[Federal Register Volume 71, Number 215 (Tuesday, November 7, 2006)]
[Notices]
[Page 65161]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-18696]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request; Copies Available From: Securities and Exchange 
Commission, Office of Filings and Information Services, Washington, DC 
20549.
New Information Collection: Study of Marketing and Delivery of 
Financial Products to Individual Investors, OMB Control No. 3235-xxxx, 
SEC File No. 270-561.

    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'') is soliciting comments on the collection of 
information summarized below. The Commission plans to submit this 
collection of information to the Office of Management and Budget for 
approval.
    The Commission has engaged an outside contractor to undertake a 
study that will involve collecting, categorizing, and analyzing 
empirical data regarding the marketing, sale and delivery of financial 
products, accounts, programs and services offered to individual 
investors by broker-dealers and investment advisers. The contractor's 
findings will be summarized in a report for the Commission. 
Participation in the study will be voluntary. Participants in the study 
are expected to include broker-dealers, investment advisers, individual 
investors, investor advocates and industry groups. We estimate that 
there would be approximately 330 participants in the study at an 
estimated 1.5 hours for a total annual burden of approximately 500 
hours.
    Written comments are invited on: (a) Whether this proposed 
collection of information is necessary for the performance of the 
functions of the agency, including whether the information will have 
practical utility; (b) the accuracy of the agency's estimate of the 
burden imposed by the collection of information; (c) ways to enhance 
the quality, utility, and clarity of the information collected; and (d) 
ways to minimize the burden of the collection of information on 
respondents, including through the use of automated collection 
techniques or other forms of information technology. Consideration will 
be given to comments and suggestions submitted in writing within 60 
days of this publication.
    Please direct your written comment to R. Corey Booth, Director/
Chief Information Officer, Securities and Exchange Commission, C/O 
Shirley Martinson 6432 General Green Way, Alexandria, Va 22312; or send 
an e-mail to: [email protected].

     Dated: October 30, 2006.
Jill M. Peterson,
Assistant Secretary.
 FR Doc. E6-18696 Filed 11-6-06; 8:45 am]
BILLING CODE 8011-01-P