Submission for OMB Review; Comment Request, 44953-44954 [E5-4136]

Download as PDF Federal Register / Vol. 70, No. 149 / Thursday, August 4, 2005 / Notices received on or before September 6, 2005. Need For and Use of This Information: the purpose of these forms is to monitor and enhance the safety and security of Peace Corps Volunteers. The information will be collected by the Peace Corps Country Director, the Peace Corps Medical Officer or a staff person designated by the Country Director, and submitted electronically. Peace Corps uses this information to evaluate the circumstance of crimes committed against Peace Corps Volunteer and to make changes in training, site selection and policy as related to the safety of the Volunteer. The information furnished to the Office of Inspector General is used for investigation, prosecution and tracking of perpetrators who commit crimes against Peace Corps Volunteers. The Medical information is used for trend analysis and education of medical treatment personnel on health-related issues that affect Volunteers who are the victims of crime. The forms consolidate reporting media and eliminate duplication. These forms are the first automated crime incident reporting form within the agency and replace a less comprehensive form that was previously submitted manually. Affected Public: None. Dated: July 20, 2005. Patrick Hogan, Associate Director for Safety and Security. [FR Doc. 05–15425 Filed 8–1–05; 11:46 am] BILLING CODE 6051–01–M SECURITIES AND EXCHANGE COMMISSION Proposed Extension of Collection of Information; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549. Extension: Rule 15Ba2–5; SEC File No. 270– 91; OMB Control No. 3235–0088. 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 (‘‘OMB’’) a request for approval of extension of the existing collection of information provided for in the following rule: Rule 15Ba2–5. On July 7, 1975, effective July 16, 1975 (see 41 FR 28948, July 14, 1975), the Commission adopted Rule 15Ba2-5 under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) to permit a duly- VerDate jul<14>2003 16:23 Aug 03, 2005 Jkt 205001 appointed fiduciary to assume immediate responsibility for the operation of a municipal securities dealer’s business. Without the rule, the fiduciary would not be able to assume operation until it registered as a municipal securities dealer. Under the rule, the registration of a municipal securities dealer is deemed to be the registration of any executor, administrator, guardian, conservator, assignee for the benefit of creditors, receiver, trustee in insolvency or bankruptcy, or other fiduciary, appointed or qualified by order, judgment, or decree of a court of competent jurisdiction to continue the business of such municipal securities dealer, provided that such fiduciary files with the Commission, within 30 days after entering upon the performance of his duties, a statement setting forth as to such fiduciary substantially the same information required by Form MSD or Form BD. The statement is necessary to ensure that the Commission and the public have adequate information about the fiduciary. There is approximately 1 respondent per year that requires an aggregate total of 4 hours to comply with this rule. This respondent makes an estimated 1 annual response. Each response takes approximately 4 hours to complete. Thus, the total compliance burden per year is 4 burden hours. The approximate cost per hour is $0, resulting in a total cost of compliance for the respondent of approximately $0. 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. Comments regarding the above information may be submitted in writing to: (i) David Rostker, Desk Officer, The Office of Information and Regulatory Affairs, The Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503; or by sending an email to: DavidlRostker@omb.eop.gov and (ii) R. Corey Booth, Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Any comments must be submitted to OMB within 30 days of this notice. July 27, 2005. Margaret H. McFarland, Deputy Secretary. [FR Doc. E5–4135 Filed 8–3–05; 8:45 am] BILLING CODE 8010–01–P PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 44953 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 BDW, SEC File No. 270–17, OMB Control No. 3235–0018. 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 on the collection of information discussed below. The Code of Federal Regulations citation to this collection of information is the following rule: 17 CFR 240.15b6–1. Broker-dealers and notice-registered broker-dealers use Form BDW (17 CFR 249.501a) to withdraw from registration with the Commission, the selfregulatory organizations, and the states. It is estimated that approximately 900 fully registered broker-dealers annually will incur an average burden of 15 minutes, or 0.25 hours, to file for withdrawal on Form BDW via the internet with Web CRD, a computer system operated by the National Association of Securities Dealers, Inc. that maintains information regarding fully registered broker-dealers and their registered personnel. It is further estimated that 140 futures commission merchants that are notice-registered broker-dealers annually will incur an average burden of 15 minutes, or 0.25 hours, to file for withdrawal on Form BDW by sending the completed Form BDW to the National Futures Association, which maintains information regarding notice-registered broker-dealers on behalf of the Commission. The annualized compliance burden per year for both fully registered and notice-registered broker-dealers is 260 hours [1,040 (900 fully registered broker-dealers + 140 notice-registered broker-dealers) × .25 = 260 hours]. The annualized cost to respondents, utilizing staff at an estimated cost of $101 per hour, would be $ 26,260 (260 × $101 = $26,260). 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. Rule 15b6–1 does not have a retention of records requirement. General comments regarding the above information should be directed to the following persons: (i) Desk Officer E:\FR\FM\04AUN1.SGM 04AUN1 44954 Federal Register / Vol. 70, No. 149 / Thursday, August 4, 2005 / Notices 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 DavidlRostker@omb.eop.gov; and (ii) R. Corey Booth, Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Comments must be submitted to OMB within 30 days of this notice. July 25, 2005. Margaret H. McFarland, Deputy Secretary. [FR Doc. E5–4136 Filed 8–3–05; 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. Extension: Rule 15c2–5, SEC File No. 270– 195, OMB Control No. 3235-0198. 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 request[s] for extension of the previously approved collection of information discussed below. The Code of Federal Regulations citation to this collection of information is the following rule: 17 CFR 240.15c2–5. Rule 15c2–5 prohibits a broker-dealer from arranging or extending certain loans to persons in connection with the offer or sale of securities unless, before any element of the transaction is entered into, the broker-dealer: (1) Delivers to the person a written statement containing the exact nature and extent of the person’s obligations under the loan arrangement; the risks and disadvantages of the loan arrangement; and all commissions, discounts, and other remuneration received and to be received in connection with the transaction by the broker-dealer or certain related persons (unless the person receives certain materials from the lender or broker-dealer which contain the required information); and (2) obtains from the person information on the person’s financial situation and needs, reasonably determines that the VerDate jul<14>2003 16:23 Aug 03, 2005 Jkt 205001 transaction is suitable for the person, and retains on file and makes available to the person on request a written statement setting forth the brokerdealer’s basis for determining that the transaction was suitable. The collection of information required by the Rule is necessary to execute the Commission’s mandate under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) to prevent fraudulent, manipulative, and deceptive acts and practices by broker-dealers. There are approximately 50 respondents that require an aggregate total of 600 hours to comply with the Rule. Each of these approximately 50 registered broker-dealers makes an estimated 6 annual responses, for an aggregate total of 300 responses per year. Each response takes approximately 2 hours to complete. Thus, the total compliance burden per year is 600 burden hours. The approximate cost per hour is $25.00 (based on an annual salary of $52,000 for clerical labor), resulting in a total compliance cost of $15,000 (600 hours @ $25.00 per hour). Although Rule 15c2–5 does not specify a retention period or record keeping requirement under the Rule, nevertheless broker-dealers are required to preserve the records for a period no less than six years pursuant to Rule 17a–4(c). The information required under Rule 15c2–5 is necessary for broker-dealers to engage in the lending activities prescribed in the Rule. Rule 15c2–5 does not assure confidentiality for the information retained under the Rule.1 Please note that 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 by sending an e-mail to DavidlRostker@omb.eop.gov; and (ii) R. Corey Booth, Chief Information Officer, Office of Information Technology, Securities and 1 The records required by Rule 15c2–5 would be available only to the examination of the Commission staff, state securities authorities and the SROs. Subject to the provisions of the Freedom of Information Act, 5 U.S.C. 522, and the Commission’s rules thereunder (17 CFR 200.80(b)(4)(iii)), the Commission does not generally publish or make available information contained in any reports, summaries, analyses, letters, or memoranda arising out of, in anticipation of, or in connection with an examination or inspection of the books and records of any person or any other investigation. PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 Exchange Commission, 100 F Street, NE., Washington, DC 20549. Comments must be submitted to OMB within 30 days of this notice. Dated: July 25, 2005. Margaret H. McFarland, Deputy Secretary. [FR Doc. E5–4137 Filed 8–3–05; 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. Extension: Rule 17a–22, SEC File No. 270– 202, OMB Control No. 3235–0196. 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. Rule 17a–22 Supplemental Material of Registered Clearing Agencies Rule 17a–22 under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) 1 requires all registered clearing agencies to file with the Commission three copies of all materials they issue or make generally available to their participants or other entities with whom they have a significant relationship. The filings with the Commission must be made within ten days after the materials are issued, and when the Commission is not the appropriate regulatory agency, the clearing agency must file one copy of the material with its appropriate regulatory agency. The Commission is responsible for overseeing clearing agencies and uses the information filed pursuant to Rule 17a-22 to determine whether a clearing agency is implementing procedural or policy changes. The information filed aids the Commission in determining whether such changes are consistent with the purposes of section 17A of the Exchange Act. Also, the Commission uses the information to determine whether a clearing agency has changed its rules without reporting the actual or prospective change to the Commission 1 15 E:\FR\FM\04AUN1.SGM U.S.C. 78a et seq. 04AUN1

