Notice2023-21429
Submission for OMB Review; Comment Request; Extension: Rule 15c1-5
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 67407]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-21429]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-422, OMB Control No. 3235-0471]
Submission for OMB Review; Comment Request; Extension: Rule 15c1-
5
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
previously approved collection of information provided for in Rule
15c1-5 (17 CFR 240.15c1-5) under the Securities Exchange Act of 1934
(15 U.S.C. 78a et seq.).
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 175 respondents provide notifications annually under Rule 15c1-5
and that each respondent would spend approximately 10 hours per year
complying with the requirements of the rule for a total burden of
approximately 1,750 hours per year. There is no retention period
requirement under Rule 15c1-5. This Rule does not involve the
collection of confidential information.
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#9ececcdfc1d3fff7f2fcf1e6deedfbfdb0f9f1e8"><span class="__cf_email__" data-cfemail="6c3c3e2d33210d05000e03142c1f090f420b031a">[email protected]</span></a>.
Dated: September 26, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-21429 Filed 9-28-23; 8:45 am]
BILLING CODE 8011-01-P
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