
[Federal Register: January 28, 2009 (Volume 74, Number 17)]
[Notices]               
[Page 4989-4990]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr28ja09-86]                         

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SECURITIES AND EXCHANGE COMMISSION

 
Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of Investor Education and Advocacy, 
Washington, DC 20549-0213.

Extension:
    Rule 15c1-7; OMB Control No. 3235-0134; SEC File No. 270-146.

    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 approval of extension of the existing 
collection of information provided for in the following rule: Rule 
15c1-7 (17 CFR 240.15c1-7) under the Securities Exchange Act of 1934 
(15 U.S.C. 78a et seq.) (``Exchange Act'').
    Rule 15c1-7 states that any act of a broker-dealer designed to 
effect securities transactions with or for a customer account over 
which the broker-dealer (directly or through an agent or employee) has 
discretion will be considered a fraudulent, manipulative, or deceptive 
practice under the federal securities laws, unless a record is made of 
the transaction immediately by the broker-dealer. The record must 
include (a) the name of the customer, (b) the name, amount, and price 
of the security, and (c) the date and time when such transaction took 
place. The Commission estimates that 556 respondents collect 
information related to approximately 400,000 transactions annually 
under Rule 15c1-7 and that each respondent would spend approximately 5 
minutes on the collection of information for each transaction, for 
approximately 33,333 aggregate hours per year (approximately 60 hours 
per respondent).
    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: Shagufta_
Ahmed@omb.eop.gov; and
    (ii) Charles Boucher, 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.


[[Page 4990]]


    Dated: January 21, 2009.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E9-1716 Filed 1-27-09; 8:45 am]

BILLING CODE 8011-01-P
