Proposed Collection; Comment Request, 65221-65222 [2011-27098]
Download as PDF
<![CDATA[
Federal Register / Vol. 76, No. 203 / Thursday, October 20, 2011 / Notices
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 481
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
69 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
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.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid Office of Management and
Budget (OMB) control number.
Please direct your written comments
to: Thomas Bayer, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way,
Alexandria, VA 22312 or send an e-mail
to: PRA_Mailbox@sec.gov.
Dated: October 13, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–27095 Filed 10–19–11; 8:45 am]
BILLING CODE 8011–01–P
sroberts on DSK5SPTVN1PROD with NOTICES
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.
VerDate Mar<15>2010
18:59 Oct 19, 2011
Jkt 226001
Extension: Rule 15c2–7, SEC File No.
270–420, OMB Control No. 3235–0479.
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 15c2–7 places disclosure
requirements on broker-dealers who
have correspondent relationships, or
agreements identified in the rule, with
other broker-dealers. Whenever any
such broker-dealer enters a quotation for
a security through an inter-dealer
quotation system, Rule 15c2–7 requires
the broker-dealer to disclose these
relationships and agreements in the
manner required by the rule. The interdealer quotation system must also be
able to make these disclosures public in
association with the quotation the
broker-dealer is making.
When Rule 15c2–7 was adopted in
1964, the information it requires was
necessary for execution of the
Commission’s mandate under the
Securities Exchange Act of 1934 to
prevent fraudulent, manipulative and
deceptive acts by broker-dealers. In the
absence of the information collection
required under Rule 15c2–7, investors
and broker-dealers would have been
unable to accurately determine the
market depth of, and demand for,
securities in an inter-dealer quotation
system.
There are approximately 4,810 brokerdealers registered with the Commission.
Any of these broker-dealers could be
potential respondents for Rule 15c2–7,
so the Commission is using that figure
to represent the number of respondents.
Rule 15c2–7 applies only to quotations
entered into an inter-dealer quotation
system, such as the OTC Bulletin Board
(‘‘OTCBB’’), or OTC Link (formerly,
‘‘Pink Sheets’’), operated by OTC
Markets Group Inc. (‘‘OTC Link’’).
According to representatives of both
OTC Link and the OTCBB, neither
entity has recently received, or
anticipates receiving any Rule 15c2–7
notices. However, because such notices
could be made, the Commission
estimates that one filing is made
annually pursuant to Rule 15c2–7.
Based on prior industry reports, the
Commission estimates that the average
time required to enter a disclosure
pursuant to the rule is .75 minutes, or
45 seconds. The Commission sees no
reason to change this estimate. We
estimate that impacted respondents
PO 00000
Frm 00064
Fmt 4703
Sfmt 4703
65221
spend a total of .0125 hours per year to
comply with the requirements of Rule
15c2–7 (1 notice (x) 45 seconds/notice).
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid Office of Management and
Budget (OMB) control number.
Please direct your written comments
to: Thomas Bayer, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way,
Alexandria, Virginia 22312 or send an email to: PRA_Mailbox@sec.gov.
Dated: October 13, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–27096 Filed 10–19–11; 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.
Extension: Rule 24b–1; OMB Control
No. 3235–0194; SEC File No. 270–205.
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 24b–1 (17 CFR
240.24b–1)—Documents to be Kept
Public by Exchanges
Rule 24b–1 under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) requires a national securities
exchange to keep and make available for
public inspection a copy of its
registration statement and exhibits filed
with the Commission, along with any
amendments thereto.
There are 15 national securities
exchanges that spend approximately
one half hour each complying with this
rule, for an aggregate total compliance
burden of 7.5 hours per year. The staff
E:\FR\FM\20OCN1.SGM
20OCN1
65222
Federal Register / Vol. 76, No. 203 / Thursday, October 20, 2011 / Notices
estimates that the average cost per
respondent is $65.18 per year,
calculated as the costs of copying
($13.97) plus storage ($51.21), resulting
in a total cost of compliance for the
respondents of $977.70.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, 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.
Comments should be directed to
Thomas Bayer, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way,
Alexandria, VA 22312 or send an e-mail
to: PRA_Mailbox@sec.gov.
October 14, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–27098 Filed 10–19–11; 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.
sroberts on DSK5SPTVN1PROD with NOTICES
Extension:
Rule 19d–2; OMB Control No. 3235–0205;
SEC File No. 270–204.
