Submission for OMB Review; Comment Request, 56747 [E5-5250]
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Federal Register / Vol. 70, No. 187 / Wednesday, September 28, 2005 / Notices
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, Director/Chief Information
Officer, Securities and Exchange
Commission, 100 F Street, NE.,
Washington, DC 20549. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: September 20, 2005.
Jonathan G. Katz,
Secretary.
[FR Doc. E5–5249 Filed 9–27–05; 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 17Ad–3(b); SEC File No. 270–424;
OMB Control No. 3235–0473.
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 approval of extension of the
following previously approved
collection of information as discussed
below:
Rule 17Ad–3(b) requires registered
transfer agents that for each of two
consecutive months have failed to
turnaround at least 75% of all routine
items in accordance with the
requirements of Rule 17Ad–2(a) or to
process at least 75% of all routine items
in accordance with the requirements of
Rule 17Ad–2(a) to send to the chief
executive officer of each issuer for
which such registered transfer agent acts
a copy of the written notice required
under Rule 17Ad–2(c), (d), and (h). The
issuer may use the information
contained in the notices in several ways:
(1) To provide an early warning to the
issuer of the transfer agent’s noncompliance with the Commission’s
minimum performance standards
regarding registered transfer agents, and
(2) to assure that issuers are aware of
certain problems and poor performances
with respect to the transfer agents that
are servicing the issuer’s securities. If
VerDate Aug<31>2005
16:02 Sep 27, 2005
Jkt 205001
the issuer does not receive notice of a
registered transfer agent’s failure to
comply with the Commission’s
minimum performance standards then
the issuer will be unable to take
remedial action to correct the problem
or to find another registered transfer
agent. Pursuant to Rule 17Ad–3(b), a
transfer agent that has already filed a
Notice of Non-Compliance with the
Commission pursuant to Rule 17Ad–2
will only be required to send a copy of
that notice to issuers for which it acts
when that transfer agent fails to
turnaround 75% of all routine items or
to process 75% of all items.
The Commission estimates that only
two transfer agents will meet the
requirements of Rule 17Ad–3(b). If a
transfer agent fails to meet the minimum
requirements under 17Ad–3(b), such
transfer agent is simply sending a copy
of a form that had already been
produced for the Commission. The
Commission estimates a requirement
will take each respondent
approximately one hour to complete, for
a total annual estimate burden of two
hours at cost of approximately $60.00
for each hour. 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:
(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:
David_Rostker@omb.eop.gov; and (ii) R.
Corey Booth, Director/Chief Information
Officer, Securities and Exchange
Commission, 100 F Street, NE.,
Washington, DC 20549. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: September 20, 2005.
Jonathan G. Katz,
Secretary.
[FR Doc. E5–5250 Filed 9–27–05; 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.
PO 00000
Frm 00126
Fmt 4703
Sfmt 4703
56747
Extension:
Rule 17f–2(c); SEC File No. 270–35; OMB
Control No. 3235–0029.
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
requests for approval of extension of
Rule 17f–2(c).
Rule 17f–2(c) allows persons required
to be fingerprinted pursuant to Section
17(f)(2) of the Securities Exchange Act
of 1934 to submit their fingerprints
through a national securities exchange
or a national securities association in
accordance with a plan submitted to
and approved by the Commission. Plans
have been approved for the American,
Boston, Chicago, New York, Pacific, and
Philadelphia stock exchanges and for
the National Association of Securities
Dealers and the Chicago Board Options
Exchange.
It is estimated that 85,000 registered
broker-dealers submit approximately
275,000 fingerprint cards to exchanges
or a registered security association on an
annual basis. It is approximated that it
should take 15 minutes per fingerprint
card to comply with Rule 17f–2(c). The
total reporting burden is estimated to be
68,750 hours.
Because the Federal Bureau of
Investigation will not accept fingerprint
cards directly from submitting
organizations, Commission approval of
plans from certain exchanges and
national securities associations is
essential to the Congressional goal of
fingerprint personnel in the security
industry. The filing of these plans for
review assures users and their personnel
that fingerprint cards will be handled
responsibly and with due care for
confidentiality.
Submission of fingerprint plans under
Rule 17f–2(c) is mandatory for selfregulatory organizations. 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: David_Rostker@omb.eop.gov;
and (ii) R. Corey Booth, Director/Chief
Information Officer, Office of
Information Technology, Securities and
Exchange Commission, 100 F Street,
E:\FR\FM\28SEN1.SGM
28SEN1
]]>Agencies
[Federal Register Volume 70, Number 187 (Wednesday, September 28, 2005)]
[Notices]
[Page 56747]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E5-5250]
-----------------------------------------------------------------------
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 17Ad-3(b); SEC File No. 270-424; OMB Control No. 3235-0473.
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 approval of extension of the following
previously approved collection of information as discussed below:
Rule 17Ad-3(b) requires registered transfer agents that for each of
two consecutive months have failed to turnaround at least 75% of all
routine items in accordance with the requirements of Rule 17Ad-2(a) or
to process at least 75% of all routine items in accordance with the
requirements of Rule 17Ad-2(a) to send to the chief executive officer
of each issuer for which such registered transfer agent acts a copy of
the written notice required under Rule 17Ad-2(c), (d), and (h). The
issuer may use the information contained in the notices in several
ways: (1) To provide an early warning to the issuer of the transfer
agent's non-compliance with the Commission's minimum performance
standards regarding registered transfer agents, and (2) to assure that
issuers are aware of certain problems and poor performances with
respect to the transfer agents that are servicing the issuer's
securities. If the issuer does not receive notice of a registered
transfer agent's failure to comply with the Commission's minimum
performance standards then the issuer will be unable to take remedial
action to correct the problem or to find another registered transfer
agent. Pursuant to Rule 17Ad-3(b), a transfer agent that has already
filed a Notice of Non-Compliance with the Commission pursuant to Rule
17Ad-2 will only be required to send a copy of that notice to issuers
for which it acts when that transfer agent fails to turnaround 75% of
all routine items or to process 75% of all items.
The Commission estimates that only two transfer agents will meet
the requirements of Rule 17Ad-3(b). If a transfer agent fails to meet
the minimum requirements under 17Ad-3(b), such transfer agent is simply
sending a copy of a form that had already been produced for the
Commission. The Commission estimates a requirement will take each
respondent approximately one hour to complete, for a total annual
estimate burden of two hours at cost of approximately $60.00 for each
hour. 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: (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: David--Rostker@omb.eop.gov; and (ii) R. Corey
Booth, Director/Chief Information Officer, Securities and Exchange
Commission, 100 F Street, NE., Washington, DC 20549. Comments must be
submitted to OMB within 30 days of this notice.
Dated: September 20, 2005.
Jonathan G. Katz,
Secretary.
[FR Doc. E5-5250 Filed 9-27-05; 8:45 am]
BILLING CODE 8010-01-P
