[Federal Register Volume 69, Number 182 (Tuesday, September 21, 2004)]
[Notices]
[Pages 56465-56466]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E4-2261]


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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

[[Page 56466]]

Information Services, Washington, DC 20549.

Extension: Rule 17a-4(b)(11), SEC File No. 270-449, OMB Control No. 
3235-0506.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. Sec. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for extension of the previously approved 
collection of information discussed below.
    Rule 17a-4(b)(11) (17 CFR 240.17a-4(b)(11)) under the Securities 
Exchange Act of 1934 (``Act'') describes the record preservation 
requirements for those records required to be kept pursuant to Rule 
17a-3(a)(16) under the Act, including how such records should be kept 
and for how long, to be used in monitoring compliance with the 
Commission's financial responsibility program and antifraud and 
antimanipulative rules as well as other rules and regulations of the 
Commission and the self-regulatory organizations. It is estimated that 
approximately 105 active broker-dealer respondents registered with the 
Commission incur an average burden of 315 hours per year (105 
respondents multiplied by 3 burden hours per respondent equals 315 
total burden hours) to comply with this rule.
    Under Rule 17a-4(a)(11) broker-dealers are required to retain 
records for a period of not less than three years. Compliance with the 
rule is mandatory. The required records are available only to the 
examination staff of the Commission and the self-regulatory 
organization of which the broker-dealer is a member. 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 estimated burden hours should be 
directed to the following persons: (1) The Desk Officer for the 
Commission, by sending an e-mail to: [email protected]; and 
(2) 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: September 15, 2004.
Margaret H. McFarland,
Deputy Secretary.
 [FR Doc. E4-2261 Filed 9-20-04; 8:45 am]
BILLING CODE 8010-01-P