Document ID: SEC-2013-1013-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2013-06-04T04:00Z

[Federal Register Volume 78, Number 107 (Tuesday, June 4, 2013)]
[Notices]
[Page 33453]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-13191]

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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 31 and Form R31, SEC File No. 270-537, OMB Control No. 
3235-0597.

    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.
    Section 31 of the Securities Exchange Act of 1934 (15 U.S.C. 78ee) 
(``Exchange Act'') requires the Commission to collect fees and 
assessments from national securities exchanges and national securities 
associations (collectively, ``self-regulatory organizations'' or 
``SROs'') based on the volume of their securities transactions. To 
collect the proper amounts, the Commission adopted Rule 31 (17 CFR 
240.31) and Form R31 (17 CFR 249.11) under the Exchange Act whereby the 
SROs must report to the Commission the volume of their securities 
transactions and the Commission, based on that data, calculates the 
amount of fees and assessments that the SROs owe pursuant to Section 
31. Rule 31 and Form R31 require the SROs to provide this data on a 
monthly basis.
    Currently, there are 22 respondents under Rule 31: 17 national 
securities exchanges, two security futures exchanges, and one national 
securities association subject to the collection of information 
requirements of Rule 31; there are additionally two registered clearing 
agencies that are required to provide certain data in their possession 
needed by the SROs to complete Form R31, although these two entities 
are not themselves required to complete and submit Form R31. The 
Commission estimates that the total burden for all 22 respondents is 
366 hours per year. The Commission notes that, based on previous and 
current experience, it estimates an additional two new national 
securities exchanges will become registered and subject to the 
reporting requirements of Rule 31 over the course of the authorization 
period.
    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 
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 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, 6432 General Green Way, Alexandria, Virginia, 22312 or 
send an email to: PRA_Mailbox@sec.gov.

     Dated: May 30, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-13191 Filed 6-3-13; 8:45 am]
BILLING CODE 8011-01-P