Proposed Collection; Comment Request, 39738 [E8-15641]
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39738
Federal Register / Vol. 73, No. 133 / Thursday, July 10, 2008 / Notices
can provide, and what, if any, actions
they have taken.
Use of the Investor Form is strictly
voluntary. Moreover, the SEC does not
require investors to submit complaints,
questions, tips, or other feedback.
Absent the forms, the public still has
several ways to contact the agency,
including telephone, facsimile, letters,
and e-mail. Nevertheless, the SEC
created these forms to make it easier for
the public to contact the agency with
complaints, questions, or tips. The
forms further streamline the workflow
of SEC staff who record, process, and
respond to investor contacts.
The staff of the SEC estimates that the
total reporting burden for using the
complaint and question forms is 5,000
hours. The calculation of this estimate
depends on the number of investors
who use the forms each year and the
estimated time it takes to complete the
forms: 20,000 respondents × 15 minutes
= 5,000 burden hours.
Members of the public should be
aware that an agency may not conduct
or sponsor, and a person is not required
to respond to, a collection of
information unless a currently valid
Office of Management and Budget
control number is displayed.
General comments regarding the
above information should be directed to
the following persons: (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 send an email to
Alexander_T._Hunt@omb.eop.gov; and
(ii) Lewis W. Walker, Acting Director
and 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 to OMB within 30 days of
this notice.
Dated: July 2, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–15640 Filed 7–9–08; 8:45 am]
BILLING CODE 8010–01–P
jlentini on PROD1PC65 with NOTICES
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon written request, copies available
from: Securities and Exchange
Commission, Office of Investor
VerDate Aug<31>2005
16:58 Jul 09, 2008
Jkt 214001
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 17Ab2–1, Form CA–1; SEC File No.
270–203; OMB Control No. 3235–0195.
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 17Ab2–1 and Form CA–1:
Registration of Clearing Agencies (17
CFR 240.17Ab2–1).
Rule 17Ab2–1 and Form CA–1 require
clearing agencies to register with the
Commission and to meet certain
requirements with regard to, among
other things, a clearing agency’s
organization, capacities, and rules. The
information is collected from the
clearing agency upon the initial
application for registration on Form
CA–1. Thereafter, information is
collected by amendment to the initial
Form CA–1 when material changes in
circumstances necessitate modification
of the information previously provided
to the Commission.
The Commission uses the information
disclosed on Form CA–1 to (i)
Determine whether an applicant meets
the standards for registration set forth in
Section 17A of the Securities Exchange
Act of 1934 (‘‘Exchange Act’’), (ii)
enforce compliance with the Exchange
Act’s registration requirement, and (iii)
provide information about specific
registered clearing agencies for
compliance and investigatory purposes.
Without Rule 17Ab2–1, the Commission
could not perform these duties as
statutorily required.
There are currently approximately six
operational clearing agencies and five
clearing agencies that have been granted
an exemption from registration. The
Commission staff estimates that each
initial Form CA–1 requires
approximately 130 hours to complete
and submit for approval. Hours required
for amendments to Form CA–1 that
must be submitted to the Commission in
connection with material changes to the
initial CA–1 can vary, depending upon
the nature and extent of the amendment.
Since the Commission only receives an
average of one submission per year, the
aggregate annual burden associated with
compliance with Rule 17Ab2–1 and
Form CA–1 is 130 hours. Based upon
the staff’s experience, the average cost to
clearing agencies of preparing and filing
PO 00000
Frm 00093
Fmt 4703
Sfmt 4703
the initial Form CA–1 is estimated to be
$18,000.
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 Lewis W. Walker, Acting 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: July 2, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–15641 Filed 7–9–08; 8:45 am]
BILLING CODE 8010–01–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 17Ad–3(b); SEC File No. 270–424;
OMB Control No. 3235–0473.
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 17Ad–3(b) (17 CFR 240.17Ad–
3(b)).
Rule 17Ad–3(b) requires registered
transfer agents that for each of two
consecutive months have failed to
turnaround at least 75% of all routine
items in accordance with the
requirements of Rule 17Ad–2(a) or to
E:\FR\FM\10JYN1.SGM
10JYN1
]]>Agencies
[Federal Register Volume 73, Number 133 (Thursday, July 10, 2008)]
[Notices]
[Page 39738]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-15641]
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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 17Ab2-1, Form CA-1; SEC File No. 270-203; OMB Control No.
3235-0195.
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 17Ab2-1 and Form CA-1: Registration of Clearing
Agencies (17 CFR 240.17Ab2-1).
Rule 17Ab2-1 and Form CA-1 require clearing agencies to register
with the Commission and to meet certain requirements with regard to,
among other things, a clearing agency's organization, capacities, and
rules. The information is collected from the clearing agency upon the
initial application for registration on Form CA-1. Thereafter,
information is collected by amendment to the initial Form CA-1 when
material changes in circumstances necessitate modification of the
information previously provided to the Commission.
The Commission uses the information disclosed on Form CA-1 to (i)
Determine whether an applicant meets the standards for registration set
forth in Section 17A of the Securities Exchange Act of 1934 (``Exchange
Act''), (ii) enforce compliance with the Exchange Act's registration
requirement, and (iii) provide information about specific registered
clearing agencies for compliance and investigatory purposes. Without
Rule 17Ab2-1, the Commission could not perform these duties as
statutorily required.
There are currently approximately six operational clearing agencies
and five clearing agencies that have been granted an exemption from
registration. The Commission staff estimates that each initial Form CA-
1 requires approximately 130 hours to complete and submit for approval.
Hours required for amendments to Form CA-1 that must be submitted to
the Commission in connection with material changes to the initial CA-1
can vary, depending upon the nature and extent of the amendment. Since
the Commission only receives an average of one submission per year, the
aggregate annual burden associated with compliance with Rule 17Ab2-1
and Form CA-1 is 130 hours. Based upon the staff's experience, the
average cost to clearing agencies of preparing and filing the initial
Form CA-1 is estimated to be $18,000.
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 Lewis W. Walker, Acting
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: July 2, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-15641 Filed 7-9-08; 8:45 am]
BILLING CODE 8010-01-P
