Proposed Collection; Comment Request, 354-355 [E6-22543]

Download as PDF mstockstill on PROD1PC61 with NOTICES 354 Federal Register / Vol. 72, No. 2 / Thursday, January 4, 2007 / Notices Management and Budget for extension and approval. Rule 17Ad–10: Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and ‘‘buy-in’’ of physical over-issuance. Rule 17Ad–10, (17 CFR 240.17Ad-10), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.), requires approximately 760 registered transfer agents to create and maintain minimum information on securityholders’ ownership of an issue of securities for which it performs transfer agent functions, including the purchase, transfer and redemptions of securities. In addition, the rule also requires transfer agents that maintain securityholder records to keep certificate detail that has been cancelled from those records for a minimum of six years and to maintain and keep current an accurate record of the number of shares or principle dollar amount of debt securities that the issuer has authorized to be outstanding (a ‘‘control book’’). These recordkeeping requirements assist in the creation and maintenance of accurate securityholder records, the ability to research errors, and ensure the transfer agent is ware of the number of securities that are properly authorized by the issuer, thereby avoiding overissuance. There are approximately 760 registered transfer agents. The staff estimates that the average number of hours necessary for each transfer agent to comply with Rule 17Ad–10 is approximately 20 hours per year, totaling 15,200 hours industry-wide. The average cost per hour is approximately $50 per hour, with the industry-wide cost estimated at approximately $760,000. However, the information required by Rule 17Ad–10 generally already is maintained by registered transfer agents. The amount of time devoted to compliance with Rule 17Ad–10 varies according to differences in business activity. 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 shall have practical utility; (b) the accuracy of the agency’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on VerDate Aug<31>2005 15:51 Jan 03, 2007 Jkt 211001 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 by sending an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted within 60 days of this notice. Dated: December 20, 2006. Jill M. Peterson, Assistant Secretary. [FR Doc. E6–22540 Filed 1–3–07; 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: Rule 17Ad–2(c), (d), and (h); SEC File No. 270–149; OMB Control No. 3235–0130. 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 17Ad–2(c), (d) and (h) Transfer Agent Turnaround, Processing and Forwarding Requirements Rule 17Ad–2(c), (d), and (h), (17 CFR 240.17Ad–2(c), (d), and (h)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.), enumerate the requirements with which transfer agents must comply to inform the Commission or the appropriate regulator of a transfer agent’s failure to meet the minimum performance standards set by the Commission rule by filing a notice. While it is estimated there are 740 transfer agents, approximately ten notices pursuant to 17Ad–2(c), (d), and (h) are filed annually. In view of (a) the readily available nature of most of the information required to be included in the notice (since that information must PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 be compiled and retained pursuant to other Commission rules); (b) the summary fashion in which such information must be presented in the notice (most notices are one page or less in length); and (c) the experience of the staff regarding the notices, the Commission staff estimates that, on the average, most Notices require approximately one-half hour to prepare. The Commission staff estimates that transfer agents spend an average of five hours per year complying with the rule. 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 shall have practical utility; (b) the accuracy of the agency’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information on respondents; 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 e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted within 60 days of this notice. Dated: December 20, 2006. Jill M. Peterson, Assistant Secretary. [FR Doc. E6–22541 Filed 1–3–07; 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: Rule 17Ad–13, SEC File No. 270–263, OMB Control No. 3235–0275. 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 E:\FR\FM\04JAN1.SGM 04JAN1 Federal Register / Vol. 72, No. 2 / Thursday, January 4, 2007 / Notices 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. Dated: December 20, 2006. Jill M. Peterson, Assistant Secretary. [FR Doc. E6–22543 Filed 1–3–07; 8:45 am] Rule 17Ad–13 Annual Study and Evaluation of Internal Accounting Control SECURITIES AND EXCHANGE COMMISSION BILLING CODE 8011–01–P mstockstill on PROD1PC61 with NOTICES [File No. 500–1] Rule 17Ad–13 (17 CFR 240.17 Ad–13) requires approximately 200 registered transfer agents to obtain an annual report on the adequacy of internal accounting controls. In addition, transfer agents must maintain copies of any reports prepared pursuant to Rule 17Ad–13 plus any documents prepared to notify the Commission and appropriate regulatory agencies in the event that the transfer agent is required to take any corrective action. These recordkeeping requirements assist the Commission and other regulatory agencies with monitoring transfer agents and ensuring compliance with the rule. Small transfer agents are exempt from Rule 17Ad–13. The staff estimates that the average number of hours necessary for each transfer agent to comply with Rule 17Ad–13 is one-hundred seventy-five hours annually. The total burden is 35,000 hours annually for transfer agents, based upon past submissions. 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 shall have practical utility; (b) the accuracy of the agency’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be 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 by sending an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted within 60 days of this notice. VerDate Aug<31>2005 15:51 Jan 03, 2007 Jkt 211001 In the Matter of Digital Concepts International, Inc., Integrated Homes, Inc., Lighthouse Fast Ferry, Inc. and Wannigan Capital Corp.; Order of Suspension of Trading December 28, 2006. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Digital Concepts International, Inc., because it is delinquent in its periodic filing obligations under Section 13(a) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’), and Rules 13a–1 and 13a–13 thereunder, having never filed a periodic report after its Form 10–SB filed on March 8, 2002, and amended on July 2, 2002, went effective registering its securities. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Integrated Homes, Inc., because it is delinquent in its periodic filing obligations under Section 13(a) of the Exchange Act, and Rules 13a–1 and 13a–13 thereunder, having not filed a periodic report after its Form 10–SB filed on October 13, 2000, went effective registering its securities. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Lighthouse Fast Ferry, Inc., because it is delinquent in its periodic filing obligations under Section 13(a) of the Exchange Act, and Rules 13a–1 and 13a–13 thereunder, having not filed a periodic report since the period ending June 30, 2002. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Wannigan Capital Corp. (f/k/a ThermoElastic Technologies, Inc.), because it is delinquent in its periodic filing obligations under Section 13(a) of the Exchange Act, and Rules 13a–1 and 13a–13 thereunder, having not filed a periodic report since the period ending September 30, 2002. The Commission is of the opinion that the public interest and the protection of PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 355 investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Exchange Act, that trading in the above-listed companies is suspended for the period from 9:30 a.m. EST on December 28, 2006, through 11:59 p.m. EST on January 11, 2007. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 06–9967 Filed 12–28–06; 11:06 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54990; File No. SR–CBOE– 2006–108] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules in Connection With CBOE’s Determination To Trade Certain Option Classes on Hybrid December 21, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on December 15, 2006, the Chicago Board Options Exchange, Incorporated (‘‘Exchange’’ or ‘‘CBOE’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange filed the proposal as a ‘‘non-controversial’’ proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act 3 and Rule 19b–4(f)(6) thereunder.4 The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change CBOE proposes amend its rules relating to CBOE’s determination to trade certain option classes on Hybrid. The text of the proposed rule change is available on CBOE’s Web site (https:// www.cboe.com), at the CBOE’s Office of the Secretary, and at the Commission’s public reference room. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A)(iii). 4 17 CFR 240.19b–4(f)(6). 2 17 E:\FR\FM\04JAN1.SGM 04JAN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 72, Number 2 (Thursday, January 4, 2007)]
[Notices]
[Pages 354-355]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-22543]


