Extension:

Rule 15c15 OMB Control No. 32350471 SEC File No. 270422.

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 (``OMB'') a request for approval of extension of the existing collection of
[[Page 4989]]
information provided for in the following rule: Rule 15c15 (17 CFR 240.15c15) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

Rule 15c15 states that any brokerdealer controlled by, controlling, or under common control with the issuer of a security that the brokerdealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction. ]]> http://thefederalregister.com/d.p/2009-01-28-E9-1714 Wed, Jan 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-01-28-E9-1715

Extension:

Rule 15c16; OMB Control No. 32350472; SEC File No. 270423.

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 (``OMB'') a request for approval of extension of the existing collection of information provided for in the following rule: Rule 15c16 (17 CFR 240.15c16) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

Rule 15c16 states that any brokerdealer trying to sell to or buy from a customer a security in a primary or secondary distribution in which the brokerdealer is participating or is otherwise financially interested must give the customer written notification of the broker dealer's participation or interest at or before comple ]]> http://thefederalregister.com/d.p/2009-01-28-E9-1715 Wed, Jan 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-01-28-E9-1716

Extension:

Rule 15c17; OMB Control No. 32350134; SEC File No. 270146.

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 (``OMB'') a request for approval of extension of the existing collection of information provided for in the following rule: Rule 15c17 (17 CFR 240.15c17) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

Rule 15c17 states that any act of a brokerdealer designed to effect securities transactions with or for a customer account over which the brokerdealer (directly or through an agent or employee) has discretion will be considered a fraudulent, manipulative, or deceptive practice under the federal securities laws, unless a re ]]> http://thefederalregister.com/d.p/2009-01-28-E9-1716 Wed, Jan 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-01-28-E9-1717

Extension:

Rule 19d2; OMB Control No. 32350205; SEC File No. 270204.

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 (``OMB'') a request for extension of the existing collection of information of Rule 19d2 (17 CFR 240.19d2) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

Rule 19d2 prescribes the form and content of applications to the Commission by persons desiring stays of final disciplinary sanctions and summary action of selfregulatory organizations (``SROs'') for which the Commission is the appropriate regulatory agency.

It is estimated that approximately eight respondents will utilize this application procedure annually, with a total ]]> http://thefederalregister.com/d.p/2009-01-28-E9-1717 Wed, Jan 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-01-28-E9-1873

Extension: Form 2E under Rule 609, SEC File No. 270222, OMB Control No. 32350233.

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 existing collection of information to the Office of Management and Budget for extension and approval.

Rule 609 (17 CFR 230.609) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) requires small business investment companies and business development companies that have engaged in offerings of securities that are exempt from registration pursuant to Regulation E under the Securities Act of 1933 (17 CFR 230.601 to 610a) to report semiannually on Form 2E (17 CFR 239.201) the progress of ]]> http://thefederalregister.com/d.p/2009-01-28-E9-1873 Wed, Jan 28 2009 11:00:00 GMT