Document ID: SEC-2009-1410-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2009-10-06T04:00Z

[Federal Register: October 6, 2009 (Volume 74, Number 192)]
[Notices]               
[Page 51342]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06oc09-109]                         

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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 Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Rule 15c3-1, OMB Control No. 3235-0200, SEC File No. 270-197.

    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'') is soliciting comments on the collection of 
information summarized below. The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget for extension and approval.
    Rule 15c3-1 (17 CFR 240.15c3-1) under the Securities Exchange Act 
of 1934 (15 U.S.C. 78a et seq.) requires brokers and dealers to have at 
all times sufficient liquid assets to meet their current liabilities, 
particularly the claims of customers. The rule facilitates monitoring 
the financial condition of brokers and dealers by the Commission and 
the various self-regulatory organizations. It is estimated that the 
active broker-dealer respondents registered with the Commission incur 
an aggregate burden of 73,300 hours per year to comply with this rule.
    Please note that 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, Virginia 22312 or send an e-mail 
to: PRA_Mailbox@sec.gov. Comments must be submitted within 30 days of 
this notice.

    Dated: September 30, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-23993 Filed 10-5-09; 8:45 am]

BILLING CODE 8011-01-P