Document ID: SEC-2010-0632-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2010-04-29T04:00Z

[Federal Register: April 29, 2010 (Volume 75, Number 82)]
[Notices]               
[Page 22636-22637]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29ap10-121]                         

=======================================================================
-----------------------------------------------------------------------

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 6a-4, Form 1-N; OMB Control No. 3235-0554; SEC File No. 
270-496.

    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'') is soliciting comments on the collection of 
information summarized below. The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget for extension and approval. The Code of Federal Regulation 
citation to this collection of information is 17 CFR 240.6a-4 and 17 
CFR 249.10 under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (the ``Act'').
    Section 6 of the Act \1\ sets out a framework for the registration 
and regulation of national securities exchanges. Under the Commodity 
Futures Modernization Act of 2000, a futures market may trade security 
futures products by registering as a national securities exchange. Rule 
6a-4 \2\ sets forth these registration procedures and directs futures 
markets to submit a notice registration on Form 1-N.\3\ Form 1-N calls 
for information regarding how the futures market operates, its rules 
and procedures, its criteria for membership, its subsidiaries and 
affiliates, and the security futures products it intends to trade. Rule 
6a-4 also requires entities that have submitted an initial Form 1-N to 
file: (1) Amendments to Form 1-N in the event of material changes to 
the information provided in the initial Form 1-N; (2) periodic updates 
of certain information provided in the initial Form 1-N; (3) certain 
information that is provided to the futures market's members; and (4) a

[[Page 22637]]

monthly report summarizing the futures market's trading of security 
futures products. The information required to be filed with the 
Commission pursuant to Rule 6a-4 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.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78f.
    \2\ 17 CFR 240.6a-4.
    \3\ 17 CFR 249.10.
---------------------------------------------------------------------------

    The respondents to the collection of information are futures 
markets.
    The Commission estimates that the total annual burden for all 
respondents to provide the amendments and periodic updates under Rule 
6a-4 would be 45 hours (15 hours/respondent per year x 3 respondents) 
and $300 of miscellaneous clerical expenses. The Commission estimates 
that the total annual burden for the filing of the supplemental 
information and the monthly reports required under Rule 6a-4 would be 
37.5 hours (12.5 hours/respondent per year x 3 respondents) (rounded to 
38 hours) and $375 of miscellaneous clerical expenses.
    Compliance with Rule 6a-4 is mandatory. Information received in 
response to Rule 6a-4 shall not be kept confidential; the information 
collected is public information.
    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.
    Comments should be directed to: 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 60 
days of this notice.

    Dated: April 22, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-9879 Filed 4-28-10; 8:45 am]
BILLING CODE 8011-01-P