Proposed Collection; Comment Request, 59146-59147 [E6-16549]
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59146
Federal Register / Vol. 71, No. 194 / Friday, October 6, 2006 / Notices
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[FR Doc. E6–16593 Filed 10–5–06; 8:45 am]
BILLING CODE 6325–39–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filing and
Information Services, Washington, DC
20549.
Extension:
Rule 30e–2; SEC File No. 270–437; OMB
Control No. 3235–0494.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (the ‘‘Paperwork
Reduction Act’’) the Securities and
Exchange Commission (‘‘Commission’’)
is soliciting comments on the
collections of information summarized
below. The Commission plans to submit
these existing collections of information
to the Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Section 30(e) of the Investment
Company Act of 1940 (15 U.S.C. 80a–
29(e)) (the ‘‘Investment Company Act’’
or ‘‘Act’’) and rule 30e–2 1 thereunder
1 Rule
30e–2 was originally adopted as rule 30d–
2, but was redesignated as rule 30e–2 effective
February 15, 2001. See Role of Independent
Directors of Investment Companies, Investment
Company Act Release No. 24816 (Jan. 2, 2001) (66
FR 3734 (Jan. 16, 2001)).
PO 00000
Frm 00077
Fmt 4703
Sfmt 4703
(17 CFR 270.30e–2) require registered
unit investment trusts (‘‘UITs’’) that
invest substantially all of their assets in
securities of a management investment
company 2 (‘‘fund’’) to send to
shareholders at least semi-annually a
report containing certain financial
statements and other information.
Specifically, rule 30e–2 requires that the
report contain the financial statements
and other information that rule 30e–1
under the Act (17 CFR 270.30e–1)
requires to be included in the report of
the underlying fund for the same fiscal
period. Rule 30e–1 requires that the
underlying fund’s report contain, among
other things, the financial statements
and other information that is required to
be included in such report by the fund’s
registration form.
The purpose of this requirement is to
apprise current shareholders of the
operational and financial condition of
the UIT. Absent the requirement to
disclose all material information in
reports, investors would be unable to
obtain accurate information upon which
to base investment decisions and
consumer confidence in the securities
industry might be adversely affected.
Requiring the submission of these
reports to the Commission permits us to
verify compliance with securities law
requirements. In addition, Rule 30e–2
permits, under certain conditions,
delivery of a single shareholder report to
investors who share an address
(‘‘householding’’). Specifically, rule
30e–2 permits householding of annual
and semi-annual reports by UITs to
satisfy the delivery requirements of rule
30e–2 if, in addition to the other
conditions set forth in the rule, the UIT
has obtained from each applicable
investor written or implied consent to
the householding of shareholder reports
at such address. The rule requires UITs
that wish to household shareholder
reports with implied consent to send a
notice to each applicable investor
stating that the investors in the
household will receive one report in the
future unless the investors provide
contrary instructions. In addition, at
least once a year, UITs relying on the
rule for householding must explain to
investors who have provided written or
implied consent how they can revoke
their consent. Preparing and sending the
initial notice and the annual
explanation of the right to revoke
consent are collections of information
2 Management investment companies are defined
in Section 4(3) of the Investment Company Act as
any investment company other than a face-amount
certificate company or a unit investment trust, as
those terms are defined in Section 4(1) and 4(2) of
the Investment Company Act. See 15 U.S.C. 80a–
4.
E:\FR\FM\06OCN1.SGM
06OCN1
cprice-sewell on PROD1PC66 with NOTICES
Federal Register / Vol. 71, No. 194 / Friday, October 6, 2006 / Notices
under the Paperwork Reduction Act.
The purpose of the notice and annual
explanation requirements associated
with the householding provisions of the
rule is to ensure that investors who wish
to receive individual copies of
shareholder reports are able to do so.
