[Federal Register Volume 69, Number 174 (Thursday, September 9, 2004)]
[Notices]
[Pages 54708-54709]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E4-2106]


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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:
    Form BDN/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'') has submitted to the Office of Management 
and Budget a request for extension of the previously approved 
collection of information discussed below.
    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

[[Page 54709]]

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.
    Completing and filing Form BD-N is mandatory in order for an 
eligible futures commission merchant or introducing broker to engage in 
notice-registered broker-dealer activity. Compliance with Rule 15b11-1 
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 respond to, a collection of information unless it displays 
a currently valid control number.
    General 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 OMB within 30 days of this notice.

    Dated: August 27, 2004.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. E4-2106 Filed 9-8-04; 8:45 am]
BILLING CODE 8010-01-P