Submission for OMB Review; Comment Request, 19760-19761 [E6-5674]
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19760
Federal Register / Vol. 71, No. 73 / Monday, April 17, 2006 / Notices
funds. The annual burden is
approximately three minutes per
respondent.
The estimate of burden hours set forth
above is made solely for the purposes of
the Paperwork Reduction Act and is not
derived from a comprehensive or even
representative survey or study of the
cost of SEC rules and forms.
The information provided on Form
ADV–E is mandatory. Responses will
not be 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 R.
Corey Booth, Director/Chief Information
Officer, Securities and Exchange
Commission, c/o Shirley Martinson,
6432 General Green Way, Alexandria,
Virginia 22312, or send an e-mail to
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 30 days of
this notice.
April 7, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–5670 Filed 4–14–06; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submissions for OMB Review;
Comment Request
Upon Written Request,
Copies Available From: Securities and
Exchange Commission, Office of
Filings and Information Services,
Washington, DC 20549
dsatterwhite on PROD1PC76 with NOTICES
Extensions:
Form F–9, OMB Control No. 3235–0377,
SEC File No. 270–333.
Form F–10, OMB Control No. 3235–0380,
SEC File No. 270–334.
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 extension of the previously
approved collections of information
discussed below.
Form F–9 (17 CFR 239.39) is a
registration statement under the
VerDate Aug<31>2005
15:16 Apr 14, 2006
Jkt 208001
Securities Act of 1933 that is used to
register investment grade debt or
investment grade preferred securities
that are offered for cash or in connection
with an exchange offer and are either
non-convertible or not convertible for a
period of at least one year from the date
of issuance and thereafter are only
convertible into a security of another
class of the issuer. The purpose of the
information collection is to permit
verification of compliance with
securities law requirements and to
assure the public availability and
dissemination of such information. The
principal function of the Commission’s
forms and rules under the securities
laws’ disclosure provisions is to make
information available to the investors.
Form F–9 is a public document and all
information provided is mandatory. We
estimate that Form F–9 takes
approximately 25 hours per response
and it is filed by 18 respondents. We
further estimate that 25% of the 450
annual burden hours (113 burden hours)
are prepared by the company.
Form F–10 (17 CFR 239.40) is a
registration statement under the
Securities Act of 1933 that is used by
certain Canadian ‘‘substantial issuers’’
(those issuers with at least 36 calendar
months of reporting history with a
securities commission in Canada and a
market value of common stock of at
least $360 million (Canadian) and an
aggregate market value of common stock
held by non-affiliates of at least $75
million (Canadian)). The purpose of the
information collection is to facilitate
cross-border offerings by specified
Canadian issuers. Form F–10 is a public
document and all information provided
is mandatory. We estimate that Form F–
10 take approximately 25 hours per
response and is filed by 75 respondents.
We further estimate that 25% of the
1,875 total burden hours (469 burden
hours) are 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, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
Alexandria, Va. 22312 or send an e-mail
PO 00000
Frm 00079
Fmt 4703
Sfmt 4703
to: PRA_Mailbox@sec.gov. Comments
must be submitted to the Office of
Management and Budget within 30 days
of this notice.
Dated: April 6, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–5672 Filed 4–14–06; 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 9b–1 SEC File No. 270–429, OMB
Control No. 3235–0480.
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.
• Options Disclosure Document.
Rule 9b–1 under the Securities
Exchange Act of 1934 (17 CFR 240.9b–
1) sets forth the categories of
information required to be disclosed in
an options disclosure document
(‘‘ODD’’) and requires the options
markets to file an ODD with the
Commission 60 days prior to the date it
is distributed to investors. In addition,
Rule 9b–1 provides that the ODD must
be amended if the information in the
document becomes materially
inaccurate or incomplete and that
amendments must be filed with the
Commission 30 days prior to the
distribution to customers. Finally, Rule
9b–1 requires a broker-dealer to furnish
to each customer an ODD and any
amendments, prior to accepting an order
to purchase or sell an option on behalf
of that customer.
There are 6 options markets that must
comply with Rule 9b–1. These 6
respondents work together to prepare a
single ODD covering options traded on
each market, as well as amendments to
the ODD. These respondents file no
more than one amendment per year,
which requires approximately 8 hours
per year for each respondent. Thus, the
total compliance burden for options
markets per year is 48 hours. The
approximate cost per hour is $100,
E:\FR\FM\17APN1.SGM
17APN1
Federal Register / Vol. 71, No. 73 / Monday, April 17, 2006 / Notices
resulting in a total cost of compliance
for these respondents of $4,800 per year
(48 hours @ $100).
In addition, approximately 2,000
broker-dealers must comply with Rule
9b–1. Each of these respondents will
process an average of three new
customers for options each week and,
therefore, will have to furnish
approximately 156 ODDs per year. The
postal mailing or electronic delivery of
the ODD takes respondents no more
than 30 seconds to complete for an
annual compliance burden for each of
these respondents of 78 minutes, or 1.3
hours. Thus, the total compliance
burden per year is 2,600 hours (2,000
broker-dealers × 1.3 hours). The
approximate cost per hour to these
respondents is $10 per hour, resulting in
a total cost of compliance for these
respondents of $26,000 per year (2,600
hours @ $10).
