Document ID: SEC-2010-0835-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2010-06-09T04:00Z

[Federal Register: June 9, 2010 (Volume 75, Number 110)]
[Notices]               
[Page 32822]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr09jn10-111]                         

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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-3; SEC File No. 270-0015; OMB Control No. 3235-0021.

    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.
    Section 6 of the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Act'') sets out a framework for the registration and 
regulation of national securities exchanges. Under Rule 6a-3 (17 CFR 
240.6a-3), one of the rules that implements Section 6, a national 
securities exchange (or an exchange exempted from registration based on 
limited trading volume) must provide certain supplemental information 
to the Commission, including any material (including notices, 
circulars, bulletins, lists, and periodicals) issued or made generally 
available to members of, or participants or subscribers to, the 
exchange. Rule 6a-3 also requires the exchanges to file monthly reports 
that set forth the volume and aggregate dollar amount of securities 
sold on the exchange each month. The information required to be filed 
with the Commission pursuant to Rule 6a-3 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.
    The Commission estimates that each respondent makes approximately 
25 such filings on an annual basis at an average cost of approximately 
$36 per response. Currently, 15 respondents (13 national securities 
exchanges and two exempt exchanges) are subject to the collection of 
information requirements of Rule 6a-3. The Commission estimates that 
the total burden for all respondents is 187.5 hours (25 filings/
respondent per year x 0.5 hours/response x 15 respondents) and $13,500 
($36/response x 25 responses/respondent per year x 15 respondents) per 
year.
    Compliance with Rule 6a-3 is mandatory for registered and exempt 
exchanges. Information received in response to Rule 6a-3 shall not be 
kept confidential; the information collected is public information. As 
set forth in Rule 17a-1 (17 CFR 240.17a-1) under the Act, a national 
securities exchange is required to retain records of the collection of 
information for at least five years.
    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: June 2, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010-13830 Filed 6-8-10; 8:45 am]
BILLING CODE 8010-01-P