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
provided for in Rule 19d–2—
Applications for Stays of Final
Disciplinary Sanction (17 CFR 240.19d–
2) under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) (‘‘Exchange
Act’’). The Commission plans to submit
this existing collection of information to
VerDate Mar<15>2010
18:59 Oct 19, 2011
Jkt 226001
the Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Rule 19d–2 under the Exchange Act
prescribes the form and content of
applications to the Commission by
persons desiring stays of final
disciplinary sanctions and summary
action of self-regulatory organizations
(‘‘SROs’’) for which the Commission is
the appropriate regulatory agency.
It is estimated that approximately
fifteen respondents will utilize this
application procedure annually, with a
total burden of 45 hours, based upon
past submissions. The staff estimates
that the average number of hours
necessary to comply with the
requirements of Rule 19d–2 is 3 hours.
Based on the most recent available
information, the Commission staff
estimates that the cost to respondents of
complying with the requirements of
Rule 19d–2 is $876 per response.
Therefore, the Commission staff
estimates that the total annual reporting
cost per respondent is $876 (1 response/
respondent/year × $876 cost/response),
for a total annual related cost to all
respondents of $13,140 ($876 cost/
respondent × 15 respondents).
Written comments are invited on: (a)
Whether the 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 of 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.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid Office of Management and
Budget control number.
Please direct your written comments
to: Thomas Bayer, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way,
Alexandria, VA 22312 or send an e-mail
to: PRA_Mailbox@sec.gov.
PO 00000
Frm 00065
Fmt 4703
Sfmt 4703
Dated: October 13, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–27097 Filed 10–19–11; 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.
Extension:
Rule 11a1–1(T); OMB Control No. 3235–
0478; SEC File No. 270–428.
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 for Rule 11a1–1(T)—
Transactions Yielding Priority, Parity,
and Precedence.
On January 27, 1976, the Commission
adopted Rule 11a1–1(T)—Transactions
Yielding Priority, Parity, and
Precedence (17 CFR 240.11a1–1(T))
under the Securities Exchange Act of
1934 (15 U.S.C. 78 et seq.) (‘‘Exchange
Act’’), to exempt certain transactions of
exchange members for their own
accounts that would otherwise be
prohibited under Section 11(a) of the
Exchange Act. The rule provides that a
member’s proprietary order may be
executed on the exchange of which the
trader is a member, if, among other
things: (1) The member discloses that a
bid or offer for its account is for its
account to any member with whom
such bid or offer is placed or to whom
it is communicated; (2) any such
member through whom that bid or offer
is communicated discloses to others
participating in effecting the order that
it is for the account of a member; and
(3) immediately before executing the
order, a member (other than a specialist
in such security) presenting any order
for the account of a member on the
exchange clearly announces or
otherwise indicates to the specialist and
to other members then present that he
is presenting an order for the account of
a member.
Without these requirements, it would
not be possible for the Commission to
monitor its mandate under the Exchange
E:\FR\FM\20OCN1.SGM
20OCN1
]]>Agencies
[Federal Register Volume 76, Number 203 (Thursday, October 20, 2011)]
[Notices]
[Pages 65221-65222]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-27098]
-----------------------------------------------------------------------
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 24b-1; OMB Control No. 3235-0194; SEC File No. 270-
205.
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 24b-1 (17 CFR 240.24b-1)--
Documents to be Kept Public by Exchanges
Rule 24b-1 under the Securities Exchange Act of 1934 (15 U.S.C. 78a
et seq.) requires a national securities exchange to keep and make
available for public inspection a copy of its registration statement
and exhibits filed with the Commission, along with any amendments
thereto.
There are 15 national securities exchanges that spend approximately
one half hour each complying with this rule, for an aggregate total
compliance burden of 7.5 hours per year. The staff
[[Page 65222]]
estimates that the average cost per respondent is $65.18 per year,
calculated as the costs of copying ($13.97) plus storage ($51.21),
resulting in a total cost of compliance for the respondents of $977.70.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, 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.
Comments should be directed to Thomas Bayer, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312 or send an
e-mail to: PRA_Mailbox@sec.gov.
October 14, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-27098 Filed 10-19-11; 8:45 am]
BILLING CODE 8011-01-P
