Proposed Collection; Comment Request, 66203 [E7-23004]

Download as PDF Federal Register / Vol. 72, No. 227 / Tuesday, November 27, 2007 / Notices 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(4)–4; SEC File No. 270–304; OMB Control No. 3235–0345 pwalker on PROD1PC71 with NOTICES 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 collections of information summarized below. The Commission plans to submit these existing collections of information to the Office of Management and Budget for extension and approval. The title for the collection of information is ‘‘Rule 206(4)–4’’ (17 CFR 275.206(4)–4) under the Investment Advisers Act of 1940 (15 U.S.C. 80b–1 et seq.). Rule 206(4)–4 requires advisers to disclose certain financial and disciplinary information to clients. The disclosure requirements in rule 206(4)– 4 are designed so that a client will have information about an adviser’s financial condition and disciplinary events that may be material to an evaluation of the adviser’s integrity or ability to meet contractual commitments to clients. Respondents are registered investment advisers with certain disciplinary history or a financial condition that is reasonably likely to affect contractual commitments. We estimate that approximately 1,839 advisers are subject to this rule. The rule requires approximately 7.5 burden hours per year per adviser and amounts to approximately 13,793 total burden hours (7.5 × 1,839) for all advisers. 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 VerDate Aug<31>2005 17:26 Nov 26, 2007 Jkt 214001 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 email to: PRA_Mailbox@sec.gov. Dated: November 19, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–23004 Filed 11–26–07; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–56809; File No. SR–Amex– 2007–116] Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Harmonize the Annual Listing Fees for All Exchange Traded Funds November 16, 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 29, 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 Amex. On November 9, 2007, the Exchange filed Amendment No. 1 to the proposed rule change.3 On November 16, 2007, the Exchange filed Amendment No. 2 to the proposal.4 The 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Amendment No. 1 made clarifying changes to the purpose section of the original filing and revised the proposed annual listing fee schedule. 4 Amendment No. 2 made an additional clarifying change to the proposed annual listing fee schedule. Specifically, all references to a ‘‘maximum’’ or ‘‘minimum’’ identified as a parenthetical in the ‘‘Stock Issues’’ and ‘‘Issues Listed Under Section 106 and Section 107; Rule 1000A (Index Fund Shares); Rule 1200 (Trust Issued Receipts); Rule 1200A (Commodity Based Trust Shares); Rule 2 17 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 66203 Commission is publishing this notice to solicit comments on the proposed rule change, as modified by Amendment Nos. 1 and 2, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to revise the annual listing fees for index fund shares, trust-issued receipts, commodity-based trust shares, currency trust shares, paired trust shares, partnership units, and closed-end funds (collectively, ‘‘Exchange Traded Funds’’ or ‘‘ETFs’’) set forth in section 141 of the Amex Company Guide. The text of the proposed rule change is available at http://www.amex.com, the Exchange’s principal, and the Commission’s Public Reference Room. 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 Exchange 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 Exchange 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 Amex proposes to amend section 141 of the Company Guide to adopt a single annual fee schedule for all ETFs. The proposed annual listing fee schedule is largely based on the existing annual listing fee schedule for index and currency warrants, equity- and indexlinked securities, trust-issued receipts, commodity-based trust shares, currency trust shares, paired trust shares, partnership units, and closed-end funds. The current annual listing fees are shown in the table below. 1200B (Currency Trust Shares); Rule 1400 (Paired Trust Shares); Rule 1500 (Partnership Units); and Closed-End Funds’’ Annual Fee Tables in the Company Guide are to be removed. E:\FR\FM\27NON1.SGM 27NON1

Agencies

[Federal Register Volume 72, Number 227 (Tuesday, November 27, 2007)]
[Notices]
[Page 66203]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-23004]



[[Page 66203]]

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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(4)-4; SEC File No. 270-304; OMB Control No. 3235-0345

    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 collections 
of information summarized below. The Commission plans to submit these 
existing collections of information to the Office of Management and 
Budget for extension and approval.
    The title for the collection of information is ``Rule 206(4)-4'' 
(17 CFR 275.206(4)-4) under the Investment Advisers Act of 1940 (15 
U.S.C. 80b-1 et seq.). Rule 206(4)-4 requires advisers to disclose 
certain financial and disciplinary information to clients. The 
disclosure requirements in rule 206(4)-4 are designed so that a client 
will have information about an adviser's financial condition and 
disciplinary events that may be material to an evaluation of the 
adviser's integrity or ability to meet contractual commitments to 
clients. Respondents are registered investment advisers with certain 
disciplinary history or a financial condition that is reasonably likely 
to affect contractual commitments. We estimate that approximately 1,839 
advisers are subject to this rule. The rule requires approximately 7.5 
burden hours per year per adviser and amounts to approximately 13,793 
total burden hours (7.5 x 1,839) for all advisers.
    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: November 19, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-23004 Filed 11-26-07; 8:45 am]
BILLING CODE 8011-01-P