Proposed Collection; Comment Request, 41532 [E7-14628]
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41532
Federal Register / Vol. 72, No. 145 / Monday, July 30, 2007 / Notices
comprehensive or even a representative
survey or study.
Written comments are requested on:
(a) Whether the collections of
information are necessary for the proper
performance of the functions of the
Commission, including whether the
information has practical utility; (b) the
accuracy of the Commission’s estimate
of the burdens 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
e-mail to: PRA_Mailbox@sec.gov.
Dated: July 23, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7–14563 Filed 7–27–07; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Assistance,
Washington, DC 20549–0213.
mstockstill on PROD1PC66 with NOTICES
Existing Collection; New OMB Control No.:
Rule 607; SEC File No. 270–568; OMB
Control No. 3235–xxxx.
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
collection of information to the Office
of Management and Budget (‘‘OMB’’)
for approval.
Rule 607 under Regulation E (17 CFR
230.607) entitled, ‘‘Sales material to be
filed,’’ requires sales material used in
connection with securities offerings
under Regulation E (17 CFR 230.601 to
610a) to be filed with the Commission
at least five days (excluding weekends
VerDate Aug<31>2005
22:24 Jul 27, 2007
Jkt 211001
and holidays) prior to its use.1
Regulation E allows the exemption of
securities issued by a small business
investment company (‘‘SBIC’’) which is
registered under the Investment
Company Act of 1940 (‘‘Investment
Company Act’’) (15 U.S.C. 80a–1 et seq.)
or a closed-end investment company
that has elected to be regulated as a
business development company
(‘‘BDC’’) under the Investment Company
Act from registration under the
Securities Act of 1933 (‘‘Securities Act’’)
(15 U.S.C. 77a et seq.), so long as the
aggregate offering price of all securities
of the issuer that may be sold within a
12-month period does not exceed
$5,000,000 and certain other conditions
are met. Commission staff reviews sales
material filed under rule 607 for
materially misleading statements and
omissions. The requirements of rule 607
are designed for investor protection.
Respondents to this collection of
information include SBICs and BDCs
making an offering of securities
pursuant to Regulation E. Each
respondent’s reporting burden under
rule 607 relates to the burden associated
with filing its sales material
electronically. The burden of filing
electronically, however, is negligible
and there have been no filings made
under this rule, so this collection of
information does not impose any
burden on the industry. The estimate of
average burden hours is made solely for
purposes of the Paperwork Reduction
Act and is not derived from a
quantitative, comprehensive, or even
representative survey or study of the
burdens associated with Commission
rules and forms.
The requirements of this collection of
information are 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.
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
1 Sales material includes advertisements, articles
or other communications to be published in
newspapers, magazines, or other periodicals; radio
and television scripts; and letters, circulars or other
written communications proposed to be sent given
or otherwise communicated to more than ten
persons.
PO 00000
Frm 00041
Fmt 4703
Sfmt 4703
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, VA 22312 or send an e-mail
to: PRA_Mailbox@sec.gov.
Dated: July 23, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7–14628 Filed 7–27–07; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copy Available
From: Securities and Exchange
Commission, Office of Investor
Education and Assistance,
Washington, DC 20549–0213.
Extension:
Form S–6; SEC File No. 270–181; OMB
Control No. 3235–0184.
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 (‘‘OMB’’) for
extension and approval.
The title for the collection of
information is ‘‘Form S–6 (17 CFR
239.16), for Registration under the
Securities Act of 1933 of Securities of
Unit Investment Trusts Registered on
Form N–8B–2 (17 CFR 274.13).’’ Unit
investment trusts offering their
securities to the public are required by
two separate statutes to file registration
statements with the Commission. They
are required to register their securities
under the Securities Act of 1933 (15
U.S.C. 77a et seq.) (‘‘Securities Act’’),
and to register as investment companies
under the Investment Company Act of
1940 (15 U.S.C. 80a–1 et seq.)
(‘‘Investment Company Act’’).
Form S–6 is used for registration
under the Securities Act of the
securities of any unit investment trust
that is registered under the Investment
E:\FR\FM\30JYN1.SGM
30JYN1
]]>Agencies
[Federal Register Volume 72, Number 145 (Monday, July 30, 2007)]
[Notices]
[Page 41532]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-14628]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Assistance, Washington, DC
20549-0213.
Existing Collection; New OMB Control No.:
Rule 607; SEC File No. 270-568; OMB Control No. 3235-xxxx.
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
collection of information to the Office of Management and Budget
(``OMB'') for approval.
Rule 607 under Regulation E (17 CFR 230.607) entitled, ``Sales
material to be filed,'' requires sales material used in connection with
securities offerings under Regulation E (17 CFR 230.601 to 610a) to be
filed with the Commission at least five days (excluding weekends and
holidays) prior to its use.\1\ Regulation E allows the exemption of
securities issued by a small business investment company (``SBIC'')
which is registered under the Investment Company Act of 1940
(``Investment Company Act'') (15 U.S.C. 80a-1 et seq.) or a closed-end
investment company that has elected to be regulated as a business
development company (``BDC'') under the Investment Company Act from
registration under the Securities Act of 1933 (``Securities Act'') (15
U.S.C. 77a et seq.), so long as the aggregate offering price of all
securities of the issuer that may be sold within a 12-month period does
not exceed $5,000,000 and certain other conditions are met. Commission
staff reviews sales material filed under rule 607 for materially
misleading statements and omissions. The requirements of rule 607 are
designed for investor protection.
---------------------------------------------------------------------------
\1\ Sales material includes advertisements, articles or other
communications to be published in newspapers, magazines, or other
periodicals; radio and television scripts; and letters, circulars or
other written communications proposed to be sent given or otherwise
communicated to more than ten persons.
---------------------------------------------------------------------------
Respondents to this collection of information include SBICs and
BDCs making an offering of securities pursuant to Regulation E. Each
respondent's reporting burden under rule 607 relates to the burden
associated with filing its sales material electronically. The burden of
filing electronically, however, is negligible and there have been no
filings made under this rule, so this collection of information does
not impose any burden on the industry. The estimate of average burden
hours is made solely for purposes of the Paperwork Reduction Act and is
not derived from a quantitative, comprehensive, or even representative
survey or study of the burdens associated with Commission rules and
forms.
The requirements of this collection of information are 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.
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, VA 22312 or send
an e-mail to: PRA--Mailbox@sec.gov.
Dated: July 23, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-14628 Filed 7-27-07; 8:45 am]
BILLING CODE 8010-01-P
