[Federal Register Volume 66, Number 162 (Tuesday, August 21, 2001)]
[Notices]
[Page 43923]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-20972]


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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 Filings and Information Services, Washington, DC 
20549.
Extension:
    Rule 17a-5 and Form X-17A-5, SEC File No. 270-155, OMB Control No. 
3235-0123.

    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.
    Rule 17a-5 under the Securities Exchange Act of 1934 is the basic 
reporting rule for brokers and dealers, and Form X-17A-5, the Financial 
and Operational Combined Uniform Single Report, is the basic document 
for reporting the financial and operational condition of securities 
brokers and dealers.
    The staff estimates that approximately 7,230 respondents respond to 
this collection of information 33,870 times annually, with a total 
burden of 12 hours for each response, based upon past submissions. The 
staff estimates that the average number of hours necessary to comply 
with the requirements of Rule 17a-5 is 406,440 hours. The average cost 
per hour is $113. Therefore, the total cost of compliance for the 
respondents is $45,927,720.
    Rule 17a-5 does not contain record retention requirements. 
Compliance with the rule is mandatory. Responses are kept confidential 
pursuant to paragraph 17a-5(a)(3). 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 control number.
    General comments regarding the estimated burden hours should be 
directed to the following persons: (i) Desk Officer for the Securities 
and Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10202, New Executive Office 
Building, Washington, D.C. 20549; and (ii) Michael E. Bartell, 
Associate Executive Director, Office of Information Technology, 
Securities and Exchange Commission, 450 Fifth Street, NW., Washington, 
DC 20549. Comments must be submitted to OMB within 30 days of this 
notice.

    Dated: August 13, 2001.
Jonathan G. Katz,
Secretary.
[FR Doc. 01-20972 Filed 8-20-01; 8:45 am]
BILLING CODE 8010-01-M