Proposed Collection; Comment Request, 63632-63633 [E7-22006]

Download as PDF mstockstill on PROD1PC66 with NOTICES 63632 Federal Register / Vol. 72, No. 217 / Friday, November 9, 2007 / Notices displays a currently valid OMB control number. 1. Type of submission, new, revision, or extension: New collection. 2. The title of the information collection: Comprehensive Decommissioning Program, Including Annual Data Collection, OMB 3150– xxxx. 3. The form number if applicable: N/A. 4. How often the collection is required: Annually (to keep site information current). 5. Who will be required or asked to report: Agreement States who have signed Section 274(b) Agreements with NRC and are regulating uranium recovery and/or complex sites undergoing decommissioning. 6. An estimate of the number of annual responses: 68. (2 responses for each respondent.) 7. The estimated number of annual respondents: 34. 8. An estimate of the total number of hours needed annually to complete the requirement or request: 677 hours (approximately 20 hours per respondent). 9. An indication of whether Section 3507(d), Pub. L. 104–13 applies: N/A. 10. Abstract: Agreement States will be asked to provide information about uranium recovery and complex sites undergoing decommissioning regulated by the Agreement States on an annual basis. The information request will allow the NRC to compile, in a centralized location, more complete information on the status of decommissioning and decontamination in the United States in order to provide a national perspective on decommissioning. The information will be made available to the public by the NRC in order to ensure openness and promote communication to enhance public confidence in the national decommissioning program. This does not apply to information, such as trade secrets and commercial or financial information provided by the Agreement States as privileged or confidential. Information such as financial assurance and the status of decommissioning funding would need to be identified by the Agreement State as privileged or confidential, whereupon the NRC would withhold such information from public access and treat it as sensitive or nonsensitive, per the considerations in 10 CFR 2.390 and 9.17. This does not apply to financial assurance or decommissioning funding information that is already available to the public. Although specific details of the funding mechanisms are treated as confidential, beneficial lessons learned regarding the VerDate Aug<31>2005 23:48 Nov 08, 2007 Jkt 214001 improvement of decommissioningrelated funding will be shared with the Agreement States. A copy of the final supporting statement may be viewed free of charge at the NRC Public Document Room, One White Flint North, 11555 Rockville Pike, Room O–1 F21, Rockville, MD 20852. OMB clearance requests are available at the NRC worldwide Web site: http://www.nrc.gov/public-involve/ doc-comment/omb/index.html. The document will be available on the NRC home page site for 60 days after the signature date of this notice. Comments and questions should be directed to the OMB reviewer listed below by December 10, 2007. Comments received after this date will be considered if it is practical to do so, but assurance of consideration cannot be given to comments received after this date: Nathan J. Frey, Office of Information and Regulatory Affairs (3150–xxxx), NEOB–10202, Office of Management and Budget, Washington, DC 20503. Comments can also be e-mailed to Nathan_J._Frey@omb.eop.gov or submitted by telephone at (202) 395– 7345. The NRC Clearance Officer is Margaret A. Janney, 301–415–7245. Dated at Rockville, Maryland, this 5th day of November, 2007. For the Nuclear Regulatory Commission. Margaret A. Janney, NRC Clearance Officer, Office of Information Services. [FR Doc. E7–22034 Filed 11–8–07; 8:45 am] BILLING CODE 7590–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rule 206(3)–3T, SEC File No. 270–571, OMB Control No. 3235–0630. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 350l et seq.), the Securities and Exchange Commission (the ‘‘Commission’’) is soliciting comments on the collections of information summarized below. The Commission plans to submit these existing collections of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 Temporary rule 206(3)–3T (17 CFR 275.206(3)–3T) under the Investment Advisers Act of 1940 (15 U.S.C. 80b–1 et seq.) is entitled: ‘‘Temporary rule for principal trades with certain advisory clients.’’ The temporary rule provides investment advisers who are registered with the Commission as broker-dealers an alternative means to meet the requirements of section 206(3) of the Advisers Act (15 U.S.C. 80b–6(3)) when they act in a principal capacity in transactions with certain of their advisory clients. The temporary rule, and its attendant paperwork burdens, will expire and no longer be effective on December 31, 2009. Temporary rule 206(3)–3T permits dually-registered advisers to satisfy the Advisers Act’s principal trading restrictions by: (i) Providing written, prospective disclosure regarding the conflicts arising from principal trades; (ii) obtaining written, revocable consent from the client prospectively authorizing the adviser to enter into principal transactions; (iii) making oral or written disclosure and obtaining the client’s consent before each principal transaction; (iv) sending to the client confirmation statements disclosing the capacity in which the adviser has acted; and (v) delivering to the client an annual report itemizing the principal transactions. Providing the information required by rule 206(3)–3T is necessary for duallyregistered advisers to obtain the benefit of the alternative means of complying with section 206(3) of the Advisers Act. Disclosures under the rule