Proposed Collection; Comment Request, 6798-6799 [E6-1785]
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6798
Federal Register / Vol. 71, No. 27 / Thursday, February 9, 2006 / Notices
New Executive Office Building,
Washington, DC 20503 or 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.
January 31, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–1782 Filed 2–8–06; 8:45 am]
techniques or other forms of information
technology. Consideration will be given
to comments and suggestions submitted
in writing within 60 days of this
publication.
Please direct your written comments
to R. Corey Booth, Director/Chief
Information Officer, Office of
Information Technology, Securities and
Exchange Commission, 100 F Street,
NE., Washington, DC 20549.
January 31, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–1783 Filed 2–8–06; 8:45 am]
BILLING CODE 8010–01–P
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
cprice-sewell on PROD1PC66 with NOTICES
Extension:
Rule 15g–5; SEC File No. 270–348; OMB
Control No. 3235–0394.
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’’) is publishing the
following summary of collection for
public comment.
Rule 15g–5 under the Securities
Exchange Act of 1934 requires brokers
and dealers to disclose to customers the
amount of compensation to be received
by their sales agents in connection with
penny stock transactions. This rule was
adopted by the Commission to increase
the level of disclosure to investors
concerning penny stocks generally and
specific penny stock transactions. It is
estimated that approximately 240
respondents incur an average burden of
100 hours annually to comply with the
rule. The total annual reporting and
recordkeeping burden will be 24,000
burden hours.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the collection of
information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collection of
information on respondents, including
through the use of automated collection
13:56 Feb 08, 2006
Jkt 208001
Dated: January 31, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–1784 Filed 2–8–06; 8:45 am]
BILLING CODE 8010–01–P
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
VerDate Aug<31>2005
information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collection of
information on respondents, including
through the use of automated collection
techniques or other forms of information
technology. Consideration will be given
to comments and suggestions submitted
in writing within 60 days of this
publication.
Please direct your written comments
to R. Corey Booth, Director/Chief
Information Officer, Securities and
Exchange Commission, 100 F Street,
NE., Washington, DC 20549.
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension:
Rule 19d–2; SEC File No. 270–204; OMB
Control No. 3235–0205.
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’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Rule 19d–2 under the Securities
Exchange Act of 1934 (the ‘‘Act’’)
prescribes the form and content of
applications to the Commission by
persons desiring stays of final
disciplinary sanctions and summary
action of self-regulatory organizations
(‘‘SROs’’) for which the Commission is
the appropriate regulatory agency.
It is estimated that approximately 30
respondents will utilize this application
procedure annually, with a total burden
of 90 hours, based upon past
submissions. The staff estimates that the
average number of hours necessary to
comply with the requirements of Rule
19d–2 is 3 hours.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the collection of
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SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension:
Rule 30b2–1; SEC File No. 270–213; OMB
Control No. 3235–0220.
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 (the
‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Rule 30b2–1 under the Investment
Company Act of 1940 [17 CFR
270.30b2–1] requires the filing of four
copies of every periodic or interim
report transmitted by or on behalf of any
registered investment company to its
stockholders.1 This requirement ensures
that the Commission has information in
its files to perform its regulatory
functions and to apprise investors of the
operational and financial condition of
registered investment companies.2
1 Most filings are made via the Commission’s
electronic filing system; therefore, paper filings
under Rule 30b2–1 occur only in exceptional
circumstances. Electronic filing eliminates the need
for multiple copies of filings.
2 Annual and periodic reports to the Commission
become part of its public files and, therefore, are
available for use by prospective investors and
stockholders.
E:\FR\FM\09FEN1.SGM
09FEN1
Federal Register / Vol. 71, No. 27 / Thursday, February 9, 2006 / Notices
Registered management investment
companies are required to send reports
to stockholders at least twice annually.
