Submission for OMB Review; Comment Request, 56747-56748 [E5-5251]

Download as PDF 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 56748 Federal Register / Vol. 70, No. 187 / Wednesday, September 28, 2005 / Notices 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. E5–5251 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 17f–2(d); SEC File No. 270–36; OMB Control No. 3235–0028. 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 on the following rule and form: Rule 17f– 2(d). Rule 17f–2(d) was adopted on March 16, 1976, and was last amended on November 18, 1982. Paragraph (d) of the rule (i) requires that records produced pursuant to the fingerprinting requirements of Section 17(f)(2) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) be maintained, (ii) permits the designated examining authorities of broker-dealers or members of exchanges, under certain circumstances, to store and maintain records required to be kept by this rule, and (iii) permits the required records to be maintained on microfilm. The general purpose of Rule 17f–2 is: (i) To identify security risk personnel; (ii) to provide criminal record information so that employers can make fully informed employment decisions; and (iii) to deter persons with criminal records from seeking employment or association with covered entities. Retention of fingerprint records, as required under paragraph (d) of the Rule enables the Commission or other examining authority to ascertain whether all required persons are being fingerprinted and whether proper procedures regarding fingerprinting are being followed. Retention of these records for the term of employment of all personnel plus three years ensures that law enforcement officials will have easy access to fingerprint cards on a VerDate Aug<31>2005 16:02 Sep 27, 2005 Jkt 205001 timely basis. This in turn acts as an effective deterrent to employee misconduct. Approximately 9,468 respondents are subject to the recordkeeping requirements of the rule. Each respondent keeps approximately 32 new records per year, which takes approximately 2 minutes per record for the respondent to maintain, for an annual burden of 64 minutes per respondent. All records subject to the rule must be retained for the term of employment plus 3 years. The Commission estimates that the total annual cost to submitting entities is approximately $196,850. This figure reflects estimated costs of labor and storage of records. 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, 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. E5–5252 Filed 9–27–05; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [File No. 1–07657] Issuer Delisting; Notice of Application of American Express Company To Withdraw Its Common Stock, $.20 Par Value, From Listing and Registration on the Chicago Stock Exchange, Inc. September 21, 2005. On August 24, 2005, American Express Company, a New York corporation (‘‘Issuer’’), filed an application with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 12(d) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 12d2–2(d) 1 15 PO 00000 U.S.C. 781(d). Frm 00127 Fmt 4703 Sfmt 4703 thereunder,2 to withdraw its common stock, $.20 par value (‘‘Security’’), from listing and registration on the Chicago Stock Exchange, Inc. (‘‘CHX’’). The Board of Directors (‘‘the Board’’) of the Issuer approved a resolution on July 25, 2005 to withdraw the Security from listing on CHX. The Issuer stated that the following reason factored into the Board’s decision to withdraw the Security from CHX: the staff time and costs associated with maintaining a listing on regional exchanges has outweighed the benefits. The Issuer stated in its application that the Security is listed on the New York Stock Exchange, Inc. (‘‘NYSE’’). The Issuer stated in its application that it has complied with applicable rules of CHX by complying with all applicable laws in the State of New York, the state in which the Issuer is incorporated, and by providing CHX with the required documents governing the withdrawal of securities from listing and registration on CHX. The Issuer’s application relates solely to the withdrawal of the Security from listing on CHX and shall not affect its continued listing on NYSE or the Boston Stock Exchange, Inc. (‘‘BSE’’),3 or its obligation to be registered under Section 12(b) of the Act.4 Any interested person may, on or before October 11, 2005 comment on the facts bearing upon whether the application has been made in accordance with the rules of CHX, and what terms, if any, should be imposed by the Commission for the protection of investors. All comment letters may be submitted by either of the following methods: Electronic Comments • Send an e-mail to rulecomments@sec.gov. Please include the File Number 1–07657 or; Paper Comments • Send paper comments in triplicate to Jonathan G. Katz, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–9303. All submissions should refer to File Number 1–07657. This file number should be included on the subject line if e-mail is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on 2 17 CFR 240.12d2–2(d). August 24, 2005, the Issuer filed an application with the Commission to withdraw the Security from listing and registration on BSE. Notice of such application will be published separately. 4 15 U.S.C. 781(b). 3 On E:\FR\FM\28SEN1.SGM 28SEN1

Agencies

[Federal Register Volume 70, Number 187 (Wednesday, September 28, 2005)]
[Notices]
[Pages 56747-56748]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E5-5251]


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

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 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 self-regulatory 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,

[[Page 56748]]

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. E5-5251 Filed 9-27-05; 8:45 am]
BILLING CODE 8010-01-P
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