
[Federal Register Volume 78, Number 74 (Wednesday, April 17, 2013)]
[Notices]
[Page 22922]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-08994]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

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

Extension:
    Rule 6a-3. SEC File No. 270-0015, OMB Control No. 3235-0021.

    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 existing 
collection of information summarized below. The Commission plans to 
submit this existing collection of information to the Office of 
Management and Budget for extension and approval.
    Section 6 of the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Act'') sets out a framework for the registration and 
regulation of national securities exchanges. Under Rule 6a-3 (17 CFR 
240.6a-3), one of the rules that implements Section 6, a national 
securities exchange (or an exchange exempted from registration as a 
national securities exchange based on limited trading volume) must 
provide certain supplemental information to the Commission, including 
any material (including notices, circulars, bulletins, lists, and 
periodicals) issued or made generally available to members of, or 
participants or subscribers to, the exchange. Rule 6a-3 also requires 
the exchanges to file monthly reports that set forth the volume and 
aggregate dollar amount of securities sold on the exchange each month.
    The information required to be filed with the Commission pursuant 
to Rule 6a-3 is designed to enable the Commission to carry out its 
statutorily mandated oversight functions and to ensure that registered 
and exempt exchanges continue to be in compliance with the Act.
    The Commission estimates that each respondent makes approximately 
25 such filings on an annual basis at an average cost of approximately 
$52.50 per response. Currently, 19 respondents (17 national securities 
exchanges and two exempt exchanges) are subject to the collection of 
information requirements of Rule 6a-3. The Commission estimates that 
the total burden for all respondents is 237.5 hours (25 filings/
respondent per year x 0.5 hours/response x 19 respondents) and 
$24,937.50 ($52.50/response x 25 responses/respondent per year x 19 
respondents) per year.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information 
collected; and (d) ways to minimize the burden of the collection of 
information on respondents, including through the use of automated 
collection techniques or other forms of information technology. 
Consideration will be given to comments and suggestions submitted in 
writing within 60 days of this publication.
    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 OMB control number.
    Please direct your written comments to: Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312 or 
send an email to: PRA_Mailbox@sec.gov.

    Dated: April 12, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-08994 Filed 4-16-13; 8:45 am]
BILLING CODE 8011-01-P


