Document ID: SEC-2006-0139-0002
Agency: sec
Document Type: Notice
Title: Agency information collection activities; proposals, submissions, and approvals
Posted Date: 2006-04-17T04:00Z

[Federal Register: April 17, 2006 (Volume 71, Number 73)]
[Notices]               
[Page 19761]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17ap06-105]                         

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SECURITIES AND EXCHANGE COMMISSION

 
Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Filings and Information Services, Washington, DC 
20549.

Extension:
    Rule 15g-4, SEC File No. 270-347, OMB Control No. 3235-0393.

    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 extension of the previously approved 
collection of information discussed below.
    Rule 15g-4 (17 CFR 240.15g-4) under the Securities Exchange Act of 
1934 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. It is 
estimated that approximately 240 respondents incur an average of 100 
hours annually to comply with the rule.
    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 
organization of which the broker or dealer is a member. 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.
    Written comments regarding the above information should be directed 
to the following persons: (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: 
David_Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/Chief 

Information Officer, Securities and Exchange Commission, c/o Shirley 
Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send 
an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted to the 
Office of Management and Budget within 30 days of this notice.

    Dated: April 6, 2006.
Nancy M. Morris,
Secretary.
 [FR Doc. E6-5680 Filed 4-14-06; 8:45 am]

BILLING CODE 8010-01-P