[Federal Register Volume 67, Number 112 (Tuesday, June 11, 2002)]
[Notices]
[Pages 40032-40033]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-14572]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Filings and Information Services, Washington, 
DC 20549.
Extension:
    Rule 15c1-5, SEC File No. 270-422, OMB Control No. 3235-0471
    Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 USC 3501 et seq.), the Securities and Exchange Commission 
(Commission) is soliciting comments on the collections of information 
summarized below. The Commission plans to submit these existing 
collections of information to the Office of Management and Budget for 
extension and approval.
    Rule 15c1-5 (17 CFR 240.15c1-5) states that any broker-dealer 
controlled by, controlling, or under common control with the issuer of 
a security that the broker-dealer is trying to sell to or buy from a 
customer must give the customer written notification disclosing the 
control relationship at or before completion of the transaction. The 
Commission estimates that 360 respondents collect information annually 
under Rule 15c1-5 and that approximately 3,600 hours would be required 
annually for these collections.
    Rule 15c1-6 (17 CFR 240.15c1-6) states that any broker-dealer 
trying to sell to or buy from a customer a security in a primary or 
secondary distribution in which the broker-dealer is participating or 
is otherwise financially interested must give the customer written 
notification of the broker-dealer's participation or interest at or 
before completion of the transaction. The Commission estimates that 725 
respondents collect information annually under Rule 15c1-6 and that 
approximately 7,250 hours would be required annually for these 
collections.
    Written comments are invited on: (a) Whether the existing 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the

[[Page 40033]]

information continues to have practical utility; (b) the accuracy of 
the agency's estimate of the burden of the existing collection of 
information; (c) ways to enhance the quality, utility, and clarity of 
the information being 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.
    Direct your written comments to Michael E. Bartell, Associate 
Executive Director, Office of Information Technology, Securities and 
Exchange Commission, 450 5th Street, NW., Washington, DC 20549.

    Dated: June 4, 2002.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 02-14572 Filed 6-10-02; 8:45 am]
BILLING CODE 8010-01-P