
[Federal Register Volume 78, Number 120 (Friday, June 21, 2013)]
[Notices]
[Page 37600]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-14798]


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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 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'') has submitted to the Office of Management 
and Budget a request for extension of the previously approved 
collection of information discussed below.
    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 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.
    Compliance with Rule 6a-3 is mandatory for registered and exempt 
exchanges. Information received in response to Rule 6a-3 shall not be 
kept confidential; the information collected is public information. As 
set forth in Rule 17a-1 (17 CFR 240.17a-1) under the Act, a national 
securities exchange is required to retain records of the collection of 
information for at least five years.
    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.
    The public may view 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 to OMB within 30 days of 
this notice.

    Dated: June 17, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-14798 Filed 6-20-13; 8:45 am]
BILLING CODE 8011-01-P


