Document ID: SEC-2010-0152-0001
Agency: sec
Document Type: Notice
Title: Proposed Collection; Comment Request
Posted Date: 2010-01-29T05:00Z

[Federal Register: January 29, 2010 (Volume 75, Number 19)]
[Notices]               
[Page 4883]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29ja10-117]                         

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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 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 Regulation 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.
    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 will 
have practical utility; (b) the accuracy of the Commission's estimate 
of the burden of the collection of information; (c) ways to enhance the 
quality, utility, and clarity of the information 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, Virginia 22312 or send 
an e-mail to: PRA_Mailbox@sec.gov.

    Dated: January 22, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-1846 Filed 1-28-10; 8:45 am]
BILLING CODE 8011-01-P