Federal Register / Vol. 77, No. 73 / Monday, April 16, 2012 / Notices 22615 

Respondent’s Obligation: Voluntary. 

Estimated Annual Number of OSC 

Form Respondents: 3,950. 

Estimated Annual Number of Survey 

Form Respondents: 320. 

Frequency of Use of OSC Forms: 

Daily. 

Frequency of Survey Form Use: 

Annual. 

Estimated Average Amount of Time 

for a Person To Respond Using OSC 

Forms: 64 minutes. 

Estimated Average Amount of Time 

for a Person To Respond to Survey: 12 

minutes. 

Estimated Annual Burden for the OSC 

Forms: 2,899 hours. 

Estimated Annual Survey Burden: 109 

hours. 

These forms are used by current and 

former Federal employees and 

applicants for Federal employment to 

submit allegations of possible 

prohibited personnel practices or other 

prohibited activity for investigation and 

possible prosecution by OSC. This 

survey form is used to survey current 

and former Federal employees and 

applicants for Federal employment who 

have submitted allegations of possible 

prohibited personnel practices or other 

prohibited activity for investigation and 

possible prosecution by OSC, and 

whose matter has been closed or 

otherwise resolved during the prior 

fiscal year, on their experience at OSC. 

Specifically, the survey asks questions 

relating to whether the respondent was: 

(1) Apprised of his or her rights; (2) 

successful at the OSC or at the Merit 

Systems Protection Board; and (3) 

satisfied with the treatment received at 

the OSC. 

Dated: April 10, 2012. 

Carolyn N. Lerner, 

Special Counsel. 

[FR Doc. 2012–8999 Filed 4–13–12; 8:45 am] 

BILLING CODE 7405–01–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 15g–3, OMB Control No. 3235–0392, 

SEC File No. 270–346. 

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 Rule 15g– 

3—Broker or dealer disclosure of 

quotations and other information 

relating to the penny stock market (17 

CFR 240.15g–3) under the Securities 

Exchange Act of 1934 (15 U.S.C. 78a et 

seq.). 

Rule 15g–3 requires that brokers and 

dealers disclose to customers current 

quotation prices or similar market 

information in connection with 

transactions in penny stocks. The 

purpose of the rule is to increase the 

level of disclosure to investors 

concerning penny stocks generally and 

specific penny stock transactions. 

The Commission estimates that 

approximately 209 broker-dealers will 

spend an average of 87 hours annually 

to comply with this rule. Thus, the total 

compliance burden is approximately 

18,200 burden-hours per year. 

Rule 15g–3 contains record retention 

requirements. Compliance with the rule 

is mandatory. The required records are 

available only to the examination staff 

of the Commission and the self 

regulatory organizations of which the 

broker-dealer is a member. The 

Commission may not conduct or 

sponsor a collection of information 

unless it displays a currently valid OMB 

control number. No person shall be 

subject to any penalty for failing to 

comply with a collection of information 

subject to the PRA that does not display 

a valid OMB control number. 

Background documentation for this 

information collection may be viewed at 

the following Web site, 

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 email 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 email 

to PRA_Mailbox@sec.gov. Comments 

must be submitted to OMB within 30 

days of this notice. 

Dated: April 10, 2012. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2012–9011 Filed 4–13–12; 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 15g–4; OMB Control No. 3235–0393; 

SEC File No. 270–347. 

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 

provided for in Rule 15g–4—Disclosure 

of compensation to brokers or dealers 

(17 CRF 240.15g–4) under the Securities 

Exchange Act of 1934 (15 U.S.C. 78a et 

seq.). 

Rule 15g–4 requires brokers and 

dealers effecting transactions in penny 

stocks for or with customers to disclose 

the amount of compensation received by 

the broker-dealer in connection with the 

transaction. The purpose of the rule is 

to increase the level of disclosure to 

investors concerning penny stocks 

generally and specific penny stock 

transactions. 

The Commission estimates that 

approximately 209 broker-dealers will 

spend an average of 87 hours annually 

to comply with this rule. Thus, the total 

compliance burden is approximately 

18,200 burden-hours per year. 

Rule 15g–4 contains record retention 

requirements. Compliance with the rule 

is mandatory. The required records are 

available only to the examination staff 

of the Commission and the self 

regulatory organizations of which the 

broker-dealer is a member. The 

commission may not conduct or sponsor 

a collection of information unless it 

displays a currently valid OMB control 

number. No person shall be subject to 

any penalty for failing to comply with 

a collection of information subject to the 

PRA that does not display a valid OMB 

control number. 

Background documentation for this 

information collection may be viewed at 

the following Web site, 

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 email to: 


emcdonald on DSK29S0YB1PROD with NOTICES