Document ID: SEC-2013-0616-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2013-03-29T04:00Z

[Federal Register Volume 78, Number 61 (Friday, March 29, 2013)]
[Notices]
[Page 19335]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-07319]

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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 15a-4. SEC File No. 270-7, OMB Control No. 3235-0010.

    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'') has submitted to the Office of 
Management and Budget (``OMB'') a request for extension of the 
previously approved collection provided for in Rule 15a-4 (17 CFR 
240.15a-4) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Exchange Act'').
    Rule 15a-4 permits a natural person member of a securities exchange 
who terminates his or her association with a registered broker-dealer 
to continue to transact business on the exchange while the Commission 
reviews his or her application for registration as a broker-dealer 
filed on Form BD if the exchange files a statement (``Statement'') 
indicating that there do not appear to be any grounds for disapproving 
the application.
    The total annual burden imposed by Rule 15a-4 is approximately 8.46 
hours, based on approximately 2 responses (2 Respondents x 1 Statement/
Respondent), each requiring approximately 4.23 hours to complete.
    The Commission uses the information disclosed by applicants in Form 
BD: (1) To determine whether the applicant meets the standards for 
registration set forth in the provisions of the Exchange Act; (2) to 
develop a central information resource where members of the public may 
obtain relevant, up-to-date information about broker-dealers, municipal 
securities dealers and government securities broker-dealers, and where 
the Commission, other regulators and SROs may obtain information for 
investigatory purposes in connection with securities litigation; and 
(3) to develop statistical information about broker-dealers, municipal 
securities dealers and government securities broker-dealers. Without 
the information disclosed in Form BD, the Commission could not 
effectively implement policy objectives of the Exchange Act with 
respect to its investor protection function. The Statement submitted by 
the exchange assures the Commission that the applicant, in the opinion 
of the exchange, is qualified to transact business on the exchange 
during the time that the applications are reviewed.
    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.
    The public may view background documentation for this information 
collection at the following Web site, www.reginfo.gov. 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 email to: Shagufta_Ahmed@omb.eop.gov; and (ii) 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. Comments must be submitted to OMB within 30 days of 
this notice.

    Dated: March 25, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-07319 Filed 3-28-13; 8:45 am]
BILLING CODE 8011-01-P