provide important investor protections when advisers engage in principal trades. Clients of advisers will primarily use the information to monitor principal trades in their accounts. The Commission staff estimates that approximately 380 investment advisers make use of rule 206(3)–3T, and that on average an investment adviser spends approximately 1,301 hours annually in complying with the requirements of the rule. The Commission staff therefore estimates the total annual burden of the rule’s paperwork requirements to be 494,440 hours. Written comments are invited 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 collections of information; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burdens of the collections of information on respondents, E:\FR\FM\09NON1.SGM 09NON1 Federal Register / Vol. 72, No. 217 / Friday, November 9, 2007 / Notices 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: November 5, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–22006 Filed 11–8–07; 8:45 am] BILLING CODE 8011–01–P [File No. 500–1] In the Matter of Ames Department Stores, Inc., Bradlees, Inc., Caldor Corp., and Stuarts Department Stores, Inc.; Order of Suspension of Trading mstockstill on PROD1PC66 with NOTICES November 7, 2007. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Ames Department Stores, Inc. because it has not filed any periodic reports since it filed a Form 10–Q for the period ended May 4, 2002. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Bradlees, Inc. because it has not filed any periodic reports since it filed a Form 10–Q for the period ended October 28, 2000. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Caldor Corp. because it has not filed any periodic reports since it filed a Form 10–Q for the period ended October 31, 1998. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Stuarts Department Stores, Inc. because it has not filed any periodic reports since it filed a Form 10–Q for the period ended October 28, 1995. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange 23:48 Nov 08, 2007 Jkt 214001 By the Commission. Nancy M. Morris, Secretary. [FR Doc. 07–5625 Filed 11–7–07; 11:20 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–56736; File No. SR–MSRB– 2007–04] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G–40 on E-Mail Contacts SECURITIES AND EXCHANGE COMMISSION VerDate Aug<31>2005 Act of 1934, that trading in the abovelisted companies is suspended for the period from 9:30 a.m. EST on November 7, 2007, through 11:59 p.m. EST on November 20, 2007. November 2, 2007. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on October 16, 2007, the Municipal Securities Rulemaking Board (‘‘MSRB’’) 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 MSRB. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The MSRB is filing with the Commission a proposed rule change consisting of amendments to Rule G–40, on electronic mail contacts, that would more fully conform MSRB requirements to Financial Industry Regulatory Authority (‘‘FINRA’’) requirements relating to contact information. The MSRB proposes that the amendments become effective on December 31, 2007 to coincide with the effective date of recently-approved FINRA requirements.3 The text of the proposed rule change is available on the MSRB’s Web site (http://www.msrb.org), at the MSRB’s principal office, and at the Commission’s Public Reference Room. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Securities Exchange Act Release No. 56179 (August 1, 2007), 72 FR 44203 (August 7, 2007) (SR–NASD–2007–034). 2 17 PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 63633 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 MSRB included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The MSRB 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 In 2002, the MSRB adopted Rule G– 40, on e-mail contacts, to establish a reliable method for electronic communication with brokers, dealers and municipal securities dealers (collectively, ‘‘dealers’’).4 The rule requires, among other things, that dealers use Form G–40 to appoint a ‘‘Primary Contact’’ for purposes of electronic communication between the dealer and the MSRB. The Primary Contact must be either a Series 53registered municipal securities principal or a Series 51-registered municipal fund securities limited principal.5 Dealers are required to submit their original forms and any subsequent changes electronically through their electronic G–40 account using the appropriate user ID and password. The rule also requires that each dealer maintain an Internet electronic mail account to permit communication with the MSRB, and to review and, if necessary, update its Primary Contact information within 17 business days after the end of each calendar quarter. 4 In adopting the rule, the MSRB stated that the events of September 11, 2001 and the weeks that followed, emphasized the importance of, and need for an efficient and reliable means of official communication between regulators and the industry, and that establishing a reliable method for electronic communication was necessary to allow the MSRB to efficiently alert dealers to official communications, including time-sensitive developments, rule changes, notices, etc., as well as to facilitate dealers’ internal distribution of such information. The MSRB also noted that it had discontinued publication of MSRB Reports in 2002 (since that time, all MSRB notices have been available exclusively on the MSRB Web site at http://www.msrb.org.). The rule was approved in Securities Exchange Act Release No. 46043 (June 6, 2002), 67 FR 40762 (June 13, 2002) (SR–MSRB 2002–05). 5 Dealers may also appoint an ‘‘Optional Contact’’ and this person does not have to be a registered principal. E:\FR\FM\09NON1.SGM 09NON1

