Proposed Collection; Comment Request, 41532 [E7-14628]

Download as PDF 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]


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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