[Federal Register Volume 78, Number 150 (Monday, August 5, 2013)]
[Notices]
[Pages 47432-47433]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-18764]


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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 Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Rule 17a-7, SEC File No. 270-147, OMB Control No. 3235-0131.


[[Page 47433]]


    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of the extension of the 
previously approved collection of information provided for in Rule 17a-
7 (17 CFR 240.17a-7) under the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.).
    Rule 17a-7 requires a non-resident broker-dealer (generally, a 
broker-dealer with its principal place of business in a place not 
subject to the jurisdiction of the United States) registered or 
applying for registration pursuant to Section 15 of the Exchange Act to 
maintain--in the United States--complete and current copies of books 
and records required to be maintained under any rule adopted under the 
Exchange Act and furnish to the Commission a written notice specifying 
the address where the copies are located. Alternatively, Rule 17a-7 
provides that non-resident broker-dealers may file with the Commission 
a written undertaking to furnish the requisite books and records to the 
Commission upon demand within 14 days of the demand.
    There are approximately 51 non-resident brokers and dealers. Based 
on the Commission's experience, the Commission estimates that the 
average amount of time necessary to comply with Rule 17a-7 is one hour 
per year. Accordingly, the total burden is approximately 51 hours per 
year. Assuming an average cost per hour of approximately $269 for a 
compliance manager, the total internal cost of compliance for the 
respondents is approximately $13,719 per year.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently valid OMB control number.
    The public may view 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, 100 
F Street NE., Washington, DC 20549 or by sending an email to: [email protected]. Comments must be submitted within 30 days of this 
notice.

     Dated: July 30, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-18764 Filed 8-2-13; 8:45 am]
BILLING CODE 8011-01-P