
[Federal Register Volume 79, Number 20 (Thursday, January 30, 2014)]
[Notices]
[Pages 4986-4987]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-01814]


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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 17a-2,
    SEC File No. 270-189 OMB Control No. 3235-0201.

    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 
previously approved collection of information provided for in Rule 17a-
2 (17 CFR 240.17a-2), under the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.).
    Rule 17a-2 requires underwriters to maintain information regarding 
stabilizing activities conducted in accordance with Rule 104 of 
Regulation M. The collections of information under Regulation M and 
Rule 17a-2 are necessary for covered persons to obtain certain benefits 
or to comply with certain requirements. The collections of information 
are necessary to provide the Commission with information regarding 
syndicate covering transactions and penalty bids. The Commission may 
review this information during periodic examinations or with respect to 
investigations. Except for the information required to be kept under 
Rule 104(i) (17 CFR 242.104(i)) and Rule 17a-2(c), none of the 
information required to be collected or disclosed for PRA purposes will 
be kept confidential. The recordkeeping requirement of Rule 17a-2 
requires the information be maintained in a separate file, or in a 
separately retrievable format, for a period of three years, the first 
two years in an easily accessible place, consistent with the 
requirements of Exchange Act Rule 17a-4(f) (17 CFR 240.17a-4(f)).
    There are approximately 795 respondents per year that require an 
aggregate total of 3,975 hours to comply with this rule. Each 
respondent makes an estimated 1 annual response. Each response takes 
approximately 5 hours to complete. Thus, the total compliance burden 
per year is 3,975 burden hours. The total internal compliance cost for 
the respondents is approximately $250,425.00, resulting in a cost of 
compliance for each respondent per response of approximately $315.00 
(i.e., $250,425.00/795 responses).
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently valid OMB control number.
    The public may view background documentation for this information 
collection at the following Web site: http://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,

[[Page 4987]]

c/o Remi Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or by 
sending an email to: PRA_Mailbox@sec.gov. Comments must be submitted 
to OMB within 30 days of this notice.

    Dated: January 24, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-01814 Filed 1-29-14; 8:45 am]
BILLING CODE 8011-01-P


