[Federal Register Volume 69, Number 46 (Tuesday, March 9, 2004)]
[Notices]
[Pages 11048-11049]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-5272]


-----------------------------------------------------------------------

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: Form U-6B-2, SEC File No. 270-169, OMB Control No. 3235-
0163.
    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 
(the ``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 (``OMB'') for extension and approval.
    The Public Utility Holding Company Act of 1935 (15 U.S.C. section 
79a et seq.) requires the filing of an application

[[Page 11049]]

and/or declaration on Form U-1 for prior Commission approval both for 
the issue and sale of a security and its acquisition by a company in a 
registered holding company system.\1\ Section 6(b) provides that the 
Commission shall exempt from the requirement of filing a declaration on 
Form U-1, by rules and regulations or orders and subject to such terms 
and conditions, as it deems appropriate in the public interest or for 
the protection of investors or consumers, certain security issuances 
and sales.
---------------------------------------------------------------------------

    \1\ See section 6(a) (requiring prior Commission approval under 
the standards of section 7 for the issue and sale of securities) and 
section 9(a)(1) (requiring prior Commission approval under the 
standards of section 10 for the acquisition of securities).
---------------------------------------------------------------------------

    Section 6(b) also contains a reporting requirement. It directs the 
issuer of securities exempted under section 6(b) to file with the 
Commission within ten days of the issue or sale a certificate of 
notification and directs the Commission to prescribe the form of and 
information required in this certificate. Rule 20(d) (17 CFR 250.20d) 
prescribes Form U-6B-2 as the form of certificate of notification to be 
filed pursuant to section 6(b). Form U-6B-2 is also prescribed by rule 
52(c) (17 CFR 250.52 (c)) and rule 47(b) (17 CFR 250. 47(b)) as the 
form of certificate of notification to be filed by a public utility 
subsidiary company of a registered holding company to notify the 
Commission of exempt issuances and sales of securities under rule 52 
Exemption of Issue and Sale of Certain Securities approved by state 
commissions and rule 47 Exemption of Public Utility Subsidiaries as to 
Certain Securities Issued to the Rural Electrification Administration. 
The Commission receives about 177 Form U-6B-2s per year from 67 
respondents who each file once, which imposes an annual burden of about 
177 hours.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the collection of information; (c) ways to enhance the 
quality, utility, and clarity of the information 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.
    Please direct your written comments to R. Corey Booth, Director/
Chief Information Officer, Office of Information Technology, Securities 
and Exchange Commission, 450 5th Street, NW., Washington, DC 20549.

    Dated: March 3, 2004.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 04-5272 Filed 3-8-04; 8:45 am]
BILLING CODE 8010-01-P