[Federal Register Volume 69, Number 105 (Tuesday, June 1, 2004)]
[Notices]
[Page 30967]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-12198]



[[Page 30967]]

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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 6a-4; SEC File No. 270-496; OMB Control No. 3235-0554.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995,\1\ the Securities and Exchange Commission (``Commission'') is 
soliciting comments on the collection of information summarized below. 
The Commission plans to submit this existing collection of information 
to the Office of Management and Budget for extension and approval.
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    \1\ 44 U.S.C. 3501 et seq.
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    Section 6 of the Securities Exchange Act of 1934 (``Act'') \2\ sets 
out a framework for the registration and regulation of national 
securities exchanges. Under the Commodity Futures Modernization Act of 
2000, a futures market may trade security futures products by 
registering as a national securities exchange. Rule 6a-4 \3\ sets forth 
these registration procedures and directs futures markets to submit a 
notice registration on Form 1-N. Form 1-N calls for information 
regarding how the futures market operates, its rules and procedures, 
its criteria for membership, its subsidiaries and affiliates, and the 
security futures products it intends to trade. Rule 6a-4 also would 
require entities that have submitted an initial Form 1-N to file: (1) 
amendments to Form 1-N in the event of material changes to the 
information provided in the initial Form 1-N; (2) periodic updates of 
certain information provided in the initial Form 1-N; (3) certain 
information that is provided to the futures market's members; and (4) a 
monthly report summarizing the futures market's trading of security 
futures products. The information required to be filed with the 
Commission pursuant to Rule 6a-4 is designed to enable the Commission 
to carry out its statutorily mandated oversight functions and to ensure 
that registered and exempt exchanges continue to be in compliance with 
the Act.
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    \2\ 15 U.S.C. 78f.
    \3\ 17 CFR 240.6a-4.
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    The respondents to the collection of information are futures 
markets.
    The Commission estimates that the total annual burden for all 
respondents to provide the amendments and periodic updates under Rule 
6a-4 would be 105 hours (15 hours/respondent per year x seven 
respondents) and $10,066 ($1438/response x seven responses/year). The 
Commission estimates that the total annual burden for the filing of the 
supplemental information and the monthly reports required under Rule 
6a-4 would be 87.5 hours (25 filings/respondent x seven respondents x 
0.5 hours/response). The SEC estimates that the total annual cost for 
all supplemental filings would be $3675 (25 filings/respondent per year 
x $21/response).
    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 shall 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the proposed collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information to be 
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 R. Corey Booth, Director/Chief 
Information Officer, Office of Information Technology, Securities and 
Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549.

    Dated: May 24, 2004.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 04-12198 Filed 5-28-04; 8:45 am]
BILLING CODE 8010-01-P