[Federal Register Volume 82, Number 244 (Thursday, December 21, 2017)]
[Notices]
[Page 60647]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-27460]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-146, OMB Control No. 3235-0134]
Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: U.S. Securities and
Exchange Commission, Office of FOIA Services, Washington, DC 20549-2736
Extension:
Rule 15c1-7
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (``PRA'') (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 Rule 15c1-7 (17 CFR
240.15c1-7) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (``Exchange Act'').
Rule 15c1-7 states that any act of a broker-dealer designed to
effect securities transactions with or for a customer account over
which the broker-dealer (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 record is made of
the transaction immediately by the broker-dealer. The record must
include (a) the name of the customer, (b) the name, amount, and price
of the security, and (c) the date and time when such transaction took
place. The Commission estimates that 394 respondents collect
information related to approximately 400,000 transactions annually
under Rule 15c1-7 and that each respondent would spend approximately 5
minutes on the collection of information for each transaction, for
approximately 33,338 aggregate hours per year (approximately 84.6 hours
per respondent).
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.
The public may view the background documentation for this
information collection at the following website: www.reginfo.gov.
Please direct your written comments to: Pamela Dyson, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE, Washington, DC 20549, or by sending an
email to: [email protected]. Comments must be submitted to OMB within
30 days of this notice.
Dated: December 15, 2017.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2017-27460 Filed 12-20-17; 8:45 am]
BILLING CODE 8011-01-P