The total compliance burden for all
respondents under this rule (both
options markets and broker-dealers) is
2648 hours per year (48 + 2,600), and
total compliance costs of $30,800
($4,800 + $26,000).
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, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
Alexandria, Virginia 22312 or send an email to: PRA_Mailbox@sec.gov.
Comments must be submitted to the
Office of Management and Budget
within 30 days of this notice.
Dated: April 6, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–5674 Filed 4–14–06; 8:45 am]
dsatterwhite on PROD1PC76 with NOTICES
Dated: April 6, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–5676 Filed 4–14–06; 8:45 am]
Submission for OMB Review;
Comment Request
Submitted for OMB Review; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Jkt 208001
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 15g-3 (17 CFR 240.15g-3) under
the Securities Exchange Act of 1934
requires that brokers and dealers
disclose to customers current quotation
prices or similar market information in
connection with transactions in penny
stocks. It is estimated that
approximately 240 respondents incur an
average burden of 100 hours annually to
comply with the rule.
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_Roskter@omb.eop.gov;
and (ii) R. Corey Booth, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
Alexandria, Virginia 22312 or send an
e-mail to: PRA_Mailbox@sec.gov.
Comments must be submitted to the
Office of Management and Budget
within 30 days of this notice.
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
15:16 Apr 14, 2006
Extension:
Rule 15g–3, SEC File No. 270–346, OMB
Control No. 3235–0392.
BILLING CODE 8010–01–P
BILLING CODE 8010–01–P
VerDate Aug<31>2005
Information Services, Washington, DC
20549.
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension:
PO 00000
Frm 00080
Fmt 4703
Sfmt 4703
19761
Rule 15g–4, SEC File No. 270–347, OMB
Control No. 3235–0393.
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 15g–4 (17 CFR 240.15g–4) under
the Securities Exchange Act of 1934
requires brokers and dealers effecting
transactions in penny stocks for or with
customers to disclose the amount of
compensation received by the brokerdealer in connection with the
transaction. It is estimated that
approximately 240 respondents incur an
average of 100 hours annually to comply
with the rule.
Rule 15g–4 contains record retention
requirements. Compliance with the rule
is mandatory. The required records are
available only to the examination staff
of the Commission and the selfregulatory organization of which the
broker or dealer is a member. 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, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
Alexandria, Virginia 22312 or send an email to: PRA_Mailbox@sec.gov.
Comments must be submitted to the
Office of Management and Budget
within 30 days of this notice.
Dated: April 6, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–5680 Filed 4–14–06; 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
E:\FR\FM\17APN1.SGM
17APN1
]]>Agencies
[Federal Register Volume 71, Number 73 (Monday, April 17, 2006)]
[Notices]
[Pages 19760-19761]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-5674]
-----------------------------------------------------------------------
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 9b-1 SEC File No. 270-429, OMB Control No. 3235-0480.
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.
Options Disclosure Document.
Rule 9b-1 under the Securities Exchange Act of 1934 (17 CFR 240.9b-
1) sets forth the categories of information required to be disclosed in
an options disclosure document (``ODD'') and requires the options
markets to file an ODD with the Commission 60 days prior to the date it
is distributed to investors. In addition, Rule 9b-1 provides that the
ODD must be amended if the information in the document becomes
materially inaccurate or incomplete and that amendments must be filed
with the Commission 30 days prior to the distribution to customers.
Finally, Rule 9b-1 requires a broker-dealer to furnish to each customer
an ODD and any amendments, prior to accepting an order to purchase or
sell an option on behalf of that customer.
There are 6 options markets that must comply with Rule 9b-1. These
6 respondents work together to prepare a single ODD covering options
traded on each market, as well as amendments to the ODD. These
respondents file no more than one amendment per year, which requires
approximately 8 hours per year for each respondent. Thus, the total
compliance burden for options markets per year is 48 hours. The
approximate cost per hour is $100,
[[Page 19761]]
resulting in a total cost of compliance for these respondents of $4,800
per year (48 hours @ $100).
In addition, approximately 2,000 broker-dealers must comply with
Rule 9b-1. Each of these respondents will process an average of three
new customers for options each week and, therefore, will have to
furnish approximately 156 ODDs per year. The postal mailing or
electronic delivery of the ODD takes respondents no more than 30
seconds to complete for an annual compliance burden for each of these
respondents of 78 minutes, or 1.3 hours. Thus, the total compliance
burden per year is 2,600 hours (2,000 broker-dealers x 1.3 hours). The
approximate cost per hour to these respondents is $10 per hour,
resulting in a total cost of compliance for these respondents of
$26,000 per year (2,600 hours @ $10).
The total compliance burden for all respondents under this rule
(both options markets and broker-dealers) is 2648 hours per year (48 +
2,600), and total compliance costs of $30,800 ($4,800 + $26,000).
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, Securities and Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send
an e-mail to: PRA--Mailbox@sec.gov. Comments must be submitted to the
Office of Management and Budget within 30 days of this notice.
Dated: April 6, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6-5674 Filed 4-14-06; 8:45 am]
BILLING CODE 8010-01-P
