
[Federal Register Volume 78, Number 155 (Monday, August 12, 2013)]
[Notices]
[Page 48917]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-19405]


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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 31 and Form R31. SEC File No. 270-537, OMB Control No. 
3235-0597.

    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 extension of the previously approved 
collection of information discussed below.
    Section 31 of the Securities Exchange Act of 1934 (15 U.S.C. 78ee.) 
(``Exchange Act'') requires the Commission to collect fees and 
assessments from national securities exchanges and national securities 
associations (collectively, ``self-regulatory organizations'' or 
``SROs'') based on the volume of their securities transactions. To 
collect the proper amounts, the Commission adopted Rule 31 (17 CFR 
240.31) and Form R31 (17 CFR 249.11) under the Exchange Act whereby the 
SROs must report to the Commission the volume of their securities 
transaction and the Commission, based on that data, calculates the 
amount of fees and assessments that the SROs owe pursuant to Section 
31. Rule 31 and Form R31 require the SROs to provide this data on a 
monthly basis.
    Currently, there are 22 respondents under Rule 31: 17 national 
securities exchanges, two security futures exchanges, and one national 
securities association subject to the collection of information 
requirements of Rule 31; there are additionally two registered clearing 
agencies that are required to provide certain data in their possession 
needed by the SROs to complete Form R31, although these two entities 
are not themselves required to complete and submit Form R31. The 
Commission estimates that the total burden for all 22 respondents is 
378 hours per year. The Commission notes that, based on previous and 
current experience, it estimates an additional two new national 
securities exchanges will become registered and subject to the 
reporting requirements of Rule 31 over the course of the authorization 
period and incur burden of 12 hours per year. Thus, the Commission 
estimates the total burden for the existing and expected new 
respondents to be 390 hours per year.
    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, 100 
F Street NE., Washington, DC 20549 or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of 
this notice.

    Dated: August 6, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-19405 Filed 8-9-13; 8:45 am]
BILLING CODE 8011-01-P