Agencies

[Federal Register Volume 72, Number 217 (Friday, November 9, 2007)]
[Notices]
[Pages 63632-63633]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-22006]


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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 Advocacy, Washington, DC 
20549-0213.

    Extension: Rule 206(3)-3T, SEC File No. 270-571, OMB Control No. 
3235-0630.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 350l et seq.), the Securities and Exchange 
Commission (the ``Commission'') is soliciting comments on the 
collections of information summarized below. The Commission plans to 
submit these existing collections of information to the Office of 
Management and Budget (``OMB'') for extension and approval.
    Temporary rule 206(3)-3T (17 CFR 275.206(3)-3T) under the 
Investment Advisers Act of 1940 (15 U.S.C. 80b-1 et seq.) is entitled: 
``Temporary rule for principal trades with certain advisory clients.'' 
The temporary rule provides investment advisers who are registered with 
the Commission as broker-dealers an alternative means to meet the 
requirements of section 206(3) of the Advisers Act (15 U.S.C. 80b-6(3)) 
when they act in a principal capacity in transactions with certain of 
their advisory clients. The temporary rule, and its attendant paperwork 
burdens, will expire and no longer be effective on December 31, 2009.
    Temporary rule 206(3)-3T permits dually-registered advisers to 
satisfy the Advisers Act's principal trading restrictions by: (i) 
Providing written, prospective disclosure regarding the conflicts 
arising from principal trades; (ii) obtaining written, revocable 
consent from the client prospectively authorizing the adviser to enter 
into principal transactions; (iii) making oral or written disclosure 
and obtaining the client's consent before each principal transaction; 
(iv) sending to the client confirmation statements disclosing the 
capacity in which the adviser has acted; and (v) delivering to the 
client an annual report itemizing the principal transactions.
    Providing the information required by rule 206(3)-3T is necessary 
for dually-registered advisers to obtain the benefit of the alternative 
means of complying with section 206(3) of the Advisers Act. Disclosures 
under the rule provide important investor protections when advisers 
engage in principal trades. Clients of advisers will primarily use the 
information to monitor principal trades in their accounts.
    The Commission staff estimates that approximately 380 investment 
advisers make use of rule 206(3)-3T, and that on average an investment 
adviser spends approximately 1,301 hours annually in complying with the 
requirements of the rule. The Commission staff therefore estimates the 
total annual burden of the rule's paperwork requirements to be 494,440 
hours.
    Written comments are invited 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 collections of information; (c) ways to enhance the quality, 
utility, and clarity of the information collected; and (d) ways to 
minimize the burdens of the collections of information on respondents,

[[Page 63633]]

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: November 5, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-22006 Filed 11-8-07; 8:45 am]
BILLING CODE 8011-01-P