Reporting and Recordkeeping Requirements Under OMB Review, 75225-75226 [2014-29471]
Download as PDF
Federal Register / Vol. 79, No. 242 / Wednesday, December 17, 2014 / Notices
mstockstill on DSK4VPTVN1PROD with NOTICES
As noted, NASDAQ incurs costs in
monitoring a subscribing member firm’s
report limit and in administering the
fee. Consequently, reducing the number
of fee tiers will reduce NASDAQ’s costs,
thereby allowing NASDAQ to keep the
fee lower than it would otherwise be. In
addition, NASDAQ does not believe that
elimination of the Monthly Compliance
Report Card reports from the service is
unfairly discriminatory. As noted, the
report is used very little by subscribing
member firms and any member firm that
seeks similar information may obtain
similar reports from FINRA at no cost.
Lastly, NASDAQ believes that the
proposed name change will avoid any
market participant confusion due to the
name of the service used in the rule and
the commonly-used name. NASDAQ
notes that the proposed change does not
affect what is offered by the service in
any way.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
NASDAQ does not believe that the
proposed rule changes will result in any
burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act, as
amended.11 NASDAQ notes that it
operates in a highly competitive market
in which market participants can
readily favor competing venues if they
deem fee levels at a particular venue to
be excessive. In such an environment,
NASDAQ must carefully balance the
fees it assesses with the costs incurred
to remain competitive with other
exchanges. To the extent NASDAQ’s
fees are too high or another exchange’s
products and services provide greater
value, NASDAQ will likely lose
subscriber revenue. As such, NASDAQ
believes that the degree to which fee
changes in this market may impose any
burden on competition is extremely
limited. In this instance, NASDAQ last
increased the Data Package fees in
February 2012 and NASDAQ is now
realigning the fee assessed for the
subscription to the service with the
costs it incurs in offering it. Such costs
include adding enhancements to the
service to make it more useful to
subscribers. Moreover, increasing the
fees also allows NASDAQ to continue to
derive a profit from the service, which
will allow NASDAQ to continue to offer
the service in the long term. Moreover,
NASDAQ believes that the fee increase
does not impose a burden on
competition because the service is
optional and member firms may develop
their own alternatives to the service or
acquire similar functionality through
third parties. For these reasons,
NASDAQ does not believe that the
proposed changes will impose any
unnecessary burden on competition.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
Written comments were neither
solicited nor received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The foregoing change has become
effective pursuant to Section 19(b)(3)(A)
of the Act,12 and paragraph (f) 13 of Rule
19b–4, thereunder. At any time within
60 days of the filing of the proposed rule
change, the Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
NASDAQ–2014–121 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Brent J. Fields, Secretary, Securities
and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090.
All submissions should refer to File
Number SR–NASDAQ–2014–121. This
file number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
Internet Web site (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
12 15
11 15
U.S.C. 78f(b)(8).
VerDate Sep<11>2014
19:49 Dec 16, 2014
13 17
Jkt 235001
PO 00000
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f).
Frm 00112
Fmt 4703
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for Web site viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE.,
Washington, DC 20549 on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for
inspection and copying at the principal
offices of the Exchange. All comments
received will be posted without change;
the Commission does not edit personal
identifying information from
submissions. You should submit only
information that you wish to make
available publicly. All submissions
should refer to File Number SR–
NASDAQ–2014–121, and should be
submitted on or before January 7, 2015.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.14
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–29511 Filed 12–16–14; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
Reporting and Recordkeeping
Requirements Under OMB Review
Small Business Administration.
30-Day notice.
AGENCY:
ACTION:
The Small Business
Administration (SBA) is publishing this
notice to comply with requirements of
the Paperwork Reduction Act (PRA) (44
U.S.C. Chapter 35), which requires
agencies to submit proposed reporting
and recordkeeping requirements to
OMB for review and approval, and to
publish a notice in the Federal Register
notifying the public that the agency has
made such a submission. This notice
also allows an additional 30 days for
public comments.
DATES: Submit comments on or before
January 16, 2015.
ADDRESSES: Comments should refer to
the information collection by name and/
or OMB Control Number and should be
sent to: Agency Clearance Officer, Curtis
Rich, Small Business Administration,
409 3rd Street SW., 5th Floor,
Washington, DC 20416; and SBA Desk
Officer, Office of Information and
Regulatory Affairs, Office of
Management and Budget, New
Executive Office Building, Washington,
DC 20503.
SUMMARY:
14 17
Sfmt 4703
75225
E:\FR\FM\17DEN1.SGM
CFR 200.30–3(a)(12).
