
[Federal Register Volume 79, Number 69 (Thursday, April 10, 2014)]
[Notices]
[Page 19936]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-07997]


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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 15b6-1 and Form BDW, SEC File No. 270-17, OMB Control No. 
3235-0018.

    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'') is soliciting comments on the existing 
collection of information provided for in Rule 15b6-1 (17 CFR 240.15b6-
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.
    Registered broker-dealers use Form BDW (17 CFR 249.501a) to 
withdraw from registration with the Commission, the self-regulatory 
organizations, and the states. On average, the Commission estimates 
that it would take a broker-dealer approximately one hour to complete 
and file a Form BDW to withdraw from Commission registration as 
required by Rule 15b6-1. The Commission estimates that approximately 
488 broker-dealers withdraw from Commission registration annually \1\ 
and, therefore, file a Form BDW via the internet with the Central 
Registration Depository, a computer system operated by the Financial 
Industry Regulatory Authority, Inc. that maintains information 
regarding registered broker-dealers and their registered personnel. The 
488 broker-dealers that withdraw from registration by filing Form BDW 
would incur an aggregate annual reporting burden of approximately 488 
hours.\2\
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    \1\ This estimate is based on Form BDW data collected over the 
past three years for fully registered broker- dealers. In fiscal 
year (from 10/1 through 9/30) 2011, 524 broker-dealers withdrew from 
registration. In fiscal year 2012, 428 broker-dealers withdrew from 
registration. In fiscal year 2013, 513 broker-dealers withdrew from 
registration. (524 + 428 + 513)/3 = 488.
    \2\ (488 x 1 hour) = 488 hours.
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    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 to 
be 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 under the PRA unless it 
displays a currently valid OMB control number.
    Please direct your written comments to: Thomas Bayer, 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.

    Dated: April 2, 2014.
Kevin M. O'Neill,
Deputy Secretary.
 [FR Doc. 2014-07997 Filed 4-9-14; 8:45 a.m.]
BILLING CODE 8011-01-P


