Document ID: SEC-2013-1310-0001
Agency: sec
Document Type: Notice
Title: Proposed Collection; Comment Request
Posted Date: 2013-07-19T04:00Z

[Federal Register Volume 78, Number 139 (Friday, July 19, 2013)]
[Notices]
[Pages 43250-43251]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-17314]

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SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

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

Extension:
    Rule 17a-3(a)(16). SEC File No. 270-452, OMB Control No. 3235-
0508.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. Sec. 3501 et seq.) (``PRA''), the Securities and 
Exchange Commission (``Commission'') is

[[Page 43251]]

soliciting comments on the collection of information provided for in 
Rule 17a-3(a)(16) (17 CFR 240.17a-3(a)(16)) under the Securities 
Exchange Act of 1934 (15 U.S.C. 78q et seq.). The Commission plans to 
submit this existing collection of information to the Office of 
Management and Budget (``OMB'') for extension and approval.
    Rule 17a-3(a)(16) identifies the records required to be made by 
broker-dealers that operate internal broker-dealer systems. Those 
records are to be used in monitoring compliance with the Commission's 
financial responsibility program and antifraud and antimanipulative 
rules, as well as other rules and regulations of the Commission and the 
self-regulatory organizations. It is estimated that approximately 105 
active broker-dealer respondents registered with the Commission incur 
an average aggregate burden of 2,835 hours per year (105 respondents 
multiplied by 27 burden hours per respondent equals 2,835 total burden 
hours) to comply with this rule.\1\
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    \1\ The average cost per hour is $269. Therefore the total 
internal cost of compliance for the respondents is $762,615.
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    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information shall 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the proposed collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and (d) ways to minimize the burden of the collection of 
information on respondents, including through the use of automated 
collection techniques or other forms of information technology. 
Consideration will be given to comments and suggestions submitted in 
writing within 60 days of this publication.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently valid OMB control number.
    Please direct your written comments to: Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or send an email 
to: PRA_Mailbox@sec.gov.

    Dated: July 15, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-17314 Filed 7-18-13; 8:45 am]
BILLING CODE 8011-01-P