Submission for OMB Review; Comment Request; Extension: Rule 15c1-6

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:

www.reginfo.gov.

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)

www.reginfo.gov/public/do/PRAMain

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:

PRA_Mailbox@sec.gov.

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