Notice2022-07060
Submission for OMB Review; Comment Request; Extension: Rule 6a-3
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
April 4, 2022
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 87 Issue 64 (Monday, April 4, 2022)</title>
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[Federal Register Volume 87, Number 64 (Monday, April 4, 2022)]
[Notices]
[Page 19541]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-07060]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-015, OMB Control No. 3235-0021]
Submission for OMB Review; Comment Request; Extension: Rule 6a-3
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (``PRA'') (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 provided for in Rule 6a-3 (17 CFR 240.6a-3)
under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.)
(``Act'').
Section 6 of the Act sets out a framework for the registration and
regulation of national securities exchanges. Under Rule 6a-3, one of
the rules that implements Section 6, a national securities exchange (or
an exchange exempted from registration based on limited trading volume)
must provide certain supplemental information to the Commission,
including any material (including notices, circulars, bulletins, lists,
and periodicals) issued or made generally available to members of, or
participants or subscribers to, the exchange. Rule 6a-3 also requires
the exchanges to file monthly reports that set forth the volume and
aggregate dollar amount of certain securities sold on the exchange each
month. The information required to be filed with the Commission
pursuant to Rule 6a-3 is designed to enable the Commission to carry out
its statutorily mandated oversight functions and to ensure that
registered and exempt exchanges continue to be in compliance with the
Act.
The Commission estimates that each respondent makes approximately
12 such filings on an annual basis. Each response takes approximately
0.5 hours. In addition, respondents incur shipping costs of
approximately $20 per submission. Currently, 24 respondents (24
national securities exchanges) are subject to the collection of
information requirements of Rule 6a-3. The Commission estimates that
the total burden for all respondents is 144 hours and $5,760 per year.
Compliance with Rule 6a-3 is mandatory for registered and exempt
exchanges. Information received in response to Rule 6a-3 shall not be
kept confidential; the information collected is public information. As
set forth in Rule 17a-1 (17 CFR 240.17a-1) under the Act, a national
securities exchange is required to retain records of the collection of
information for at least five years.
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 website: <a href="http://www.reginfo.gov">www.reginfo.gov</a>.
Find this particular information collection by selecting
``Currently under 30-day Review--Open for Public Comments'' or by using
the search function. Written comments and recommendations for the
proposed information collection should be sent within 30 days of
publication of this notice to (i) <a href="http://www.reginfo.gov/public/do/PRAMain">www.reginfo.gov/public/do/PRAMain</a> and
(ii) David Bottom, Director/Chief Information Officer, Securities and
Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC
20549, or by sending an email to: <a href="/cdn-cgi/l/email-protection#3c6c6e7d63715d55505e53447c4f595f125b534a"><span class="__cf_email__" data-cfemail="f1a1a3b0aebc90989d939e89b1829492df969e87">[email protected]</span></a>.
Dated: March 30, 2022.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-07060 Filed 4-1-22; 8:45 am]
BILLING CODE 8011-01-P
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