Submission for OMB Review; Comment Request, 56806 [E7-19549]
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56806
Federal Register / Vol. 72, No. 192 / Thursday, October 4, 2007 / Notices
$355,000 [(2×$80,000) + (4×$43,500) +
(3×$7,000)]. The estimates of annual
burden hours and costs are made solely
for the purposes of the Paperwork
Reduction Act, and are not derived from
a comprehensive or even representative
survey or study of the costs of
Commission rules and forms.
The requirements of this collection of
information are required to obtain or
retain benefits. 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:
Alexander_T._Hunt@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 email to: PRA_Mailbox@sec.gov.
Comments must be submitted to OMB
within 30 days of this notice.
Dated: September 27, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7–19548 Filed 10–3–07; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213
pwalker on PROD1PC71 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
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of the
collection of information discussed
below.
Rule 607 under Regulation E (17 CFR
230.607) entitled, ‘‘Sales material to be
filed,’’ requires sales material used in
connection with securities offerings
VerDate Aug<31>2005
16:20 Oct 03, 2007
Jkt 214001
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.
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. However, we
are requesting one annual response and
an annual burden of one hour for
administrative purposes. 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.
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
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 00089
Fmt 4703
Sfmt 4703
Regulatory Affairs, Office of
Management and Budget, Room 10102,
New Executive Office Building,
Washington, DC 20503 or e-mail to:
Alexander_T._Hunt@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 email to: PRA_Mailbox@sec.gov.
Comments must be submitted to OMB
within 30 days of this notice.
Dated: September 27, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7–19549 Filed 10–3–07; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. IC–28006]
Notice of Applications for
Deregistration Under Section 8(f) of the
Investment Company Act of 1940
September 28, 2007.
The following is a notice of
applications for deregistration under
section 8(f) of the Investment Company
Act of 1940 for the month of September
2007. A copy of each application may be
obtained for a fee at the SEC’s Public
Reference Branch (tel. 202–551–5850).
An order granting each application will
be issued unless the SEC orders a
hearing. Interested persons may request
a hearing on any application by writing
to the SEC’s Secretary at the address
below and serving the relevant
applicant with a copy of the request,
personally or by mail. Hearing requests
should be received by the SEC by 5:30
p.m. on October 23, 2007, and should be
accompanied by proof of service on the
applicant, in the form of an affidavit or,
for lawyers, a certificate of service.
Hearing requests should state the nature
of the writer’s interest, the reason for the
request, and the issues contested.
Persons who wish to be notified of a
hearing may request notification by
writing to the Secretary, U.S. Securities
and Exchange Commission, 100 F
Street, NE., Washington, DC 20549–
1090.
FOR FURTHER INFORMATION CONTACT:
Diane L. Titus at (202) 551–6810, SEC,
Division of Investment Management,
Office of Investment Company
Regulation, 100 F Street, NE.,
Washington, DC 20549–4041.
E:\FR\FM\04OCN1.SGM
04OCN1
]]>Agencies
[Federal Register Volume 72, Number 192 (Thursday, October 4, 2007)]
[Notices]
[Page 56806]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-19549]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, 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
(``Commission'') has submitted to the Office of Management and Budget
(``OMB'') a request for approval of the collection of information
discussed below.
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. However, we are requesting one
annual response and an annual burden of one hour for administrative
purposes. 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.
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: Alexander--T.--
Hunt@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 to:
PRA--Mailbox@sec.gov. Comments must be submitted to OMB within 30 days
of this notice.
Dated: September 27, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-19549 Filed 10-3-07; 8:45 am]
BILLING CODE 8011-01-P