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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 17Ad-13, SEC File No. 270-263, OMB Control No. 3235-0275.

    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

[[Page 355]]

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 17Ad-13 Annual Study and Evaluation of Internal Accounting Control

    Rule 17Ad-13 (17 CFR 240.17 Ad-13) requires approximately 200 
registered transfer agents to obtain an annual report on the adequacy 
of internal accounting controls. In addition, transfer agents must 
maintain copies of any reports prepared pursuant to Rule 17Ad-13 plus 
any documents prepared to notify the Commission and appropriate 
regulatory agencies in the event that the transfer agent is required to 
take any corrective action. These recordkeeping requirements assist the 
Commission and other regulatory agencies with monitoring transfer 
agents and ensuring compliance with the rule. Small transfer agents are 
exempt from Rule 17Ad-13.
    The staff estimates that the average number of hours necessary for 
each transfer agent to comply with Rule 17Ad-13 is one-hundred seventy-
five hours annually. The total burden is 35,000 hours annually for 
transfer agents, based upon past submissions.
    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 shall 
have practical utility; (b) the accuracy of the agency's estimates of 
the burden of the proposed collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information to be 
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 by sending an e-mail to: PRA--Mailbox@sec.gov. Comments must be 
submitted within 60 days of this notice.

    Dated: December 20, 2006.
Jill M. Peterson,
Assistant Secretary.
 [FR Doc. E6-22543 Filed 1-3-07; 8:45 am]
BILLING CODE 8011-01-P

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