In addition, under the recently adopted
amendments to rule 30b2–1, each
registered investment company is
required to file with the Commission
new form N–CSR, certifying the
financial statements.3 The annual
burden of filing the reports is included
in the burden estimate for Form N–CSR;
however, we are requesting one burden
hour remain in inventory for
administrative purposes.
The burden estimate for rule 30b2–1
is made solely for the purposes of the
Act and is not derived from a
comprehensive or even representative
survey or study of the costs of
Commission rules and forms.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the collection of
information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collection of
information on respondents, including
through the use of automated collection
techniques or other forms of information
technology. Consideration will be given
to comments and suggestions submitted
in writing within 60 days of this
publication.
Please direct your written comments
to R. Corey Booth, Director/Chief
Information Officer, Office of
Information Technology, Securities and
Exchange Commission, 100 F Street,
NE., Washington, DC, 20549.
Dated: January 26, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–1785 Filed 2–8–06; 8:45 am]
cprice-sewell on PROD1PC66 with NOTICES
BILLING CODE 8010–01–P
3 See Release No. 34–47262, IC–25914, Jan. 27,
2003 (68 FR 5384 [Feb. 3, 2003]). (Amending rule
30b2–1(a) under the Investment Company Act;
adopting Form N–CSR). In addition, the
Commission amended new rule 30a–2 to require
both Forms N–CSR and N–SAR to include the
certification required by section 302 of the
Sarbanes-Oxley Act. No certified shareholder report
on Form N–CSR is required with respect to a report
to shareholders that is not required under rule 30e–
1 under the Investment Company Act [17 CFR
270.30e–1], e.g., voluntary quarterly reports. These
reports to shareholders continue to be filed with the
Commission as they were prior to the 2003
amendments. Rule 30b2–1(b) [17 CFR 270.30b2–
1(b)].
VerDate Aug<31>2005
13:56 Feb 08, 2006
Jkt 208001
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copy Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension:
Rule 34b–1; File No. 270–305; OMB
Control No. 3235–0346.
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 extension of the
previously approved collection of
information discussed below.
• Rule 34b–1 (17 CFR 270.34b–1)
under the Investment Company Act of
1940, Sales Literature Deemed to be
Misleading.
Rule 34b–1 under the Investment
Company Act governs sales material
that accompanies or follows the delivery
of a statutory prospectus (‘‘sales
literature’’). Rule 34b–1 deems to be
materially misleading any investment
company sales literature, required to be
filed with the Commission by section
24(b) of the Investment Company Act
[15 U.S.C. 80a–24(b)],1 that includes
performance data unless it also includes
the appropriate uniformly computed
data and the legend disclosure required
in advertisements by rule 482 under the
Securities Act of 1933 [17 CFR 230.482].
Requiring the inclusion of such
standardized performance data in sales
literature is designed to prevent
misleading performance claims by funds
and to enable investors to make
meaningful comparisons among fund
performance claims.
The Commission estimates that 4,500
respondents file approximately 37,000
responses with the Commission, which
include the information required by rule
34b–1. The burden from rule 34b–1
requires slightly more than 2.4 hours
per response resulting from creating the
information required under rule 34b–1.2
1 Sales literature addressed to or intended for
distribution to prospective investors shall be
deemed filed with the Commission for purposes of
section 24(b) of the Investment Company Act upon
filing with a national securities association
registered under section 15A of the Securities
Exchange Act of 1934 that has adopted rules
providing standards for the investment company
advertising practices of its members and has
established and implemented procedures to review
that advertising. See Rule 24b–3 under the
Investment Company Act [17 CFR 270.24b–3].
2 The estimated burden per response is 2.9 hours
for 686 responses and 2.4 hours for the remaining,
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6799
The total burden hours for rule 34b–1
are 89,143 per year in the aggregate
(37,000 responses × 2.4092702 hours per
response). Estimates of average burden
hours are made solely for the purposes
of the Paperwork Reduction Act, and are
not derived from a comprehensive or
even a representative survey or study of
the costs of Commission rules and
forms.
