Proposed Collection; Comment Request, 10501-10502 [E8-3666]

Download as PDF Federal Register / Vol. 73, No. 39 / Wednesday, February 27, 2008 / Notices jlentini on PROD1PC65 with NOTICES investors to make better-informed decisions. The Commission estimates that 89,077 responses are filed annually pursuant to rule 482 by 4,106 investment companies offering 37,265 portfolios. Respondents consist of all the investment companies that take advantage of the safe harbor offered by the rule for their advertisements. The burden associated with rule 482 is presently estimated to be 5.16 hours per response. The hourly burden is therefore approximately 459,637 hours (89,077 responses × 5.16 hours per response). The estimate of average burden hours is made solely for the purposes of the Paperwork Reduction Act, and is not derived from a comprehensive or even a representative survey or study of the costs of Commission rules and forms. Cost burden is the cost of services purchased to comply with rule 482, such as for the services of computer programmers, outside counsel, financial printers, and advertising agencies. The Commission attributes no cost burden to rule 482. The provision of information under rule 482 is necessary to obtain the benefits of the safe harbor offered by the rule. The information provided is not kept confidential. 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 email to: PRA_Mailbox@sec.gov. Dated: February 19, 2008. Florence E. Harmon, Deputy Secretary. [FR Doc. E8–3624 Filed 2–26–08; 8:45 am] BILLING CODE 8011–01–P VerDate Aug<31>2005 19:49 Feb 26, 2008 Jkt 214001 SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: US Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: 1–2 Rule 17a–2; OMB Control No. 3235– 0201; SEC File No. 270–189. 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 collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. • Rule 17a–2 (17 CFR 240.17a–2)— Recordkeeping Requirements Relating to Stabilizing Activities. Rule 17a–2 requires underwriters to maintain information regarding stabilizing activities conducted in accordance with Rule 104. The collections of information under Regulation M and Rule 17a–2 are necessary for covered persons to obtain certain benefits or to comply with certain requirements. The collections of information are necessary to provide the Commission with information regarding syndicate covering transactions and penalty bids. The Commission may review this information during periodic examinations or with respect to investigations. Except for the information required to be kept under Rule 104(i) (17 CFR 242.104(i)) and Rule 17a–2(c), none of the information required to be collected or disclosed for PRA purposes will be kept confidential. The recordkeeping requirement of Rule 17a–2 requires the information be maintained in a separate file, or in a separately retrievable format, for a period of three years, the first two years in an easily accessible place, consistent with the requirements of Exchange Act Rule 17a–4(f) (17 CFR 240.17a–4(f)). There are approximately 795 respondents per year that require an aggregate total of 3975 hours to comply with this rule. Each respondent makes an estimated 1 annual response. Each response takes approximately 5 hours to complete. Thus, the total compliance burden per year is 3975 burden hours. The total compliance cost for the respondents is approximately $223,593.75, resulting in a cost of compliance for the respondent per PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 10501 response of approximately $281.25 (i.e., $223,593.75/795 responses). Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be 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. Comments should be directed 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. Comments must be submitted within 60 days of this notice. Dated: February 19, 2008. Florence E. Harmon, Deputy Secretary. [FR Doc. E8–3665 Filed 2–26–08; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: US Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rule 103; OMB Control No. 3235–0466; SEC File No. 270–410. 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 collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. • Rule 103 of Regulation M (17 CFR 242.103)—Nasdaq Passive Market Making Rule 103 permits passive marketmaking in Nasdaq securities during a distribution. A distribution participant E:\FR\FM\27FEN1.SGM 27FEN1 10502 Federal Register / Vol. 73, No. 39 / Wednesday, February 27, 2008 / Notices that seeks use of this exception would be required to disclose to third parties its intention to engage in passive market making. There are approximately 214 respondents per year that require an aggregate total of 214 hours to comply with this rule. Each respondent makes an estimated 1 annual response. Each response takes approximately 1 hour to complete. Thus, the total compliance burden per year is 214 burden hours. The total compliance cost for the respondents is approximately $12,037.50, resulting in a cost of compliance for the respondent per response of approximately $56.25 (i.e., $12,037.50 / 214 responses). Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be 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. Comments should be directed 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. Comments must be submitted within 60 days of this notice. Dated: February 19, 2008. Florence E. Harmon, Deputy Secretary. [FR Doc. E8–3666 Filed 2–26–08; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION jlentini on PROD1PC65 with NOTICES Proposed Collection; Comment Request Upon Written Request, Copies Available From: US Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rule 17f–2(e); OMB Control No. 3235– 0031; SEC File No. 270–37. VerDate Aug<31>2005 19:49 Feb 26, 2008 Jkt 214001 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 collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. • Rule 17f–2(e) (17 CFR 240.17f– 2(e))—Registration of Fiduciaries On November 18, 1982, effective November 22, 1982 (see 47 FR 54060, December 1, 1982), the Commission adopted Rule 17f–2(e) under the Securities Exchange Act of 1934 (15 U.S.C. 78a, et seq.) to require members of national securities exchanges, brokers, dealers, registered transfer agents, registered clearing agencies that claim exemption from the fingerprinting requirements of Rule 17f–2 to prepare and maintain a statement entitled ‘‘Notice Pursuant to Rule 17f–2,’’ supporting their claimed exemptions. This requirement assists the Commission and other regulatory agencies in ensuring compliance with Rule 17f–2. Notices prepared pursuant to Rule 17f–2(e) must be maintained for as long as the covered entity claims an exemption from the fingerprinting requirements of Rule 17f–2. The statement is necessary to ensure that the Commission and the public have adequate information about the entity claiming the exemption. There are approximately 75 respondents per year that requires an aggregate total of 38 hours to comply with this rule. Each respondent makes an estimated 1 annual response. Each response takes approximately 30 minutes to complete. Thus, the total compliance burden per year is approximately 38 burden hours. The approximate cost per hour is $20, resulting in a total cost of compliance for the respondent of approximately $760 (i.e., 38 hours × $20). Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be 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 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 comments and suggestions submitted in writing within 60 days of this publication. Comments should be directed 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. Comments must be submitted within 60 days of this notice. Dated: February 19, 2008. Florence E. Harmon, Deputy Secretary. [FR Doc. E8–3667 Filed 2–26–08; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; 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 102; OMB Control No. 3235–0467; SEC File No. 270–409. 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 collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. • Rule 102 of Regulation M (17 CFR 242.102)—Activities by Issuers and Selling Security Holders During a Distribution. Rule 102 prohibits distribution participants, issuers, and selling security holders from purchasing activities at specified times during a distribution of securities. Persons otherwise covered by these rules may seek to use several applicable exceptions such as an exclusion for actively traded reference securities and the maintenance of policies regarding information barriers between their affiliates. There are approximately 945 respondents per year that require an aggregate total of 1845 hours to comply with this rule. Each respondent makes an estimated 1 annual response. Each response takes approximately 1.95 hours to complete. Thus, the total compliance burden per year is E:\FR\FM\27FEN1.SGM 27FEN1

