Submission for OMB Review; Comment Request, 76066-76067 [E8-29503]
Download as PDF
<![CDATA[
76066
Federal Register / Vol. 73, No. 241 / Monday, December 15, 2008 / Notices
Room 10230, New Executive Office
Building, Washington, DC 20503.
Charles Mierzwa,
Clearance Officer.
[FR Doc. E8–29639 Filed 12–12–08; 8:45 am]
BILLING CODE 7905–01–P
RAILROAD RETIREMENT BOARD
Agency Forms Submitted for OMB
Review, Request for Comments
SUMMARY: In accordance with the
Paperwork Reduction Act of 1995 (44
U.S.C. Chapter 35), the Railroad
Retirement Board (RRB) is forwarding
an Information Collection Request (ICR)
to the Office of Information and
Regulatory Affairs (OIRA), Office of
Management and Budget (OMB) to
request an extension without change of
a currently approved collection of
information: 3220–0082, Medicare. Our
ICR describes the information we seek
to collect from the public. Review and
approval by OIRA ensures that we
impose appropriate paperwork burdens.
The RRB invites comments on the
proposed collection of information to
determine (1) the practical utility of the
collection; (2) the accuracy of the
estimated burden of the collection; (3)
ways to enhance the quality, utility and
clarity of the information that is the
subject of collection; and (4) ways to
minimize the burden of collections on
respondents, including the use of
automated collection techniques or
other forms of information technology.
Comments to RRB or OIRA must contain
the OMB control number of the ICR. For
proper consideration of your comments,
it is best if RRB and OIRA receive them
within 30 days of publication date.
Under Section 7(d) of the Railroad
Retirement Act (RRA), the Railroad
Retirement Board (RRB) administers the
Medicare program for persons covered
by the railroad retirement system. The
RRB uses Form AA–6, Employee
Application for Medicare; Form AA–7,
Spouse/Divorced Spouse Application
For Medicare; and Form AA–8, Widow/
Widower Application for Medicare; to
obtain the information needed to
determine whether individuals who
have not yet filed for benefits under the
RRA are qualified for Medicare
payments provided under Title XVIII of
the Social Security Act.
Further, in order for the RRB to
determine if a qualified railroad
retirement beneficiary who is claiming
supplementary medical insurance
coverage under Medicare is entitled to
a Special Enrollment Period (SEP) and/
or premium surcharge relief because of
coverage under an Employer Group
Health Plan (EGHP), it needs to obtain
information regarding the claimant’s
EGHP coverage, if any. The RRB uses
Form RL–311–F, Evidence of Coverage
Under an Employer Group Health Plan,
to obtain the basic information needed
by the RRB to establish EGHP coverage
for a qualified railroad retirement
beneficiary. Completion of the forms is
required to obtain a benefit. One
response is requested of each
respondent.
Previous Requests for Comments: The
RRB has already published the initial
60-day notice (73 FR 34965 and 34966
on June 19, 2008) required by 44 U.S.C.
3506(c)(2). That request elicited no
comments.
Information Collection Request (ICR)
Title: Medicare.
OMB Control Number: OMB 3220–
0082.
Form(s) submitted: AA–6, AA–7, AA–
8, RL–311–F.
Expiration date of current OMB
clearance: 12/31/2008.
Type of request: Revision of a
currently approved collection of
information.
Affected public: Individuals or
households; Business-or-other for profit.
Abstract: The Railroad Retirement
Board administers the Medicare
program for persons covered by the
railroad retirement system. The forms in
the collection obtain information
needed to enroll non-retired employees
and survivor applicants in the plan and
also obtain information from railroad
employers needed to determine if a
railroad retirement beneficiary is
entitled to a special enrollment period
when applying for supplemental
medical coverage under Medicare.
Changes Proposed: The RRB proposes
no changes to Forms AA–6, AA–7 and
AA–8. Form RL–311–F is being revised
to add an item which asks if the
employee is still working. This
information is being added to clarify the
employment status of the employee and
is need to determine the Special
Enrollment Period.
The burden estimate for the ICR is as
follows:
The estimated annual respondent
burden is as follows:
Annual
responses
Form number
Time
(min)
Burden
hours
180
50
10
800
8
8
8
10
24
7
1
133
Total ..........................................................................................................................
pwalker on PROD1PC71 with NOTICES
AA–6 ................................................................................................................................
AA–7 ................................................................................................................................
AA–8 ................................................................................................................................
RL–311–F ........................................................................................................................
1,040
............................
165
Additional Information or Comments:
Copies of the form and supporting
documents can be obtained from
Charles Mierzwa, the agency clearance
officer at (312–751–3363) or
Charles.Mierzwa@rrb.gov.
