Federal Register: April 1, 2010 (Volume 75, Number 62)
DOCID: fr01ap10-126 FR Doc 2010-7366
SECURITIES AND EXCHANGE COMMISSION
Securities and Exchange Commission
NOTICE: NOTICES
DOCID: fr01ap10-126
SUBJECT CATEGORY:
Submission for OMB Review; Comment Request
DOCUMENT SUMMARY:
Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 19b4(e) and Form 19b4(e), OMB Control No. 32350504, SEC File No. 270447.
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 requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is 17 CFR 240.19b4(e) under the Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) (the ``Act'').
Rule 19b4(e) permits a selfregulatory organization (``SRO'') to immediately list and trade a new derivative securities product so long as such product is in compliance with the criteria of Rule 19b4(e) under the Act. However, in order for the Commission to maintain an accurate record of all new derivative securities products traded through the facilities of SROs and to determine whether an SRO has properly availed itself of the permission granted by Rule 19b4(e), it is necessary that the SRO maintain, onsite, a copy of Form 19b4(e) under the Act. Rule 19b4(e) requires SROs to file a summary form, Form 19b4(e), and thereby notify the Commission, within five business days after the commencement of trading a new derivative securities product. In addition, the Commission reviews SRO compliance with Rule 19b4(e) through its routine inspections of the SROs.
The collection of information is designed to allow the Commission to maintain an accurate record of all new derivative securities products traded through the facilities of SROs and to determine whether an SRO has properly availed itself of the permission granted by Rule 19b4(e).
The respondents to the collection of information are SROs (as defined by the Act), all of which are national securities exchanges.
Twelve respondents file an average total of 3,180 responses per year, which corresponds to an estimated annual response burden of 3,180 hours.
Compliance with Rule 19b4(e) is mandatory. Information received in response to Rule 19b4(e) 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.
Written comments regarding the above information should be directed to the following persons: (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 send an email to Shagufta_ Ahmed@omb.eop.gov; and (ii) Charles Boucher, Director/CIO, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, VA 22312, or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice.
Dated: March 25, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 20107366 Filed 33110; 8:45 am]
BILLING CODE 801101P
SUMMARY:
Agency Information Collection Activities; Proposals, Submissions, and Approvals
DOCUMENT BODY 2:
Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 19b4(e) and Form 19b4(e), OMB Control No. 32350504, SEC File No. 270447.
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 requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is 17 CFR 240.19b4(e) under the Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) (the ``Act'').
Rule 19b4(e) permits a selfregulatory organization (``SRO'') to immediately list and trade a new derivative securities product so long as such product is in compliance with the criteria of Rule 19b4(e) under the Act. However, in order for the Commission to maintain an accurate record of all new derivative securities products traded through the facilities of SROs and to determine whether an SRO has properly availed itself of the permission granted by Rule 19b4(e), it is necessary that the SRO maintain, onsite, a copy of Form 19b4(e) under the Act. Rule 19b4(e) requires SROs to file a summary form, Form 19b4(e), and thereby notify the Commission, within five business days after the commencement of trading a new derivative securities product. In addition, the Commission reviews SRO compliance with Rule 19b4(e) through its routine inspections of the SROs.
The collection of information is designed to allow the Commission to maintain an accurate record of all new derivative securities products traded through the facilities of SROs and to determine whether an SRO has properly availed itself of the permission granted by Rule 19b4(e).
The respondents to the collection of information are SROs (as defined by the Act), all of which are national securities exchanges.
Twelve respondents file an average total of 3,180 responses per year, which corresponds to an estimated annual response burden of 3,180 hours.
Compliance with Rule 19b4(e) is mandatory. Information received in response to Rule 19b4(e) 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.
Written comments regarding the above information should be directed to the following persons: (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 send an email to Shagufta_ Ahmed@omb.eop.gov; and (ii) Charles Boucher, Director/CIO, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, VA 22312, or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice.
Dated: March 25, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 20107366 Filed 33110; 8:45 am]
BILLING CODE 801101P