Federal Register / Vol. 74, No. 17 / Wednesday, January 28, 2009 / Notices 4989 

information provided for in the 

following rule: Rule 15c1–5 (17 CFR 

240.15c1–5) under the Securities 

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

seq.) (‘‘Exchange Act’’). 

Rule 15c1–5 states that any brokerdealer controlled by, controlling, or 

under common control with the issuer 

of a security that the broker-dealer 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. The Commission 

estimates that 278 respondents collect 

information annually under Rule 15c1– 

5 and that approximately each 

respondent would spend 10 hours per 

year collecting this information (2,780 

hours in aggregate). There is no 

retention period requirement under 

Rule 15c1–5. This Rule does not involve 

the collection of confidential 

information. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless it displays a currently valid 

control number. 

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) Charles Boucher, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Shirley 

Martinson, 6432 General Green Way, 

Alexandria, VA 22312 or send an e-mail 

to PRA_Mailbox@sec.gov. Comments 

must be submitted within 30 days of 

this notice. 

Dated: January 21, 2009. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–1714 Filed 1–27–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 15c1–6; OMB Control No. 3235–0472; 

SEC File No. 270–423. 

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 15c1–6 (17 CFR 

240.15c1–6) under the Securities 

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

seq.) (‘‘Exchange Act’’). 

Rule 15c1–6 states that any brokerdealer trying to sell to or buy from a 

customer a security in a primary or 

secondary distribution in which the 

broker-dealer is participating or is 

otherwise financially interested must 

give the customer written notification of 

the broker-dealer’s participation or 

interest at or before completion of the 

transaction. The Commission estimates 

that 556 respondents collect information 

annually under Rule 15c1–6 and that 

each respondent would spend 

approximately 10 hours annually 

complying with the collection of 

information requirement (approximately 

5,560 hours in aggregate). 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless it displays a currently valid 

control number. 

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) Charles Boucher, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Shirley 

Martinson, 6432 General Green Way, 

Alexandria, VA 22312 or send an e-mail 

to PRA_Mailbox@sec.gov. Comments 

must be submitted within 30 days of 

this notice. 

Dated: January 21, 2009. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–1715 Filed 1–27–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 15c1–7; OMB Control No. 3235–0134; 

SEC File No. 270–146. 

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 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 

556 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 33,333 

aggregate hours per year (approximately 

60 hours per respondent). 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless it displays a currently valid 

control number. 

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) Charles Boucher, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Shirley 

Martinson, 6432 General Green Way, 

Alexandria, VA 22312 or send an e-mail 

to PRA_Mailbox@sec.gov. Comments 

must be submitted within 30 days of 

this notice. 


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