 Filed 3–31–10; 8:45 am] BILLING CODE 8011–01–P 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. mstockstill on DSKH9S0YB1PROD with NOTICES Extension: Rule 19b–4(e) and Form 19b–4(e), OMB Control No. 3235–0504, SEC File No. 270–447. 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 requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is 17 CFR 240.19b–4(e) under the Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) (the ‘‘Act’’). Rule 19b–4(e) permits a selfregulatory organization (‘‘SRO’’) to immediately list and trade a new derivative securities product so long as such product is in compliance with the criteria of Rule 19b–4(e) under the Act. VerDate Nov<24>2008 16:51 Mar 31, 2010 Jkt 220001 However, in order for the Commission to maintain an accurate record of all new derivative securities products traded through the facilities of SROs and to determine whether an SRO has properly availed itself of the permission granted by Rule 19b–4(e), it is necessary that the SRO maintain, on-site, a copy of Form 19b–4(e) under the Act. Rule 19b–4(e) requires SROs to file a summary form, Form 19b–4(e), and thereby notify the Commission, within five business days after the commencement of trading a new derivative securities product. In addition, the Commission reviews SRO compliance with Rule 19b–4(e) through its routine inspections of the SROs. The collection of information is designed to allow the Commission to maintain an accurate record of all new derivative securities products traded through the facilities of SROs and to determine whether an SRO has properly availed itself of the permission granted by Rule 19b–4(e). The respondents to the collection of information are SROs (as defined by the Act), all of which are national securities exchanges. Twelve respondents file an average total of 3,180 responses per year, which corresponds to an estimated annual response burden of 3,180 hours. Compliance with Rule 19b–4(e) is mandatory. Information received in response to Rule 19b–4(e) shall not be kept confidential; the information collected is public information. 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 email 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, VA 22312, or send an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: March 25, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–7366 Filed 3–31–10; 8:45 am] BILLING CODE 8011–01–P PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 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: Form 1, Rules 6a–1 and 6a–2, SEC File No. 270–0017, OMB Control No. 3235–0017. 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 existing 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. The Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Act’’) sets forth a regulatory scheme for national securities exchanges. Rule 6a–1 (17 CFR 240.6a–1) under the Act generally requires an applicant for initial registration as a national securities exchange to file an application with the Commission on Form 1 (17 CFR 249.1). An exchange that seeks an exemption from registration based on limited trading volume also must apply for such exemption on Form 1. Rule 6a–2 (17 CFR 240.6a–2) under the Act requires registered and exempt exchanges: (1) To amend the Form 1 if there are any material changes to the information provided in the initial Form 1; and (2) to submit periodic updates of certain information provided in the initial Form 1, whether such information has changed or not. The information required pursuant to Rules 6a–1 and 6a–2 is necessary to enable the Commission to maintain accurate files regarding the exchange and to exercise its statutory oversight functions. Without the information submitted pursuant to Rule 6a–1 on Form 1, the Commission would not be able to determine whether the respondent met the criteria for registration or exemption set forth in Sections 6 and 19 of the Act. Without the amendments and periodic updates of information submitted pursuant to Rule 6a–2, the Commission would have substantial difficulty determining whether a national securities exchange or exempt exchange was continuing to operate in compliance with the Act. Initial filings on Form 1 by new exchanges are made on a one-time basis. The Commission estimates that it will E:\FR\FM\01APN1.SGM 01APN1

Agencies

[Federal Register Volume 75, Number 62 (Thursday, April 1, 2010)]
[Notices]
[Page 16528]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-7366]


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

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 19b-4(e) and Form 19b-4(e), OMB Control No. 3235-0504, SEC 
File No. 270-447.

    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 
requests for extension of the previously approved collections of 
information discussed below. The Code of Federal Regulations citation 
to this collection of information is 17 CFR 240.19b-4(e) under the 
Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) (the ``Act'').
    Rule 19b-4(e) permits a self-regulatory organization (``SRO'') to 
immediately list and trade a new derivative securities product so long 
as such product is in compliance with the criteria of Rule 19b-4(e) 
under the Act. However, in order for the Commission to maintain an 
accurate record of all new derivative securities products traded 
through the facilities of SROs and to determine whether an SRO has 
properly availed itself of the permission granted by Rule 19b-4(e), it 
is necessary that the SRO maintain, on-site, a copy of Form 19b-4(e) 
under the Act. Rule 19b-4(e) requires SROs to file a summary form, Form 
19b-4(e), and thereby notify the Commission, within five business days 
after the commencement of trading a new derivative securities product. 
In addition, the Commission reviews SRO compliance with Rule 19b-4(e) 
through its routine inspections of the SROs.
    The collection of information is designed to allow the Commission 
to maintain an accurate record of all new derivative securities 
products traded through the facilities of SROs and to determine whether 
an SRO has properly availed itself of the permission granted by Rule 
19b-4(e).
    The respondents to the collection of information are SROs (as 
defined by the Act), all of which are national securities exchanges.
    Twelve respondents file an average total of 3,180 responses per 
year, which corresponds to an estimated annual response burden of 3,180 
hours.
    Compliance with Rule 19b-4(e) is mandatory. Information received in 
response to Rule 19b-4(e) shall not be kept confidential; the 
information collected is public information.
    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, VA 22312, or send an e-mail to: PRA_Mailbox@sec.gov. 
Comments must be submitted to OMB within 30 days of this notice.

    Dated: March 25, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-7366 Filed 3-31-10; 8:45 am]
BILLING CODE 8011-01-P
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