[Federal Register Volume 69, Number 189 (Thursday, September 30, 2004)]
[Notices]
[Pages 58556-58557]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E4-2413]


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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-1, SEC File No. 270-244, OMB Control No. 3235-0208.

    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 (``OMB'') a request for extension of the previously approved 
collection of information discussed below.
    Rule 17a-1 under the Securities Exchange Act of 1934 (the ``Act'')

[[Page 58557]]

requires that all national securities exchanges, national securities 
associations, registered clearing agencies, and the Municipal 
Securities Rulemaking Board keep on file for a period of five years, 
two years in an accessible place, all documents that they make or 
receive respecting their self-regulatory activities, and that such 
documents be available for examination by the Commission.
    The Commission staff estimates that the average number of hours 
necessary for compliance with the requirements of Rule 17a-1 is 50 
hours per year. There are 22 entities required to comply with the rule: 
9 national securities exchanges, 1 national securities association, 11 
registered clearing agencies, and the Municipal Securities Rulemaking 
Board. In addition, 3 national securities exchanges notice-registered 
pursuant to Section 6(g) of the Act are required to preserve records of 
determinations made under Rule 3a55-1, which the Commission staff 
estimates will take 1 hour per exchange, for a total of 3 hours. 
Accordingly, the Commission staff estimates that the total number of 
hours necessary to comply with the requirements of Rule 17a-1 is 1,103 
hours. The average cost per hour is $50. Therefore, the total cost of 
compliance for the respondents is $55,150.
    Rule 17a-1 does not assure confidentiality for the records 
maintained pursuant to the rule. The records required by Rule 17a-1 are 
available only for examination by the Commission staff, state 
securities authorities and the self-regulatory organizations. Subject 
to the provisions of the Freedom of Information Act, 5 U.S.C. 522, and 
the Commission's rules thereunder (17 CFR 200.80(b)(4)(iii)), the 
Commission does not generally publish or make available information 
contained in any reports, summaries, analyses, letters, or memoranda 
arising out of, in anticipation of, or in connection with an 
examination or inspection of the books and records of any person or any 
other investigation. 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 estimated burden hours should be 
directed to the following persons: (i) Desk Officer for the Securities 
and Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, by sending an email to [email protected]; and (ii) R. Corey Booth, Director/Chief 
Information Officer, Securities and Exchange Commission, 450 5th 
Street, NW., Washington, DC 20549. Comments must be submitted to OMB 
within 30 days of this notice.

    Dated: September 22, 2004.
Margaret H. McFarland,
Deputy Secretary.
 [FR Doc. E4-2413 Filed 9-29-04; 8:45 am]
BILLING CODE 8010-01-P