[Federal Register Volume 67, Number 158 (Thursday, August 15, 2002)]
[Notices]
[Page 53367]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-20768]


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SECURITIES AND EXCHANGE COMMISSION


Requests Under Review by Office of Management and Budget

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 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget requests for approval of extension on the following:
    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.
    There is no retention period requirement under Rule 15c1-5. This 
Rule does not involve the collection of confidential information.
    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.
    There is no retention period requirement under Rule 15c1-6. This 
Rule does not involve the collection of confidential information.
    Please note that an agency may not conduct or sponsor, and a person 
is not required 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 Desk Officer for the Securities and Exchange Commission 
at the address below. Any comments concerning the accuracy of the 
estimated average burden hours for compliance with Commission rules and 
forms should be directed to Michael E. Bartell, Associate Executive 
Director, Office of Information Technology, Securities and Exchange 
Commission, 450 Fifth Street, NW., Washington, DC 20549 and Desk 
Officer for the Securities and Exchange Commission, Office of 
Information and Regulatory Affairs, Room 10202, Office of Management 
and Budget, 725 17th St., NW., Washington, DC 20503. Comments must be 
submitted to OMB within 30 days of this notice.

    Dated: August 9, 2002.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 02-20768 Filed 8-14-02; 8:45 am]
BILLING CODE 8010-01-P