The Commission estimates that as of
April 2006, approximately 737 UITs
were subject to the provisions of rule
30e–2. The Commission further
estimates that the annual burden
associated with rule 30e–2 is 121 hours
for each UIT, including an estimated 20
hours associated with the notice
requirement for householding and an
estimated 1 hour associated with the
explanation of the right to revoke
consent to householding, for a total of
89,177 burden hours.
In addition to the burden hours, the
Commission estimates that the cost of
contracting for outside services
associated with complying with rule
30e–2 is $24,640 per respondent (80
hours times $308 per hour for
independent auditor services), for a total
of $18,159,680 ($24,640 per respondent
times 737 respondents).
These estimates 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 30e–2 is mandatory. The
information provided under Rule 30e–2
is not kept confidential. The
Commission may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid OMB
control number.
Written comments are invited on: (a)
Whether the proposed collections of
information are 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 collections of
information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collections
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, c/o Shirley
Martinson 6432 General Green Way,
VerDate Aug<31>2005
14:52 Oct 05, 2006
Jkt 211001
Alexandria, Virginia, 22312; or send an
e-mail to: PRA_Mailbox@sec.gov.
Dated: September 28, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–16549 Filed 10–5–06; 8:45 am]
BILLING CODE 8011–01–P
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: Form N–4; SEC File No. 270–
282; OMB Control No. 3235–0318.
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 collections of information
summarized below. The Commission
plans to submit these existing
collections of information to the Office
of Management and Budget (‘‘OMB’’) for
extension and approval.
The collection of information is
entitled: ‘‘Form N–4 (17 CFR 239.17b
and 274.11c) under the Securities Act of
1933 (15 U.S.C. 77a et seq.) under the
Investment Company Act of 1940 (15
U.S.C. 80a–1 et seq.) registration
statement of separate accounts
organized as unit investment trusts.’’
Form N–4 is the form used by insurance
company separate accounts organized as
unit investment trusts that offer variable
annuity contracts to register as
investment companies under the
Investment Company Act of 1940 and/
or to register their securities under the
Securities Act of 1933 (‘‘Securities
Act’’). The primary purpose of the
registration process is to provide
disclosure of financial and other
information to investors and potential
investors for the purpose of evaluating
an investment in a security. Form N–4
also permits separate accounts
organized as unit investment trusts that
offer variable annuity contracts to
provide investors with a prospectus
containing the information required in a
registration statement prior to the sale or
at the time of confirmation or delivery
of the securities. The estimated annual
number of respondents filing on Form
N–4 is 48 for those filing initial
registration statements and 1,894 for
those filing post-effective amendments.
The proposed frequency of response is
annual. The estimate of the total annual
reporting burden of the collection of
PO 00000
Frm 00078
Fmt 4703
Sfmt 4703
59147
information is approximately 278.5
hours per initial filing and 197.25 hours
for a post-effective amendment, for a
total of 386,959.5 hours ((48 initial
registration statements × 278.5 hours) +
(1,894 post-effective amendments ×
197.25 hour)). Providing the information
required by Form N–4 is mandatory.
Responses will not be kept confidential.
Estimates of the 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.
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, Securities and
Exchange Commission, C/O Shirley
Martinson, 6432 General Green Way,
Alexandria, Virginia 22312 or send an email to: PRA_Mailbox@sec.gov.
Dated: September 26, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6–16576 Filed 10–5–06; 8:45 am]
BILLING CODE 8011–01–P
E:\FR\FM\06OCN1.SGM
06OCN1
]]>Agencies
[Federal Register Volume 71, Number 194 (Friday, October 6, 2006)]
[Notices]
[Pages 59146-59147]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-16549]
=======================================================================
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filing and Information Services, Washington, DC
20549.
Extension:
Rule 30e-2; SEC File No. 270-437; OMB Control No. 3235-0494.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) (the ``Paperwork Reduction Act'') the
Securities and Exchange Commission (``Commission'') is soliciting
comments on the collections of information summarized below. The
Commission plans to submit these existing collections of information to
the Office of Management and Budget (``OMB'') for extension and
approval.
Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-
29(e)) (the ``Investment Company Act'' or ``Act'') and rule 30e-2 \1\
thereunder (17 CFR 270.30e-2) require registered unit investment trusts
(``UITs'') that invest substantially all of their assets in securities
of a management investment company \2\ (``fund'') to send to
shareholders at least semi-annually a report containing certain
financial statements and other information. Specifically, rule 30e-2
requires that the report contain the financial statements and other
information that rule 30e-1 under the Act (17 CFR 270.30e-1) requires
to be included in the report of the underlying fund for the same fiscal
period. Rule 30e-1 requires that the underlying fund's report contain,
among other things, the financial statements and other information that
is required to be included in such report by the fund's registration
form.
---------------------------------------------------------------------------
\1\ Rule 30e-2 was originally adopted as rule 30d-2, but was
redesignated as rule 30e-2 effective February 15, 2001. See Role of
Independent Directors of Investment Companies, Investment Company
Act Release No. 24816 (Jan. 2, 2001) (66 FR 3734 (Jan. 16, 2001)).
\2\ Management investment companies are defined in Section 4(3)
of the Investment Company Act as any investment company other than a
face-amount certificate company or a unit investment trust, as those
terms are defined in Section 4(1) and 4(2) of the Investment Company
Act. See 15 U.S.C. 80a-4.
---------------------------------------------------------------------------
The purpose of this requirement is to apprise current shareholders
of the operational and financial condition of the UIT. Absent the
requirement to disclose all material information in reports, investors
would be unable to obtain accurate information upon which to base
investment decisions and consumer confidence in the securities industry
might be adversely affected. Requiring the submission of these reports
to the Commission permits us to verify compliance with securities law
requirements. In addition, Rule 30e-2 permits, under certain
conditions, delivery of a single shareholder report to investors who
share an address (``householding''). Specifically, rule 30e-2 permits
householding of annual and semi-annual reports by UITs to satisfy the
delivery requirements of rule 30e-2 if, in addition to the other
conditions set forth in the rule, the UIT has obtained from each
applicable investor written or implied consent to the householding of
shareholder reports at such address. The rule requires UITs that wish
to household shareholder reports with implied consent to send a notice
to each applicable investor stating that the investors in the household
will receive one report in the future unless the investors provide
contrary instructions. In addition, at least once a year, UITs relying
on the rule for householding must explain to investors who have
provided written or implied consent how they can revoke their consent.
Preparing and sending the initial notice and the annual explanation of
the right to revoke consent are collections of information
[[Page 59147]]
under the Paperwork Reduction Act. The purpose of the notice and annual
explanation requirements associated with the householding provisions of
the rule is to ensure that investors who wish to receive individual
copies of shareholder reports are able to do so.
The Commission estimates that as of April 2006, approximately 737
UITs were subject to the provisions of rule 30e-2. The Commission
further estimates that the annual burden associated with rule 30e-2 is
121 hours for each UIT, including an estimated 20 hours associated with
the notice requirement for householding and an estimated 1 hour
associated with the explanation of the right to revoke consent to
householding, for a total of 89,177 burden hours.
In addition to the burden hours, the Commission estimates that the
cost of contracting for outside services associated with complying with
rule 30e-2 is $24,640 per respondent (80 hours times $308 per hour for
independent auditor services), for a total of $18,159,680 ($24,640 per
respondent times 737 respondents).
These estimates 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 30e-2 is mandatory. The
information provided under Rule 30e-2 is not kept confidential. The
Commission may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently
valid OMB control number.
Written comments are invited on: (a) Whether the proposed
collections of information are 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 collections of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collections 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, c/o
Shirley Martinson 6432 General Green Way, Alexandria, Virginia, 22312;
or send an e-mail to: PRA--Mailbox@sec.gov.
Dated: September 28, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6-16549 Filed 10-5-06; 8:45 am]
BILLING CODE 8011-01-P
