

[Federal Register: January 12, 2007 (Volume 72, Number 8)]
[Notices]               
[Page 1565]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr12ja07-110]                         

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SECURITIES AND EXCHANGE COMMISSION

 
Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Filings and Information Services, Washington, DC 
20549.

New Information Collection:
    Study of Marketing and Delivery of Financial Products to 
Individual Investors, OMB Control No. 3235-xxxx; SEC File No. 270-
561.

    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 
collection of information to the Office of Management and Budget for 
approval.
    The Commission has engaged an outside contractor to undertake a 
study that will involve collecting, categorizing, and analyzing 
empirical data regarding the marketing, sale and delivery of financial 
products, accounts, programs and services offered to individual 
investors by broker-dealers and investment advisers. The contractor's 
findings will be summarized in a report for the Commission.
    Participation in the study will be voluntary. Information collected 
during the study will not be kept confidential, except that the 
identity of a study participant, and information that would identify a 
participant to anyone outside the study will not be disclosed without 
the participant's consent, except as required by law. Participants in 
the study are expected to include broker-dealers, investment advisers, 
individual investors, investor advocates and industry groups. We 
estimate that there would be approximately 330 participants in the 
study at an estimated 1.5 hours for a total annual burden of 
approximately 500 hours.
    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 
David_Rostker@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 to OMB within 
30 days of this notice.

    January 3, 2007.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-300 Filed 1-11-07; 8:45 am]

BILLING CODE 8011-01-P
