
[Federal Register Volume 76, Number 247 (Friday, December 23, 2011)]
[Notices]
[Pages 80422-80423]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-32917]


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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, SEC File No. 270-146, OMB Control No. 3235-0134.

    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 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 481 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 69 hours 
per respondent).
    The Commission may not conduct or sponsor a collection of 
information unless it displays a current valid control number. No 
person shall be subject to any penalty for failing to comply with a 
collection of information subject to PRA that does not display a valid 
Office of Management and Budget (OMB) control number.
    The public may view the 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) Thomas Bayer, Director/Chief Information 
Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 
6432 General Green Way, Alexandria, VA 22312 or send an email to PRA_Mailbox@sec.gov. Comments must be submitted within 30 days of this 
notice.


[[Page 80423]]


    Dated: December 19, 2011.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2011-32917 Filed 12-22-11; 8:45 am]
BILLING CODE 8011-01-P