17DEN1
75226
Federal Register / Vol. 79, No. 242 / Wednesday, December 17, 2014 / Notices
FOR FURTHER INFORMATION CONTACT:
Curtis Rich, Agency Clearance Officer,
(202) 205–7030 curtis.rich@sba.gov.
Copies: A copy of the Form OMB 83–
1, supporting statement, and other
documents submitted to OMB for
review may be obtained from the
Agency Clearance Officer.
SUPPLEMENTARY INFORMATION: Lenders
requesting SBA to purchase the
guaranty portion of a loan are required
to supply the Agency with a certified
transcript of the loan account. This form
is uniform and convenient means for
lenders to report and certify loan
accounts to purchase by SBA. The
Agency uses the information to
determine date of loan default and
whether Lender disbursed and serviced
the loan according to Loan Guaranty
agreement.
Solicitation of Public Comment
Comments may be submitted on (a)
whether the collection of information is
necessary for the agency to properly
perform its functions; (b) whether the
burden estimates are accurate; (c)
whether there are ways to minimize the
burden, including through the use of
automated techniques or other forms of
information technology; and (d) whether
there are ways to enhance the quality,
utility, and clarity of the information.
Summary of Information Collections
(1) Title: Lender’s Transcript of
Account.
Description of Respondents: SBA
Lenders.
Form Number: SBA Form 1149.
Estimated Annual Respondents:
3,600.
Estimated Annual Responses: 3,600.
Estimated Annual Hour Burden:
36,000.
Curtis B. Rich,
Management Analyst.
[FR Doc. 2014–29471 Filed 12–16–14; 8:45 am]
BILLING CODE 8025–01–P
SMALL BUSINESS ADMINISTRATION
Reporting and Recordkeeping
Requirements Under OMB Review
Small Business Administration.
30-Day notice.
AGENCY:
ACTION:
The Small Business
Administration (SBA) is publishing this
notice to comply with requirements of
the Paperwork Reduction Act (PRA) (44
U.S.C. Chapter 35), which requires
agencies to submit proposed reporting
and recordkeeping requirements to
OMB for review and approval, and to
publish a notice in the Federal Register
mstockstill on DSK4VPTVN1PROD with NOTICES
SUMMARY:
VerDate Sep<11>2014
19:49 Dec 16, 2014
Jkt 235001
notifying the public that the agency has
made such a submission. This notice
also allows an additional 30 days for
public comments.
DATES: Submit comments on or before
January 16, 2015.
ADDRESSES: Comments should refer to
the information collection by name and/
or OMB Control Number and should be
sent to: Agency Clearance Officer, Curtis
Rich, Small Business Administration,
409 3rd Street SW., 5th Floor,
Washington, DC 20416; and SBA Desk
Officer, Office of Information and
Regulatory Affairs, Office of
Management and Budget, New
Executive Office Building, Washington,
DC 20503.
FOR FURTHER INFORMATION CONTACT:
Curtis Rich, Agency Clearance Officer,
(202) 205–7030 curtis.rich@sba.gov.
Copies: A copy of the Form OMB 83–
1, supporting statement, and other
documents submitted to OMB for
review may be obtained from the
Agency Clearance Officer.
SUPPLEMENTARY INFORMATION: The
objective of the debt collection activities
is to obtain immediate repayment or
arrive at a satisfactory arrangement for
future repayment of debts owed to the
Government. SBA uses the financial
information provided by the debtor on
Form 770 in making a determination
regarding the compromise of such debts
and other liquidation proceedings
including litigation by the Agency and/
or the Department of Justice.
Solicitation of Public Comments
Comments may be submitted on (a)
whether the collection of information is
necessary for the agency to properly
perform its functions; (b) whether the
burden estimates are accurate; (c)
whether there are ways to minimize the
burden, including through the use of
automated techniques or other forms of
information technology; and (d) whether
there are ways to enhance the quality,
utility, and clarity of the information.
Summary of Information Collections
(1) Title: Financial Statement of Debt.
Description of Respondents: SBA
Lenders.
Form Number: SBA Form 770.
Estimated Annual Respondents:
5,000.
Estimated Annual Responses: 5,000.
Estimated Annual Hour Burden:
5,000.
Curtis B. Rich,
Management Analyst.
[FR Doc. 2014–29469 Filed 12–16–14; 8:45 am]
BILLING CODE 8025–01–P
PO 00000
Frm 00113
Fmt 4703
Sfmt 4703
SMALL BUSINESS ADMINISTRATION
RLJ Credit Opportunity Fund I, L.P.
