Document ID: SEC-2010-1035-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2010-07-08T04:00Z

[Federal Register: July 8, 2010 (Volume 75, Number 130)]
[Notices]               
[Page 39287]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08jy10-120]                         

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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 6a-4, Form 1-N; OMB Control No. 3235-0554; SEC File No. 
270-496.

    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. The Code of Federal 
Regulation citation to this collection of information is 17 CFR 240.6a-
4 and 17 CFR 249.10 under the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.) (the ``Act'').
    Section 6 of the Act \1\ sets out a framework for the registration 
and regulation of national securities exchanges. Under the Commodity 
Futures Modernization Act of 2000, a futures market may trade security 
futures products by registering as a national securities exchange. Rule 
6a-4 \2\ sets forth these registration procedures and directs futures 
markets to submit a notice registration on Form 1-N.\3\ Form 1-N calls 
for information regarding how the futures market operates, its rules 
and procedures, its criteria for membership, its subsidiaries and 
affiliates, and the security futures products it intends to trade. Rule 
6a-4 also requires entities that have submitted an initial Form 1-N to 
file: (1) Amendments to Form 1-N in the event of material changes to 
the information provided in the initial Form 1-N; (2) periodic updates 
of certain information provided in the initial Form 1-N; (3) certain 
information that is provided to the futures market's members; and (4) a 
monthly report summarizing the futures market's trading of security 
futures products. The information required to be filed with the 
Commission pursuant to Rule 6a-4 is designed to enable the Commission 
to carry out its statutorily mandated oversight functions and to ensure 
that registered and exempt exchanges continue to be in compliance with 
the Act.
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    \1\ 15 U.S.C. 78f.
    \2\ 17 CFR 240.6a-4.
    \3\ 17 CFR 249.10.
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    The respondents to the collection of information are futures 
markets.
    The Commission estimates that the total annual burden for all 
respondents to provide the amendments and periodic updates under Rule 
6a-4 would be 45 hours (15 hours/respondent per year x 3 respondents) 
and $300 of miscellaneous clerical expenses. The Commission estimates 
that the total annual burden for the filing of the supplemental 
information and the monthly reports required under Rule 6a-4 would be 
37.5 hours (12.5 hours/respondent per year x 3 respondents) (rounded to 
38 hours) and $375 of miscellaneous clerical expenses.
    Compliance with Rule 6a-4 is mandatory. Information received in 
response to Rule 6a-4 shall not be kept confidential; the information 
collected is public 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 (1) 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 to OMB within 30 
days of this notice.

    Dated: June 30, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-16537 Filed 7-7-10; 8:45 am]
BILLING CODE 8010-01-P