The collection of information under
rule 34b–1 is mandatory. The
information provided under rule 34b–1
is not kept confidential. 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.
General 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 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: January 30, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–1786 Filed 2–8–06; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meetings Notice
Notice is hereby given, pursuant to
the provisions of the Government in the
Sunshine Act, Public Law 94–409, that
the Securities and Exchange
Commission will hold the following
meeting during the week of February 13,
2006:
An Open Meeting will be held on Monday,
February 13, 2006 at 10 a.m. in the
Auditorium, Room L–002, and a Closed
Meeting will be held on Wednesday,
February 15, 2006 at 10 a.m.
Commissioners, Counsel to the
Commissioners, the Secretary to the
Commission, and recording secretaries
will attend the Closed Meeting. Certain
staff members who have an interest in
the matters may also be present.
giving a more exact weighted average burden per
response of approximately 2.4092702.
E:\FR\FM\09FEN1.SGM
09FEN1
]]>Agencies
[Federal Register Volume 71, Number 27 (Thursday, February 9, 2006)]
[Notices]
[Pages 6798-6799]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-1785]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.
Extension:
Rule 30b2-1; SEC File No. 270-213; OMB Control No. 3235-0220.
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 (the ``Commission'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit this existing collection of information to the Office of
Management and Budget (``OMB'') for extension and approval.
Rule 30b2-1 under the Investment Company Act of 1940 [17 CFR
270.30b2-1] requires the filing of four copies of every periodic or
interim report transmitted by or on behalf of any registered investment
company to its stockholders.\1\ This requirement ensures that the
Commission has information in its files to perform its regulatory
functions and to apprise investors of the operational and financial
condition of registered investment companies.\2\
---------------------------------------------------------------------------
\1\ Most filings are made via the Commission's electronic filing
system; therefore, paper filings under Rule 30b2-1 occur only in
exceptional circumstances. Electronic filing eliminates the need for
multiple copies of filings.
\2\ Annual and periodic reports to the Commission become part of
its public files and, therefore, are available for use by
prospective investors and stockholders.
---------------------------------------------------------------------------
[[Page 6799]]
Registered management investment companies are required to send
reports to stockholders at least twice annually. In addition, under the
recently adopted amendments to rule 30b2-1, each registered investment
company is required to file with the Commission new form N-CSR,
certifying the financial statements.\3\ The annual burden of filing the
reports is included in the burden estimate for Form N-CSR; however, we
are requesting one burden hour remain in inventory for administrative
purposes.
---------------------------------------------------------------------------
\3\ See Release No. 34-47262, IC-25914, Jan. 27, 2003 (68 FR
5384 [Feb. 3, 2003]). (Amending rule 30b2-1(a) under the Investment
Company Act; adopting Form N-CSR). In addition, the Commission
amended new rule 30a-2 to require both Forms N-CSR and N-SAR to
include the certification required by section 302 of the Sarbanes-
Oxley Act. No certified shareholder report on Form N-CSR is required
with respect to a report to shareholders that is not required under
rule 30e-1 under the Investment Company Act [17 CFR 270.30e-1],
e.g., voluntary quarterly reports. These reports to shareholders
continue to be filed with the Commission as they were prior to the
2003 amendments. Rule 30b2-1(b) [17 CFR 270.30b2-1(b)].
---------------------------------------------------------------------------
The burden estimate for rule 30b2-1 is made solely for the purposes
of the Act and is not derived from a comprehensive or even
representative survey or study of the costs of Commission rules and
forms.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
Please direct your written comments to R. Corey Booth, Director/
Chief Information Officer, Office of Information Technology, Securities
and Exchange Commission, 100 F Street, NE., Washington, DC, 20549.
Dated: January 26, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6-1785 Filed 2-8-06; 8:45 am]
BILLING CODE 8010-01-P
