Document ID: SEC-2007-1509-0001
Agency: sec
Document Type: Notice
Title: Agency information collection activities; proposals, submissions, and approvals
Posted Date: 2007-11-05T05:00Z

[Federal Register: November 5, 2007 (Volume 72, Number 213)]
[Notices]               
[Page 62499-62500]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr05no07-80]                         

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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:
    Form BD-N/Rule 15b11-1, SEC File No. 270-498, OMB Control No. 
3235-0556.

    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 15b11-1 (17 CFR 240.15b11-1) and Form BD-N (17 CFR 249.501b) 
serve as the form of notice for futures commission merchants and 
introducing brokers that register as broker-dealers by notice pursuant 
to section 15(b)(11)(A) of the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.). Specifically, the form requires a broker-dealer 
registering by notice to indicate whether it is filing a notice 
registration to conduct a securities business in security futures

[[Page 62500]]

products and if so, that it satisfies the statutory conditions for 
notice registration.
    The total annual burden imposed by Rule 15b11-1 and Form BD-N is 
approximately 8 hours, based on approximately 16 responses (16 initial 
filings + 0 amendments). Each initial filing requires approximately 30 
minutes to complete and each amendment requires approximately 15 
minutes to complete. There is no annual cost burden.
    The Commission will use the information collected pursuant to Rule 
15b11-1 to elicit basic identification information as well as 
information that will allow the Commission to ensure that the futures 
commission merchants and introducing brokers meet the statutory 
conditions to register by notice pursuant to section 15(b)(11) of the 
Exchange Act. This information will assist the Commission in fulfilling 
its regulatory obligations.
    Completing and filing Form BD-N is mandatory in order for an 
eligible futures commission merchant or introducing broker to engage in 
notice-registered broker-dealer activity. Compliance with Rule 15b11-1 
does not involve the collection of confidential information. 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: 
Alexander_T._Hunt@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, VA 22312 or send an e-
mail to: PRA_Mailbox@sec.gov. Comments must be submitted within 30 
days of this notice.

    October 29, 2007.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-21664 Filed 11-2-07; 8:45 am]

BILLING CODE 8011-01-P