51438 Federal Register / Vol. 76, No. 160 / Thursday, August 18, 2011 / Notices 

1Form X–17A–5 is the Financial and Operational 

Combined Uniform Single Report (‘‘FOCUS 

Report’’), which is used by brokers and dealers to 

provide certain required information to the 

Commission. 

PROCEDURAL SCHEDULE—Continued 

October 27, 2011 ..................................................................... Deadline for motions by any party requesting oral argument; the Commission will 

schedule oral argument only when it is a necessary addition to the written filings (see 39 CFR 3001.116). 

December 6, 2011 .................................................................... Expiration of the Commission’s 120-day decisional schedule (see 39 U.S.C. 

404(d)(5)). 

[FR Doc. 2011–21023 Filed 8–17–11; 8:45 am] 

BILLING CODE 7710–FW–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549. 

Extension: 

Rule 17f–2(e); SEC File No. 270–37; OMB 

Control No. 3235–0031. 

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 a 

request for approval of extension of the 

previously approved collection of 

information provided for in Rule 17f– 

2(e) (17 CFR 240.17f–2(e)) under the 

Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.). 

Rule 17f–2(e) requires members of 

national securities exchanges, brokers, 

dealers, registered transfer agents, and 

registered clearing agencies claiming 

exemption from the fingerprinting 

requirements of Rule 17f–2 to prepare 

and maintain a statement supporting 

their claim exemption. There is no filing 

requirement. Instead, Rule 17f–2(e)(2) 

requires covered entities to make and 

keep current a copy of the notice 

required by Rule 17f–2(e) in an easily 

accessible place at the organization’s 

principal office and at the office 

employing the persons for whom 

exemptions are claimed and shall be 

made available upon request for 

inspection by the Commission, 

appropriate regulatory agency (if not the 

Commission) or other designated 

examining authority. Notices prepared 

pursuant to Rule 17f–2(e) must be 

maintained for as long as the covered 

entity claims an exemption from the 

fingerprinting requirements of Rule 17f– 

2. The recordkeeping requirement under 

Rule 17f–2(e) assists the Commission 

and other regulatory agencies with 

ensuring compliance with Rule 17f–2. 

This rule does not involve the collection 

of confidential information. 

We estimate that approximately 75 

respondents will incur an average 

burden of 30 minutes per year to 

comply with this rule, which represents 

the time it takes for a staff person at a 

covered entity to properly document a 

claimed exemption from the 

fingerprinting requirements of Rule 17f– 

2, and properly retain that document 

according to the entities record 

retention policies and procedures. The 

total annual burden for all covered 

entities is approximately 38 hours (75 

entities × .5 hours). 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information shall have practical utility; 

(b) the accuracy of the Commission’s 

estimates 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. 

The Commission may not conduct or 

sponsor a collection of information 

unless it displays a currently valid 

control number. 

Background documentation for this 

information collection may be viewed at 

the following link, http:// 

www.reginfo.gov. Comments should be 

directed to: (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 by sending an e-mail to: 

Shagufta_Ahmed@omb.eop.gov; and (ii) 

Thomas Bayer, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way, 

Alexandria, VA 22312 or send an e-mail 

to: PRA_Mailbox@sec.gov. Comments 

must be submitted to OMB within 30 

days of this notice. 

August 12, 2011. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2011–21030 Filed 8–17–11; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 17a–10; SEC File No. 270–154; OMB 

Control No. 3235–0122. 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the 

Securities and Exchange Commission 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for approval of 

extension of the previously approved 

collection of information provided for in 

Rule 17a–10 (17 CFR 240.17a–10) under 

the Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.) (‘‘Exchange Act’’). 

Paragraph (a)(1) of Rule 17a–10 

generally requires broker-dealers that 

are exempted from the requirement to 

file monthly and quarterly reports 

pursuant to paragraph (a) of Exchange 

Act Rule 17a–5 (17 CFR 240.17a–5) to 

file with the Commission the Facing 

Page, a Statement of Income (Loss), and 

balance sheet from Part IIA of Form X– 

17A–5 1 (17 CFR 249.617), and Schedule 

I of Form X–17A–5 not later than 17 

business days after the end of each 

calendar year. 

Paragraph (a)(2) of Rule 17a–10 

requires a broker-dealer subject to Rule 

17a–5(a) to submit Schedule I of Form 

X–17A–5 with its Form X–17A–5 for the 

calendar quarter ending December 31 of 

each year. The burden associated with 

filing Schedule I of Form X–17A–5 is 

accounted for in the PRA filing 

associated with Rule 17a–5. 

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