[Federal Register Volume 69, Number 123 (Monday, June 28, 2004)]
[Notices]
[Page 36139]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-14583]


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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:
    Form BD-N/Rule 15b11-1, SEC File No. 270-498, OMB Control No. 
3235-0556.

    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'') 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.
    Rule 15b11-1 and Form BD-N (17 CFR 249.501b) serve as the form of 
notice for futures commission merchants and introducing brokers that 
register as broker-dealers by notice pursuant to Section 15(b)(11)(A) 
of the Exchange Act. Specifically, the form requires a broker-dealer 
registering by notice to indicate whether it is filing a notice 
registration to conduct a securities business in security futures 
products and if so, that it satisfies the statutory conditions for 
notice registration.
    The total annual burden imposed by Rule 15b11-1 and Form BD-N is 
approximately 36 hours, based on approximately 79 responses (65 initial 
filings + 14 amendments). Each initial filing requires approximately 30 
minutes to complete and each amendment requires approximately 15 
minutes to complete. There is no annual cost burden.
    The Commission will use the information collected pursuant to Rule 
15b11-1 to elicit basic identification information as well as 
information that will allow the Commission to ensure that the futures 
commission merchants and introducing brokers meet the statutory 
conditions to register by notice pursuant to Section 15(b)(11) of the 
Exchange Act. This information will assist the Commission in fulfilling 
its regulatory obligations.
    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.
    Please 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: June 21, 2004.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 04-14583 Filed 6-25-04; 8:45 am]
BILLING CODE 8010-01-U