Submission for OMB Review; Comment Request, 12507 [E5-1061]

Download as PDF Federal Register / Vol. 70, No. 48 / Monday, March 14, 2005 / Notices organizations (as defined by the Act), including national securities exchanges and national securities associations. Ten respondents file an average total of twelve responses per year, which corresponds to an estimated annual response burden of 553 hours. Compliance with Rule 11Aa3–2 is required to obtain or retain the benefits provided to those SROs who, acting jointly, shall sponsor a NMS Plan. Information received in response to Rule 11Aa3–2 shall not be kept confidential; the information collected is public information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Written comments regarding the above information should be directed to the following persons: (a) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503, or by sending an e-mail to: David_Rostker@omb.eop.gov; and (b) R. Corey Booth, Director / Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549. Comments must be submitted to the Office of Management and Budget within 30 days of this notice. Dated: March 1, 2005. Margaret H. McFarland, Deputy Secretary. [FR Doc. E5–1060 Filed 3–11–05; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549. Regulation D sets forth rules governing the limited offer and sale of securities without Securities Act registration. Those relying on Regulation D must file Form D. The purpose of the Form D notice is to collect empirical data, which provides a continuing basis for action by the Commission either in terms of amending existing rules and regulations or proposing new ones. In addition, the form allows the Commission to elicit information necessary to assess the effectiveness of Regulation D and Section 4(6) as capital-raising devices. Form D information is required to obtain or retain benefits under Regulation D. Approximately 17,500 issuers file Form D. We estimate that it takes 4 hours to prepare Form D for a total burden of 70,000 hours. We estimate that 25% of the total burden hours (17,500 reporting burden hours) is prepared by the company. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Written comments regarding the above information should be directed to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or send an email to David_Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/Chief Information Officer, Office Information Technology, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549. Comments must be submitted to OMB within 30 days of this notice. Dated: March 7, 2005. Margaret H. McFarland, Deputy Secretary. [FR Doc. E5–1061 Filed 3–11–05; 8:45 am] Jkt 205001 [Release No. 34–51304; File No. S7–24–89] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 14 to the Joint SelfRegulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. March 2, 2005. I. Introduction Pursuant to Rule 11Aa3–2 1 and Rule 11Aa3–1 2 under the Securities Exchange Act of 1934 (‘‘Act’’), notice is hereby given that on February 17, 2005, the Pacific Exchange, Inc. (‘‘PCX’’) on behalf of itself and the National Association of Securities Dealers, Inc. (‘‘NASD’’), the American Stock Exchange LLC (‘‘Amex’’), the Boston Stock Exchange, Inc. (‘‘BSE’’), the Chicago Stock Exchange, Inc. (‘‘CHX’’), the Cincinnati Stock Exchange, Inc. (‘‘CSE’’),3 and the Philadelphia Stock Exchange, Inc. (‘‘Phlx’’) (hereinafter referred to collectively as ‘‘Participants’’),4 as members of the operating committee (‘‘Operating Committee’’ or ‘‘Committee’’) of the Plan submitted to the Securities and Exchange Commission (‘‘Commission’’) a proposal to amend the Plan. The proposal represents the fourteenth amendment (‘‘Amendment No. 14’’) made to the Plan and reflects several changes unanimously adopted by the Committee. The Commission is publishing this notice of filing and immediate effectiveness to solicit 1 17 CFR 240.11Aa3–2. CFR 240.11Aa3–1. 3 The Commission notes that the CSE changed its name to the National Stock Exchange, Inc. See Securities Exchange Act Release No. 48774 (November 12, 2003), 68 FR 65332 (November 19, 2003) (File No. SR–CSE–2003–12). 4 PCX and its subsidiary the Archipelago Exchange were elected co-chairs of the operating committee (‘‘Operating Committee’’ or ‘‘Committee’’) for the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (‘‘Nasdaq UTP Plan’’ or ‘‘Plan’’) by the Participants. 2 17 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. 15:31 Mar 11, 2005 SECURITIES AND EXCHANGE COMMISSION BILLING CODE 8010–01–P Extension: Form D and Regulation D, OMB Control No. 3235–0076, SEC File No. 270–72. VerDate jul<14>2003 12507 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 E:\FR\FM\14MRN1.SGM 14MRN1

Agencies

[Federal Register Volume 70, Number 48 (Monday, March 14, 2005)]
[Notices]
[Page 12507]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E5-1061]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Filings and Information Services, Washington, DC 
20549.

Extension:
    Form D and Regulation D, OMB Control No. 3235-0076, SEC File No. 
270-72.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget a request for extension of the previously approved 
collection of information discussed below.
    Regulation D sets forth rules governing the limited offer and sale 
of securities without Securities Act registration. Those relying on 
Regulation D must file Form D. The purpose of the Form D notice is to 
collect empirical data, which provides a continuing basis for action by 
the Commission either in terms of amending existing rules and 
regulations or proposing new ones. In addition, the form allows the 
Commission to elicit information necessary to assess the effectiveness 
of Regulation D and Section 4(6) as capital-raising devices. Form D 
information is required to obtain or retain benefits under Regulation 
D. Approximately 17,500 issuers file Form D. We estimate that it takes 
4 hours to prepare Form D for a total burden of 70,000 hours. We 
estimate that 25% of the total burden hours (17,500 reporting burden 
hours) is prepared by the company.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid control number.
    Written comments regarding the above information should be directed 
to the following persons: (i) Desk Officer for the Securities and 
Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503 or send an e-mail to David_Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/Chief 
Information Officer, Office Information Technology, Securities and 
Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549. 
Comments must be submitted to OMB within 30 days of this notice.

    Dated: March 7, 2005.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. E5-1061 Filed 3-11-05; 8:45 am]
BILLING CODE 8010-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.