Document ID: SEC-2009-0119-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2009-01-28T05:00Z

[Federal Register: January 28, 2009 (Volume 74, Number 17)]
[Notices]               
[Page 4988-4989]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr28ja09-84]                         

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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:
    Rule 15c1-5 OMB Control No. 3235-0471 SEC File No. 270-422.

    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 
(``OMB'') a request for approval of extension of the existing 
collection of

[[Page 4989]]

information provided for in the following rule: Rule 15c1-5 (17 CFR 
240.15c1-5) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Exchange Act'').
    Rule 15c1-5 states that any broker-dealer controlled by, 
controlling, or under common control with the issuer of a security that 
the broker-dealer is trying to sell to or buy from a customer must give 
the customer written notification disclosing the control relationship 
at or before completion of the transaction. The Commission estimates 
that 278 respondents collect information annually under Rule 15c1-5 and 
that approximately each respondent would spend 10 hours per year 
collecting this information (2,780 hours in aggregate). There is no 
retention period requirement under Rule 15c1-5. This Rule does not 
involve the collection of confidential 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:
    (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: January 21, 2009.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E9-1714 Filed 1-27-09; 8:45 am]

BILLING CODE 8011-01-P