[Federal Register Volume 78, Number 139 (Friday, July 19, 2013)]
[Notices]
[Pages 43250-43251]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-17314]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.
Extension:
Rule 17a-3(a)(16). SEC File No. 270-452, OMB Control No. 3235-
0508.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. Sec. 3501 et seq.) (``PRA''), the Securities and
Exchange Commission (``Commission'') is
[[Page 43251]]
soliciting comments on the collection of information provided for in
Rule 17a-3(a)(16) (17 CFR 240.17a-3(a)(16)) under the Securities
Exchange Act of 1934 (15 U.S.C. 78q et seq.). The Commission plans to
submit this existing collection of information to the Office of
Management and Budget (``OMB'') for extension and approval.
Rule 17a-3(a)(16) identifies the records required to be made by
broker-dealers that operate internal broker-dealer systems. Those
records are to be used in monitoring compliance with the Commission's
financial responsibility program and antifraud and antimanipulative
rules, as well as other rules and regulations of the Commission and the
self-regulatory organizations. It is estimated that approximately 105
active broker-dealer respondents registered with the Commission incur
an average aggregate burden of 2,835 hours per year (105 respondents
multiplied by 27 burden hours per respondent equals 2,835 total burden
hours) to comply with this rule.\1\
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\1\ The average cost per hour is $269. Therefore the total
internal cost of compliance for the respondents is $762,615.
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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.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.
Please direct your written comments to: Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or send an email
to: [email protected].
Dated: July 15, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-17314 Filed 7-18-13; 8:45 am]
BILLING CODE 8011-01-P