[Federal Register Volume 69, Number 134 (Wednesday, July 14, 2004)]
[Notices]
[Page 42227]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-16014]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

Upon written request, copies available from: Securities and Exchange 
Commission, Office of Filings and Information Services, Washington, DC 
20549.

Extension: Rule 6a-3; SEC File No. 270-0015; OMB Control No. 3235-
0021.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995,\1\ the Securities and Exchange Commission (``Commission'') has 
submitted to the Office of Management and Budget a request for 
extension of the previously approved collection of information 
discussed below.
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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 Commission Rule 6a-3,\3\ one of the rules 
that implements section 6, a national securities exchange (or an 
exchange exempted from registration based on limited trading volume) 
must provide certain supplemental information to the Commission, 
including any material (including notices, circulars, bulletins, lists, 
and periodicals) issued or made generally available to members of, or 
participants or subscribers to, the exchange. Rule 6a-3 also requires 
the exchanges to file monthly reports that set forth the volume and 
aggregate dollar amount of securities sold on the exchange each month. 
The information required to be filed with the Commission pursuant to 
Rule 6a-3 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-3.
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    The respondents to the collection of information are national 
securities exchanges and exchanges that are exempt from registration 
based on limited trading volume.
    The Commission estimates that each respondent makes approximately 
25 such filings on an annual basis at an average cost of approximately 
$21 per response. Currently, 11 respondents (nine national securities 
exchanges and two exempt exchanges) are subject to the collection of 
information requirements of Rule 6a-3. The Commission estimates that 
the total burden for all respondents is 137.5 hours (25 filings/
respondent per year x 0.5 hours/filing x 11 respondents) and $5775 
($21/response x 25 responses/respondent per year x 11 respondents) per 
year.
    Compliance with Rule 6a-3 is mandatory for registered and exempt 
exchanges. Information received in response to Rule 6a-3 shall not be 
kept confidential; the information collected is public information. As 
set forth in Rule 17a-1 under the Act,\4\ a national securities 
exchange is required to retain records of the collection of information 
for at least five years.
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    \4\ 17 CFR 240.17a-1.
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    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid control number.
    Written comments regarding the above information should be directed 
to the following persons: (a) Desk Officer for the Securities and 
Exchange Commission by sending an e-mail to: [email protected], and (b) R. Corey Booth, Director/Chief Information 
Officer, Office of Information Technology, Securities and Exchange 
Commission, 450 Fifth Street, NW., Washington, DC 20549. Comments must 
be submitted to the Office of Management and Budget within 30 days of 
this notice.

    Dated: July 7, 2004.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 04-16014 Filed 7-13-04; 8:45 am]
BILLING CODE 8010-01-P