

[Federal Register: August 16, 2007 (Volume 72, Number 158)]
[Notices]               
[Page 46112-46113]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16au07-124]                         

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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 
20549-0213.

Extension: Rule 17a-1; SEC File No. 270-244; OMB Control No. 3235-
0208.

    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 (``OMB'') a request for extension of the previously approved 
collection of information discussed below.
    Rule 17a-1 (17 CFR 240.17a-1) under the Securities Exchange Act of 
1934 (the ``Act'') (15 U.S.C. 78a et. seq.) requires that all national 
securities exchanges, national securities associations, registered 
clearing agencies, and the Municipal Securities Rulemaking Board keep 
on file for a period of five years, two years in an accessible place, 
all documents that they make or receive respecting their self-
regulatory activities, and that such documents be available for 
examination by the Commission.
    The Commission staff estimates that the average number of hours 
necessary for compliance with the requirements of Rule 17a-1 is 50 
hours per year. There

[[Page 46113]]

are 22 entities required to comply with the rule: 10 National 
securities exchanges, 1 national securities association, 10 registered 
clearing agencies, and the Municipal Securities Rulemaking Board. In 
addition, 3 national securities exchanges notice-registered pursuant to 
Section 6(g) of the Act are required to preserve records of 
determinations made under Rule 3a55-1, which the Commission staff 
estimates will take 1 hour per exchange, for a total of 3 hours. 
Accordingly, the Commission staff estimates that the total number of 
hours necessary to comply with the requirements of Rule 17a-1 is 1,103 
hours. The average cost per hour is $50. Therefore, the total cost of 
compliance for the respondents is $55,150.
    Rule 17a-1 does not assure confidentiality for the records 
maintained pursuant to the rule. The records required by Rule 17a-1 are 
available only for examination by the Commission staff, state 
securities authorities and the self-regulatory organizations. Subject 
to the provisions of the Freedom of Information Act, 5 U.S.C. 522, and 
the Commission's rules thereunder (17 CFR 200.80(b)(4)(iii)), the 
Commission does not generally publish or make available information 
contained in any reports, summaries, analyses, letters, or memoranda 
arising out of, in anticipation of, or in connection with an 
examination or inspection of the books and records of any person or any 
other investigation. Please note that 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: 
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 within 30 
days of this notice.

    Dated: August 8, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-16163 Filed 8-15-07; 8:45 am]

BILLING CODE 8010-01-P
