Notice2023-21428
Submission for OMB Review; Comment Request; Extension: Rule 15c1-6
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
September 29, 2023
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 88 Issue 188 (Friday, September 29, 2023)</title>
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[Federal Register Volume 88, Number 188 (Friday, September 29, 2023)]
[Notices]
[Page 67385]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-21428]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-423, OMB Control No. 3235-0472]
Submission for OMB Review; Comment Request; Extension: Rule 15c1-
6
Upon Written Request, Copies Available From: U.S. 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 approval of extension of the
existing collection of information provided for in Rule 15c1-6 (17 CFR
240.15c1-6) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Rule 15c1-6 states that any broker-dealer trying to sell to or buy
from a customer a security in a primary or secondary distribution in
which the broker-dealer is participating or is otherwise financially
interested must give the customer written notification of the broker-
dealer's participation or interest at or before completion of the
transaction. The Commission estimates that approximately 350
respondents will collect information annually under Rule 15c1-6 and
that each respondent will spend approximately 10 hours annually
complying with the collection of information requirement for a total
burden of approximately 3,500 hours per year in the aggregate.
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 by October 30, 2023 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#3b6b697a64765a52575954437b485e58155c544d"><span class="__cf_email__" data-cfemail="0c5c5e4d53416d65606e63744c7f696f226b637a">[email protected]</span></a>.
Dated: September 26, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-21428 Filed 9-28-23; 8:45 am]
BILLING CODE 8011-01-P
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