[Federal Register Volume 75, Number 110 (Wednesday, June 9, 2010)]
[Notices]
[Page 32822]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-13830]
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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:
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'') has submitted to the Office of Management
and Budget a request for extension of the previously approved
collection of information discussed below.
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 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
$36 per response. Currently, 15 respondents (13 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 187.5 hours (25 filings/
respondent per year x 0.5 hours/response x 15 respondents) and $13,500
($36/response x 25 responses/respondent per year x 15 respondents) per
year.
Compliance with Rule 6a-3 is mandatory for registered and exempt
exchanges. Information received in response to Rule 6a-3 shall not be
kept confidential; the information collected is public information. As
set forth in Rule 17a-1 (17 CFR 240.17a-1) under the Act, a national
securities exchange is required to retain records of the collection of
information for at least five years.
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.
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: [email protected]; and (ii) Charles Boucher, Director/Chief Information
Officer, Securities and Exchange Commission, c/o Shirley Martinson,
6432 General Green Way, Alexandria, VA 22312 or send an e-mail to:
[email protected]. Comments must be submitted within 30 days of this
notice.
Dated: June 2, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010-13830 Filed 6-8-10; 8:45 am]
BILLING CODE 8010-01-P