
[Federal Register Volume 78, Number 75 (Thursday, April 18, 2013)]
[Notices]
[Pages 23315-23316]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-09139]


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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 15c3-1; SEC File No. 270-197, OMB Control No. 3235-
0200.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the existing 
collection of information provided for in Rule 15c3-1 (17 CFR 240.15c3-
1), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). 
The Commission plans to submit this existing collection of information 
to the Office of Management and Budget (``OMB'') for extension and 
approval.
    Rule 15c3-1 requires brokers-dealers to have at all times 
sufficient liquid assets to meet their current liabilities, 
particularly the claims of customers. The rule facilitates the 
monitoring of the financial condition of broker-dealers by the 
Commission and the various self-regulatory organizations. It is 
estimated that broker-dealer respondents registered with the Commission 
and subject to the collection of information requirements of Rule 15c3-
1 incur an aggregate annual time burden of 71,818 hours to comply with 
this rule and an aggregate annual external cost of $160,000.
    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.


[[Page 23316]]


    Dated: April 15, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-09139 Filed 4-17-13; 8:45 am]
BILLING CODE 8011-01-P


