Document ID: SEC-2007-1604-0001
Agency: sec
Document Type: Notice
Title: Agency information collection activities; proposals, submissions, and approvals
Posted Date: 2007-11-27T05:00Z

[Federal Register: November 27, 2007 (Volume 72, Number 227)]
[Notices]               
[Page 66200-66201]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27no07-116]                         

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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 Investor Education and Advocacy, Washington, DC 
20549

Extension:
    Rule 17a-4(b)(11); SEC File No. 270-449; OMB Control No. 3235-
0506

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. Sec. 3501 et seq.), the Securities and Exchange 
Commission

[[Page 66201]]

(``Commission'') has submitted to the Office of Management and Budget 
(``OMB'') a request for extension of the previously approved collection 
of information discussed below.
    Rule 17a-4(b)(11) (17 CFR 240.17a-4(b)(11)) under the Securities 
Exchange Act of 1934 (15 U.S.C. 78a et seq.) describes the record 
preservation requirements for those records required to be kept 
pursuant to Rule 17a-3(a)(16), including how such records should be 
kept and for how long, to be used in monitoring compliance with the 
Commission's financial responsibility program and antifraud and 
antimanipulative rules as well as other rules and regulations of the 
Commission and the self-regulatory organizations. It is estimated that 
approximately 105 active broker-dealer respondents registered with the 
Commission incur an average burden of 315 hours per year (105 
respondents multiplied by 3 burden hours per respondent equals 315 
total burden hours) to comply with this rule.
    Under Rule 17a-4(a)(11) broker-dealers are required to retain 
records for a period of not less than three years. Compliance with the 
rule is mandatory. The required records are available only to the 
examination staff of the Commission and the self-regulatory 
organization of which the broker-dealer is a member. 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.
    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 e-mail to: 
Alexander_T._Hunt@omb.eop.gov; and (ii) R. Corey Booth, 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 30 
days of this notice.

    Dated: November 19, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-22978 Filed 11-26-07; 8:45 am]

BILLING CODE 8011-01-P