[Federal Register Volume 75, Number 82 (Thursday, April 29, 2010)]
[Notices]
[Pages 22636-22637]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-9879]
=======================================================================
-----------------------------------------------------------------------
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-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'') 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. 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
[[Page 22637]]
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.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78f.
\2\ 17 CFR 240.6a-4.
\3\ 17 CFR 249.10.
---------------------------------------------------------------------------
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.
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 agency'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: 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 60
days of this notice.
Dated: April 22, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-9879 Filed 4-28-10; 8:45 am]
BILLING CODE 8011-01-P