Agencies

[Federal Register Volume 73, Number 39 (Wednesday, February 27, 2008)]
[Notices]
[Pages 10501-10502]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-3666]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

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

Extension:
    Rule 103; OMB Control No. 3235-0466; SEC File No. 270-410.

    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 collection of 
information summarized below. The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget for extension and approval.
     Rule 103 of Regulation M (17 CFR 242.103)--Nasdaq Passive 
Market Making
    Rule 103 permits passive market-making in Nasdaq securities during 
a distribution. A distribution participant

[[Page 10502]]

that seeks use of this exception would be required to disclose to third 
parties its intention to engage in passive market making.
    There are approximately 214 respondents per year that require an 
aggregate total of 214 hours to comply with this rule. Each respondent 
makes an estimated 1 annual response. Each response takes approximately 
1 hour to complete. Thus, the total compliance burden per year is 214 
burden hours. The total compliance cost for the respondents is 
approximately $12,037.50, resulting in a cost of compliance for the 
respondent per response of approximately $56.25 (i.e., $12,037.50 / 214 
responses).
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information to 
be 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.
    Comments should be directed 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. Comments must be submitted within 
60 days of this notice.

    Dated: February 19, 2008.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E8-3666 Filed 2-26-08; 8:45 am]
BILLING CODE 8011-01-P
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