[Federal Register Volume 75, Number 130 (Thursday, July 8, 2010)]
[Notices]
[Page 39287]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-16537]
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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-4, Form 1-N; OMB Control No. 3235-0554; SEC File No.
270-496.
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. The Code of Federal
Regulation citation to this collection of information is 17 CFR 240.6a-
4 and 17 CFR 249.10 under the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (the ``Act'').
Section 6 of the Act \1\ sets out a framework for the registration
and regulation of national securities exchanges. Under the Commodity
Futures Modernization Act of 2000, a futures market may trade security
futures products by registering as a national securities exchange. Rule
6a-4 \2\ sets forth these registration procedures and directs futures
markets to submit a notice registration on Form 1-N.\3\ Form 1-N calls
for information regarding how the futures market operates, its rules
and procedures, its criteria for membership, its subsidiaries and
affiliates, and the security futures products it intends to trade. Rule
6a-4 also requires entities that have submitted an initial Form 1-N to
file: (1) Amendments to Form 1-N in the event of material changes to
the information provided in the initial Form 1-N; (2) periodic updates
of certain information provided in the initial Form 1-N; (3) certain
information that is provided to the futures market's members; and (4) a
monthly report summarizing the futures market's trading of security
futures products. The information required to be filed with the
Commission pursuant to Rule 6a-4 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.
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\1\ 15 U.S.C. 78f.
\2\ 17 CFR 240.6a-4.
\3\ 17 CFR 249.10.
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The respondents to the collection of information are futures
markets.
The Commission estimates that the total annual burden for all
respondents to provide the amendments and periodic updates under Rule
6a-4 would be 45 hours (15 hours/respondent per year x 3 respondents)
and $300 of miscellaneous clerical expenses. The Commission estimates
that the total annual burden for the filing of the supplemental
information and the monthly reports required under Rule 6a-4 would be
37.5 hours (12.5 hours/respondent per year x 3 respondents) (rounded to
38 hours) and $375 of miscellaneous clerical expenses.
Compliance with Rule 6a-4 is mandatory. Information received in
response to Rule 6a-4 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.
Comments should be directed to (1) 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, Virginia 22312 or send an e-mail
to: [email protected]. Comments must be submitted to OMB within 30
days of this notice.
Dated: June 30, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-16537 Filed 7-7-10; 8:45 am]
BILLING CODE 8010-01-P