
[Federal Register Volume 80, Number 21 (Monday, February 2, 2015)]
[Notices]
[Page 5590]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-01873]



[[Page 5590]]

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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 FOIA Services, Washington, DC 20549-2736.

Extension:
    Rule 12f-3, SEC File No. 270-141, OMB Control No. 3235-0249

    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 a request for approval of extension of the previously 
approved collection of information provided for in Rule 12f-3 (17 CFR 
240.12f-3), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.).
    Rule 12f-3 (the ``Rule''), which was originally adopted in 1934 
pursuant to Sections 12(f) and 23(a) of the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.) (``Act''), as modified in 1995, prescribes 
the information which must be included in applications for and notices 
of termination or suspension of unlisted trading privileges for a 
security as contemplated in Section 12(f)(4) of the Act. An application 
must provide, among other things, the name of the applicant; a brief 
statement of the applicant's interest in the question of termination or 
suspension of such unlisted trading privileges; the title of the 
security; the name of the issuer; certain information regarding the 
size of the class of security and its recent trading history; and a 
statement indicating that the applicant has provided a copy of such 
application to the exchange from which the suspension or termination of 
unlisted trading privileges are sought, and to any other exchange on 
which the security is listed or admitted to unlisted trading 
privileges.
    The information required to be included in applications submitted 
pursuant to Rule 12f-3, is intended to provide the Commission with 
sufficient information to make the necessary findings under the Act to 
terminate or suspend by order the unlisted trading privileges granted a 
security on a national securities exchange. Without the Rule, the 
Commission would be unable to fulfill these statutory responsibilities.
    The burden of complying with Rule 12f-3 arises when a potential 
respondent, having a demonstrable bona fide interest in the question of 
termination or suspension of the unlisted trading privileges of a 
security, determines to seek such termination or suspension. The staff 
estimates that each such application to terminate or suspend unlisted 
trading privileges requires approximately one hour to complete. Thus 
each potential respondent would incur on average one burden hour in 
complying with the Rule. The Commission staff estimates that there 
could be as many as 18 responses annually. Compliance with the 
application requirements of Rule 12f-3 is mandatory, though the filing 
of such applications is undertaken voluntarily. Rule 12f-3 does not 
have a record retention requirement per se. However, responses made 
pursuant to Rule 12f-3 are subject to the recordkeeping requirements of 
Rules 17a-3 and 17a-4 of the Act. Information received in response to 
Rule 12f-3 shall not be kept confidential; the information collected is 
public information.
    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: 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) Pamela Dyson, Acting 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: January 27, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-01873 Filed 1-30-15; 8:45 am]
BILLING CODE 8011-01-P


