Document ID: SEC-2016-1163-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2016-07-07T04:00Z

[Federal Register Volume 81, Number 130 (Thursday, July 7, 2016)]
[Notices]
[Page 44395]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-16036]

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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 FOIA Services, 100 F Street NE., Washington, DC 
20549-2736.

Extension:
    Rule 6a-3, SEC File No. 270-0015, OMB Control No. 3235-0021.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), 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 of information provided for in Rule 6a-3 (17 CFR 240.6a-3) 
under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) 
(``Act'').
    Section 6 of the Act sets out a framework for the registration and 
regulation of national securities exchanges. Under Rule 6a-3, one of 
the rules that implements Section 6, a national securities exchange (or 
an exchange exempted from registration based on limited trading volume) 
must provide certain supplemental information to the Commission, 
including any material (including notices, circulars, bulletins, lists, 
and periodicals) issued or made generally available to members of, or 
participants or subscribers to, the exchange. Rule 6a-3 also requires 
the exchanges to file monthly reports that set forth the volume and 
aggregate dollar amount of certain securities sold on the exchange each 
month. The information required to be filed with the Commission 
pursuant to Rule 6a-3 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.
    The Commission estimates that each respondent makes approximately 
12 such filings on an annual basis at an average cost of approximately 
$20 per response. Currently, 19 respondents (19 national securities 
exchanges) are subject to the collection of information requirements of 
Rule 6a-3. The Commission estimates that the total burden for all 
respondents is 114 hours and $4,560 per year.
    Compliance with Rule 6a-3 is mandatory for registered and exempt 
exchanges. Information received in response to Rule 6a-3 shall not be 
kept confidential; the information collected is public information. As 
set forth in Rule 17a-1 (17 CFR 240.17a-1) under the Act, a national 
securities exchange is required to retain records of the collection of 
information for at least five years.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently 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) Pamela Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or by sending an 
email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 
30 days of this notice.

    Dated: June 30, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-16036 Filed 7-6-16; 8:45 am]
 BILLING CODE 8011-01-P