[Federal Register Volume 73, Number 228 (Tuesday, November 25, 2008)]
[Notices]
[Page 71708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-27986]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of Investor Education and Advocacy, 
Washington, DC 20549-0213

Extension:
    Rule 15c1-5, OMB Control No. 3235-0471, SEC File No. 270-422.

    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 approval of extension of the existing collection of 
information provided for in the following rule: Rule 15c1-5 (17 CFR 
240.15c1-5) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Exchange Act'').
    Rule 15c1-5 states that any broker-dealer controlled by, 
controlling, or under common control with the issuer of a security that 
the broker-dealer is trying to sell to or buy from a customer must give 
the customer written notification disclosing the control relationship 
at or before completion of the transaction. The Commission estimates 
that 278 respondents collect information annually under Rule 15c1-5 and 
that approximately each respondent would spend 10 hours per year 
collecting this information (2,780 hours in aggregate). There is no 
retention period requirement under Rule 15c1-5. This Rule does not 
involve the collection of confidential information.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information to 
be 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.
    Comments should be directed to Lewis W. Walker, Acting 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: November 19, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-27986 Filed 11-24-08; 8:45 am]
BILLING CODE 8011-01-P