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