[Federal Register Volume 77, Number 9 (Friday, January 13, 2012)]
[Notices]
[Page 2101]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-531]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; 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 12f-3, OMB Control No. 3235-0249, SEC File No. 270-141.

    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 requests for extension of the previously approved collection 
of information provided for in the following rule: Rule 12f-3 (17 CFR 
240.12f-3).
    Rule 12f-3 (the ``Rule''), which was originally adopted in 1934 
pursuant to Sections 12(f) and 23(a) of the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.) (``Act''), as modified in 1995, prescribes 
the information which must be included in applications for and notices 
of termination or suspension of unlisted trading privileges for a 
security as contemplated in Section 12(f)(4) of the Act. An application 
must provide, among other things, the name of the applicant; a brief 
statement of the applicant's interest in the question of termination or 
suspension of such unlisted trading privileges; the title of the 
security; the name of the issuer; certain information regarding the 
size of the class of security and its recent trading history; and a 
statement indicating that the applicant has provided a copy of such 
application to the exchange from which the suspension or termination of 
unlisted trading privileges are sought, and to any other exchange on 
which the security is listed or admitted to unlisted trading 
privileges.
    The information required to be included in applications submitted 
pursuant to Rule 12f-3, is intended to provide the Commission with 
sufficient information to make the necessary findings under the Act to 
terminate or suspend by order the unlisted trading privileges granted a 
security on a national securities exchange. Without the Rule, the 
Commission would be unable to fulfill these statutory responsibilities.
    The burden of complying with Rule 12f-3 arises when a potential 
respondent, having a demonstrable bona fide interest in the question of 
termination or suspension of the unlisted trading privileges of a 
security, determines to seek such termination or suspension. The staff 
estimates that each such application to terminate or suspend unlisted 
trading privileges requires approximately one hour to complete. Thus 
each potential respondent would incur on average one burden hour in 
complying with the Rule. The Commission staff estimates that there 
could be as many as 15 responses annually. Compliance with the 
application requirements of Rule 12f-3 is mandatory, though the filing 
of such applications is undertaken voluntarily. Rule 12f-3 does not 
have a record retention requirement per se. However, responses made 
pursuant to Rule 12f-3 are subject to the recordkeeping requirements of 
Rules 17a-3 and 17a-4 of the Act. Information received in response to 
Rule 12f-3 shall not be kept confidential; the information collected is 
public information.
    The Commission may not conduct or sponsor a collection of 
information unless it displays a currently valid control number. No 
person shall be subject to any penalty for failing to comply with a 
collection of information subject to the PRA that does not display a 
valid Office of Management and Budget (OMB) control number. The public 
may view the background documentation for this information collection 
at the following Web site, www.reginfo.gov.
    Comments should be directed to: (i) Desk Officer for the Securities 
and Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503, or by sending an email to: [email protected]; and (ii) Thomas Bayer, Director/Chief Information 
Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 
6432 General Green Way, Alexandria, VA 22312 or send an email to: [email protected]. Comments must be submitted to OMB within 30 days of 
this notice.

    Dated: January 9, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-531 Filed 1-12-12; 8:45 am]
BILLING CODE 8011-01-P