[Federal Register Volume 69, Number 182 (Tuesday, September 21, 2004)]
[Notices]
[Page 56467]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E4-2264]


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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 17a-3(a)(16), SEC File No. 270-452, OMB Control No. 
3235-0508.

    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-3(a)(16) (17 CFR 240.17a-3(a)(16)) under the Securities 
Exchange Act of 1934 identifies the records required to be made by 
broker-dealers that operate internal broker-dealer systems. Those 
records are 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 2,835 hours per year (105 respondents multiplied 
by 27 burden hours per respondent equals 2,835 total burden hours) to 
comply with this rule.
    Rule 17a-3 does not contain record retention requirements. 
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. E4-2264 Filed 9-20-04; 8:45 am]
BILLING CODE 8010-01-P