Agencies

[Federal Register Volume 70, Number 149 (Thursday, August 4, 2005)]
[Notices]
[Pages 44953-44954]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E5-4136]


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

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 BDW, SEC File No. 270-17, OMB Control No. 3235-0018.

    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 on the collection of information 
discussed below. The Code of Federal Regulations citation to this 
collection of information is the following rule: 17 CFR 240.15b6-1.
    Broker-dealers and notice-registered broker-dealers use Form BDW 
(17 CFR 249.501a) to withdraw from registration with the Commission, 
the self-regulatory organizations, and the states. It is estimated that 
approximately 900 fully registered broker-dealers annually will incur 
an average burden of 15 minutes, or 0.25 hours, to file for withdrawal 
on Form BDW via the internet with Web CRD, a computer system operated 
by the National Association of Securities Dealers, Inc. that maintains 
information regarding fully registered broker-dealers and their 
registered personnel. It is further estimated that 140 futures 
commission merchants that are notice-registered broker-dealers annually 
will incur an average burden of 15 minutes, or 0.25 hours, to file for 
withdrawal on Form BDW by sending the completed Form BDW to the 
National Futures Association, which maintains information regarding 
notice-registered broker-dealers on behalf of the Commission. The 
annualized compliance burden per year for both fully registered and 
notice-registered broker-dealers is 260 hours [1,040 (900 fully 
registered broker-dealers + 140 notice-registered broker-dealers) x .25 
= 260 hours]. The annualized cost to respondents, utilizing staff at an 
estimated cost of $101 per hour, would be $ 26,260 (260 x $101 = 
$26,260). 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. Rule 15b6-1 does not have a retention 
of records requirement.
    General comments regarding the above information should be directed 
to the following persons: (i) Desk Officer

[[Page 44954]]

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 (ii) R. Corey Booth, Chief 
Information Officer, Office of Information Technology, Securities and 
Exchange Commission, 100 F Street, NE., Washington, DC 20549. Comments 
must be submitted to OMB within 30 days of this notice.

    July 25, 2005.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. E5-4136 Filed 8-3-05; 8:45 am]
BILLING CODE 8010-01-P
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