Proposed Collection; Comment Request, 22922 [2013-08994]
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Federal Register / Vol. 78, No. 74 / Wednesday, April 17, 2013 / Notices
annual burden of 937,251 hours for this
collection of information.
Written comments are invited on: (a)
Whether the 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. An agency may not conduct
or sponsor a collection of information
unless it displays a currently valid OMB
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 OMB control number.
Please direct your written comments
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 email
to: PRA_Mailbox@sec.gov.
Dated: April 11, 2013.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–08978 Filed 4–16–13; 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 6a–3. SEC File No. 270–0015, OMB
Control No. 3235–0021.
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.
VerDate Mar<15>2010
16:50 Apr 16, 2013
Jkt 229001
Section 6 of the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.)
(‘‘Act’’) sets out a framework for the
registration and regulation of national
securities exchanges. Under Rule 6a–3
(17 CFR 240.6a–3), one of the rules that
implements Section 6, a national
securities exchange (or an exchange
exempted from registration as a national
securities exchange based on limited
trading volume) must provide certain
supplemental information to the
Commission, including any material
(including notices, circulars, bulletins,
lists, and periodicals) issued or made
generally available to members of, or
participants or subscribers to, the
exchange. Rule 6a–3 also requires the
exchanges to file monthly reports that
set forth the volume and aggregate
dollar amount of securities sold on the
exchange each month.
The information required to be filed
with the Commission pursuant to Rule
6a–3 is designed to enable the
Commission to carry out its statutorily
mandated oversight functions and to
ensure that registered and exempt
exchanges continue to be in compliance
with the Act.
The Commission estimates that each
respondent makes approximately 25
such filings on an annual basis at an
average cost of approximately $52.50
per response. Currently, 19 respondents
(17 national securities exchanges and
two exempt exchanges) are subject to
the collection of information
requirements of Rule 6a–3. The
Commission estimates that the total
burden for all respondents is 237.5
hours (25 filings/respondent per year ×
0.5 hours/response × 19 respondents)
and $24,937.50 ($52.50/response × 25
responses/respondent per year × 19
respondents) per year.
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 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.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
PO 00000
Frm 00081
Fmt 4703
Sfmt 4703
unless it displays a currently valid 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: April 12, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013–08994 Filed 4–16–13; 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.
Extension: Rule 0–4.
OMB Control No. 3235–0633, SEC File No.
270–569.
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 (the
‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this collection of
information to the Office of
Management and Budget for extension
and approval.
Rule 0–4 (17 CFR 275.0–4) under the
Investment Advisers Act of 1940 (‘‘Act’’
or ‘‘Advisers Act’’) (15 U.S.C. 80b-1 et
seq.) entitled ‘‘General Requirements of
Papers and Applications,’’ prescribes
general instructions for filing an
application seeking exemptive relief
with the Commission. Rule 0–4
currently requires that every application
for an order for which a form is not
specifically prescribed and which is
executed by a corporation, partnership
or other company and filed with the
Commission contain a statement of the
applicable provisions of the articles of
incorporation, bylaws or similar
documents, relating to the right of the
person signing and filing such
application to take such action on behalf
of the applicant, and a statement that all
such requirements have been complied
with and that the person signing and
filing the application is fully authorized
to do so. If such authorization is
dependent on resolutions of
stockholders, directors, or other bodies,
such resolutions must be attached as an
E:\FR\FM\17APN1.SGM
17APN1
]]>Agencies
[Federal Register Volume 78, Number 74 (Wednesday, April 17, 2013)]
[Notices]
[Page 22922]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-08994]
-----------------------------------------------------------------------
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 6a-3. SEC File No. 270-0015, OMB Control No. 3235-0021.
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.
Section 6 of the Securities Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (``Act'') sets out a framework for the registration and
regulation of national securities exchanges. Under Rule 6a-3 (17 CFR
240.6a-3), one of the rules that implements Section 6, a national
securities exchange (or an exchange exempted from registration as a
national securities exchange based on limited trading volume) must
provide certain supplemental information to the Commission, including
any material (including notices, circulars, bulletins, lists, and
periodicals) issued or made generally available to members of, or
participants or subscribers to, the exchange. Rule 6a-3 also requires
the exchanges to file monthly reports that set forth the volume and
aggregate dollar amount of securities sold on the exchange each month.
The information required to be filed with the Commission pursuant
to Rule 6a-3 is designed to enable the Commission to carry out its
statutorily mandated oversight functions and to ensure that registered
and exempt exchanges continue to be in compliance with the Act.
The Commission estimates that each respondent makes approximately
25 such filings on an annual basis at an average cost of approximately
$52.50 per response. Currently, 19 respondents (17 national securities
exchanges and two exempt exchanges) are subject to the collection of
information requirements of Rule 6a-3. The Commission estimates that
the total burden for all respondents is 237.5 hours (25 filings/
respondent per year x 0.5 hours/response x 19 respondents) and
$24,937.50 ($52.50/response x 25 responses/respondent per year x 19
respondents) per year.
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
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.
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 OMB control number.
Please direct your written comments to: Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312 or
send an email to: PRA_Mailbox@sec.gov.
Dated: April 12, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-08994 Filed 4-16-13; 8:45 am]
BILLING CODE 8011-01-P
