Document ID: SEC-2013-0470-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2013-03-12T04:00Z

[Federal Register Volume 78, Number 48 (Tuesday, March 12, 2013)]
[Notices]
[Page 15757]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-05573]

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SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.
Extension: Rule 19d-3;
    SEC File No. 270-245; OMB Control No. 3235-0204.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the existing 
collection of information provided for in Rule 19d-3 (17 CFR 240.19d-3) 
under the Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) 
(``Exchange Act''). The Commission plans to submit this existing 
collection of information to the Office of Management and Budget 
(``OMB'') for extension and approval.
    Rule 19d-3 prescribes the form and content of applications to the 
Commission by persons seeking Commission review of final disciplinary 
actions against them taken by self-regulatory organizations (``SROs'') 
for which the Commission is the appropriate regulatory agency. The 
Commission uses the information provided in the application filed 
pursuant to Rule 19d-3 to review final actions taken by SROs including: 
(1) Final disciplinary sanctions; (2) denial or conditioning of 
membership, participation or association; and (3) prohibitions or 
limitations of access to services offered by a SRO or member thereof.
    It is estimated that approximately six respondents will utilize 
this application procedure annually, with a total burden of 
approximately 108 hours, for all respondents to complete all 
submissions. This figure is based upon past submissions. It is 
estimated that each respondent will submit approximately one response. 
The staff estimates that the average number of hours necessary to 
comply with the requirements of Rule 19d-3 will be approximately 
eighteen hours. The average cost per hour, to complete each submission, 
is approximately $101. Therefore, it is estimated the internal labor 
cost of compliance for all respondents is approximately $10,908 (6 
submissions x 18 hours per response x $101 per hour).
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility and clarity of the information 
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.
    The Commission may not conduct or sponsor a collection of 
information unless it displays a currently valid OMB control number. No 
person shall be subject to any penalty for failing to comply with a 
collection of information subject to the PRA that does not display a 
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, 6432 General Green Way, Alexandria, VA 22312 or send an 
email to: PRA_Mailbox@sec.gov.

    Dated: March 5, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-05573 Filed 3-11-13; 8:45 am]
BILLING CODE 8011-01-P