Document ID: SEC-2010-0492-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2010-04-01T04:00Z

[Federal Register: April 1, 2010 (Volume 75, Number 62)]
[Notices]               
[Page 16528]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01ap10-126]                         

-----------------------------------------------------------------------

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 19b-4(e) and Form 19b-4(e), OMB Control No. 3235-0504, SEC 
File No. 270-447.

    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 
requests for extension of the previously approved collections of 
information discussed below. The Code of Federal Regulations citation 
to this collection of information is 17 CFR 240.19b-4(e) under the 
Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) (the ``Act'').
    Rule 19b-4(e) permits a self-regulatory organization (``SRO'') to 
immediately list and trade a new derivative securities product so long 
as such product is in compliance with the criteria of Rule 19b-4(e) 
under the Act. However, in order for the Commission to maintain an 
accurate record of all new derivative securities products traded 
through the facilities of SROs and to determine whether an SRO has 
properly availed itself of the permission granted by Rule 19b-4(e), it 
is necessary that the SRO maintain, on-site, a copy of Form 19b-4(e) 
under the Act. Rule 19b-4(e) requires SROs to file a summary form, Form 
19b-4(e), and thereby notify the Commission, within five business days 
after the commencement of trading a new derivative securities product. 
In addition, the Commission reviews SRO compliance with Rule 19b-4(e) 
through its routine inspections of the SROs.
    The collection of information is designed to allow the Commission 
to maintain an accurate record of all new derivative securities 
products traded through the facilities of SROs and to determine whether 
an SRO has properly availed itself of the permission granted by Rule 
19b-4(e).
    The respondents to the collection of information are SROs (as 
defined by the Act), all of which are national securities exchanges.
    Twelve respondents file an average total of 3,180 responses per 
year, which corresponds to an estimated annual response burden of 3,180 
hours.
    Compliance with Rule 19b-4(e) is mandatory. Information received in 
response to Rule 19b-4(e) shall not be kept confidential; the 
information collected is public 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.
    Written comments regarding the above information should be directed 
to the following persons: (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 send an e-mail to Shagufta_
Ahmed@omb.eop.gov; and (ii) Charles Boucher, Director/CIO, 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 to OMB within 30 days of this notice.

    Dated: March 25, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-7366 Filed 3-31-10; 8:45 am]
BILLING CODE 8011-01-P