License No. 03/03–0256; Notice
Seeking Exemption Under Section 312
of the Small Business Investment Act,
Conflicts of Interest
Notice is hereby given that RLJ Credit
Opportunity Fund I, L.P., 3 Bethesda
Metro Center, Suite 1000, Bethesda, MD
20814, a Federal Licensee under the
Small Business Investment Act of 1958,
as amended (the ‘‘Act’’), in connection
with the financing of a small concern,
has sought an exemption under Section
312 of the Act and Section 107.730,
Financings which Constitute Conflicts
of Interest of the Small Business
Administration (‘‘SBA’’) Rules and
Regulations (13 CFR 107.730). RLJ
Credit Opportunity Fund I, L.P. has
provided debt financing to Naylor, LLC,
5950 NW 1st Place, Gainesville, FL
32607. The proceeds were used to
finance the acquisition of Boxwood
Technology, Inc.
The financing is brought within the
purview of § 107.730(a)(1) of the
Regulations because RLJ Equity Partners
Fund I, L.P., an Associate of RLJ Credit
Opportunity Fund I, L.P., owns more
than ten percent of Naylor, LLC, and
therefore this transaction is considered
a financing to an Associate requiring
SBA prior written exemption.
Notice is hereby given that any
interested person may submit written
comments on the transaction, within
fifteen days of the date of this
publication, to the Associate
Administrator for the Office of
Investment and Innovation, U.S. Small
Business Administration, 409 Third
Street SW., Washington, DC 20416.
Dated: December 10, 2014.
Javier E. Saade,
Associate Administrator for Office of
Investment and Innovation.
[FR Doc. 2014–29518 Filed 12–16–14; 8:45 am]
BILLING CODE P
SMALL BUSINESS ADMINISTRATION
Surrender of License of Small
Business Investment Company
Pursuant to the authority granted to
the United States Small Business
Administration (‘‘SBA’’) under Section
309 of the Small Business Investment
Act of 1958, as amended, and Section
107.1900 of the Small Business
Administration Rules and Regulations,
SBA by this notice declares null and
void the license to function as a small
business investment company under the
Small Business Investment Company
E:\FR\FM\17DEN1.SGM
17DEN1
Agencies
[Federal Register Volume 79, Number 242 (Wednesday, December 17, 2014)]
[Notices]
[Pages 75225-75226]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-29471]
=======================================================================
-----------------------------------------------------------------------
SMALL BUSINESS ADMINISTRATION
Reporting and Recordkeeping Requirements Under OMB Review
AGENCY: Small Business Administration.
ACTION: 30-Day notice.
-----------------------------------------------------------------------
SUMMARY: The Small Business Administration (SBA) is publishing this
notice to comply with requirements of the Paperwork Reduction Act (PRA)
(44 U.S.C. Chapter 35), which requires agencies to submit proposed
reporting and recordkeeping requirements to OMB for review and
approval, and to publish a notice in the Federal Register notifying the
public that the agency has made such a submission. This notice also
allows an additional 30 days for public comments.
DATES: Submit comments on or before January 16, 2015.
ADDRESSES: Comments should refer to the information collection by name
and/or OMB Control Number and should be sent to: Agency Clearance
Officer, Curtis Rich, Small Business Administration, 409 3rd Street
SW., 5th Floor, Washington, DC 20416; and SBA Desk Officer, Office of
Information and Regulatory Affairs, Office of Management and Budget,
New Executive Office Building, Washington, DC 20503.
[[Page 75226]]
FOR FURTHER INFORMATION CONTACT: Curtis Rich, Agency Clearance Officer,
(202) 205-7030 curtis.rich@sba.gov.
Copies: A copy of the Form OMB 83-1, supporting statement, and
other documents submitted to OMB for review may be obtained from the
Agency Clearance Officer.
SUPPLEMENTARY INFORMATION: Lenders requesting SBA to purchase the
guaranty portion of a loan are required to supply the Agency with a
certified transcript of the loan account. This form is uniform and
convenient means for lenders to report and certify loan accounts to
purchase by SBA. The Agency uses the information to determine date of
loan default and whether Lender disbursed and serviced the loan
according to Loan Guaranty agreement.
Solicitation of Public Comment
Comments may be submitted on (a) whether the collection of
information is necessary for the agency to properly perform its
functions; (b) whether the burden estimates are accurate; (c) whether
there are ways to minimize the burden, including through the use of
automated techniques or other forms of information technology; and (d)
whether there are ways to enhance the quality, utility, and clarity of
the information.
Summary of Information Collections
(1) Title: Lender's Transcript of Account.
Description of Respondents: SBA Lenders.
Form Number: SBA Form 1149.
Estimated Annual Respondents: 3,600.
Estimated Annual Responses: 3,600.
Estimated Annual Hour Burden: 36,000.
Curtis B. Rich,
Management Analyst.
[FR Doc. 2014-29471 Filed 12-16-14; 8:45 am]
BILLING CODE 8025-01-P