Submission for OMB Review; Comment Request, 62277 [E7-21577]

Download as PDF Federal Register / Vol. 72, No. 212 / Friday, November 2, 2007 / Notices Dated: October 29, 2007. Nancy M. Morris, Secretary. [FR Doc. E7–21533 Filed 11–1–07; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. pwalker on PROD1PC71 with NOTICES Extension: Rule 15Ba2–5; OMB Control No. 3235–0088; SEC File No. 270–91. 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 extension of the existing collection of information provided for in the following rule: Rule 15Ba2–5 (17 CFR 240.15Ba2–5). On July 7, 1975, effective July 16, 1975 (see 41 FR 28948, July 14, 1975), the Commission adopted Rule 15Ba2–5 under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) to permit a duly-appointed fiduciary to assume immediate responsibility for the operation of a municipal securities dealer’s business. Without the rule, the fiduciary would not be able to assume operation until it registered as a municipal securities dealer. Under the rule, the registration of a municipal securities dealer is deemed to be the registration of any executor, administrator, guardian, conservator, assignee for the benefit of creditors, receiver, trustee in insolvency or bankruptcy, or other fiduciary, appointed or qualified by order, judgment, or decree of a court of competent jurisdiction to continue the business of such municipal securities dealer, provided that such fiduciary files with the Commission, within 30 days after entering upon the performance of his duties, a statement setting forth as to such fiduciary substantially the same information required by Form MSD or Form BD. The statement is necessary to ensure that the Commission and the public have adequate information about the fiduciary. There is approximately 1 respondent per year that requires an aggregate total of 4 hours to comply with this rule. This respondent makes an estimated 1 VerDate Aug<31>2005 15:58 Nov 01, 2007 Jkt 214001 annual response. Each response takes approximately 4 hours to complete. Thus, the total compliance burden per year is 4 burden hours. The approximate cost per hour is $20, resulting in a total cost of compliance for the respondent of approximately $80 (i.e., 4 hours × $20). 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. Comments should be directed to (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 by sending an 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 within 30 days of this notice. Dated: October 29, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–21577 Filed 11–1–07; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–56719; File No. SR–Amex– 2007–98] Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Listing and Trading of Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP October 29, 2007. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 2 thereunder, notice is hereby given that on August 23, 2007, the American Stock Exchange LLC (‘‘Amex’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. On September 14, 2007, the Exchange submitted Amendment No. 1 to the proposed rule change. On October 1 15 2 17 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00074 Fmt 4703 Sfmt 4703 62277 25, 2007, the Exchange submitted Amendment No. 2 to the proposed rule change. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to list and trade units (each a ‘‘Unit’’ and, collectively, the ‘‘Units’’) of each of the United States 12 Month Oil Fund, LP (‘‘12 Month Oil Fund’’) and the United States 12 Month Natural Gas Fund, LP (‘‘12 Month Natural Gas Fund’’) (each a ‘‘Partnership’’ and, collectively, the ‘‘Partnerships’’). II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Amex included statements concerning the purpose of, and basis for, the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Amex has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to list and trade Units issued by the 12 Month Oil Fund (under the symbol: ‘‘USL’’) and the 12 Month Natural Gas Fund (under symbol: ‘‘USN’’) pursuant to Amex Rules 1500–AEMI and 1501 through 1505.3 The Exchange submits that the Units will conform to the initial and continued listing criteria under Rule 1502,4 specialist prohibitions under Rule 1503 and the obligations of specialists under Rule 1504. Ownership of a Partnership Unit represents a fractional undivided unit of a beneficial interest in the net assets of 3 Amex Rule 1500–AEMI provides for the listing of Partnership Units, which are defined as securities, that are: (a) Issued by a partnership that invests in any combination of futures contracts, options on futures contracts, forward contracts, commodities, and/or securities; and (b) that are issued and redeemed daily in specified aggregate amounts at net asset value. See Exchange Act Release No. 53582 (March 31, 2006), 71 FR 17510 (April 6, 2006) (SR–Amex–2005–127) (approving Amex Rules 1500–AEMI and 1501 through 1505 in conjunction with the listing and trading of Units of the United States Oil Fund, LP). 4 See section entitled ‘‘Listing and Trading Rules,’’ infra. E:\FR\FM\02NON1.SGM 02NON1

Agencies

[Federal Register Volume 72, Number 212 (Friday, November 2, 2007)]
[Notices]
[Page 62277]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-21577]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of Investor Education and Advocacy, 
Washington, DC 20549-0213.

Extension: Rule 15Ba2-5; OMB Control No. 3235-0088; SEC File No. 
270-91.

    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 extension of the 
existing collection of information provided for in the following rule: 
Rule 15Ba2-5 (17 CFR 240.15Ba2-5).
    On July 7, 1975, effective July 16, 1975 (see 41 FR 28948, July 14, 
1975), the Commission adopted Rule 15Ba2-5 under the Securities 
Exchange Act of 1934 (15 U.S.C. 78a et seq.) to permit a duly-appointed 
fiduciary to assume immediate responsibility for the operation of a 
municipal securities dealer's business. Without the rule, the fiduciary 
would not be able to assume operation until it registered as a 
municipal securities dealer. Under the rule, the registration of a 
municipal securities dealer is deemed to be the registration of any 
executor, administrator, guardian, conservator, assignee for the 
benefit of creditors, receiver, trustee in insolvency or bankruptcy, or 
other fiduciary, appointed or qualified by order, judgment, or decree 
of a court of competent jurisdiction to continue the business of such 
municipal securities dealer, provided that such fiduciary files with 
the Commission, within 30 days after entering upon the performance of 
his duties, a statement setting forth as to such fiduciary 
substantially the same information required by Form MSD or Form BD. The 
statement is necessary to ensure that the Commission and the public 
have adequate information about the fiduciary.
    There is approximately 1 respondent per year that requires an 
aggregate total of 4 hours to comply with this rule. This respondent 
makes an estimated 1 annual response. Each response takes approximately 
4 hours to complete. Thus, the total compliance burden per year is 4 
burden hours. The approximate cost per hour is $20, resulting in a 
total cost of compliance for the respondent of approximately $80 (i.e., 
4 hours x $20).
    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.
    Comments should be directed to (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 by sending an 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 within 30 
days of this notice.

     Dated: October 29, 2007.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-21577 Filed 11-1-07; 8:45 am]
BILLING CODE 8011-01-P