Comments regarding the information
collection should be addressed to
Ronald J. Hodapp, Railroad Retirement
Board, 844 North Rush Street, Chicago,
Illinois 60611–2092 or
Ronald.Hodapp@rrb.gov and to the
OMB Desk Officer for the RRB, at the
Office of Management and Budget,
VerDate Aug<31>2005
20:00 Dec 12, 2008
Jkt 217001
Room 10230, New Executive Office
Building, Washington, DC 20503.
SECURITIES AND EXCHANGE
COMMISSION
Charles Mierzwa,
Clearance Officer.
[FR Doc. E8–29643 Filed 12–12–08; 8:45 am]
Submission for OMB Review;
Comment Request
BILLING CODE 7905–01–P
Upon written request, copies available
from: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
PO 00000
Extension: Rule 31a–1, SEC File No. 270–
173, OMB Control No. 3235–0178.
Frm 00077
Fmt 4703
Sfmt 4703
E:\FR\FM\15DEN1.SGM
15DEN1
pwalker on PROD1PC71 with NOTICES
Federal Register / Vol. 73, No. 241 / Monday, December 15, 2008 / Notices
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501–3520), the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget a
request for extension of the previously
approved collection of information
discussed below.
Rule 31a–1 (17 CFR 270.31a–1) under
the Investment Company Act of 1940
(the ‘‘Act’’) (15 U.S.C. 80a) is entitled
‘‘Records to be maintained by registered
investment companies, certain majorityowned subsidiaries thereof, and other
persons having transactions with
registered investment companies.’’ Rule
31a–1 requires registered investment
companies (‘‘funds’’), and every
underwriter, broker, dealer, or
investment adviser that is a majorityowned subsidiary of a fund, to maintain
and keep current accounts, books, and
other documents which constitute the
record forming the basis for financial
statements required to be filed pursuant
to section 31 of the Act (15 U.S.C. 80a–
30) and of the auditor’s certificates
relating thereto. The rule lists specific
records to be maintained by funds. The
rule also requires certain underwriters,
brokers, dealers, depositors, and
investment advisers to maintain the
records that they are required to
maintain under federal securities laws.
The Commission periodically inspects
the operations of funds to insure their
compliance with the provisions of the
Act and the rules thereunder. The books
and records required to be maintained
by rule 31a–1 constitute a major focus
of the Commission’s inspection
program.
There are approximately 4621
investment companies registered with
the Commission, all of which are
required to comply with rule 31a–1. For
purposes of determining the burden
imposed by rule 31a–1, the Commission
staff estimates that each fund is divided
into approximately four series, on
average, and that each series is required
to comply with the recordkeeping
requirements of rule 31a–1. Based on
conversations with fund representatives,
it is estimated that rule 31a–1 imposes
an average burden of approximately
1750 hours annually per series for a
total of 7000 annual hours per fund. The
estimated total annual burden for all
4621 investment companies subject to
the rule therefore is approximately
32,347,000 hours. Based on
conversations with fund representatives,
however, the Commission staff
estimates that even absent the
requirements of rule 31a–1, 90 percent
of the records created pursuant to the
rule are the type that generally would be
VerDate Aug<31>2005
20:00 Dec 12, 2008
Jkt 217001
created as a matter of normal business
practice and to prepare financial
statements. Thus, the Commission staff
estimates that the total annual burden
associated with rule 31a–1 is 3,234,700
hours.
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. The
collection of information required by
rule 31a–1 is mandatory. Responses will
not be kept confidential. The records
required by rule 31a–1 are required to
be preserved pursuant to rule 31a–2
under the Investment Company Act (17
CFR 270.31a–2). Rule 31a–2 requires
that certain of these records be
preserved permanently, and that others
be preserved six years from the end of
the fiscal year in which any transaction
occurred. In both cases, the records
should be kept in an easily accessible
place for the first two years. 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 OMB control
number.
Please direct general comments
regarding the above information to the
following persons: (i) Desk Officer for
the Securities and Exchange
Commission, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503
or e-mail to: nfraser@omb.eop.gov; and
(ii) Lewis W. Walker, Acting Director/
CIO, 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: December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–29503 Filed 12–12–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
76067
and Exchange Commission (the
‘‘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.
Form ADV–E (17 CFR 279.8) is the
cover sheet for accountant examination
certificates filed pursuant to rule
206(4)–2 (17 CFR 275.206(4)–2) under
the Investment Advisers Act of 1940 (15
U.S.C. 80b–1 et seq.) by certain
investment advisers retaining custody of
client securities or funds. Respondents
each spend approximately three
minutes, annually, complying with the
requirements of the form.
The estimate of burden hours set forth
above is made solely for the purposes of
the Paperwork Reduction Act and is not
derived from a comprehensive or
representative survey or study of the
cost of Commission rules and forms.
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/
CIO, 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: December 5, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–29504 Filed 12–12–08; 8:45 am]
BILLING CODE 8011–01–P
Comment Request
Upon written request, copies available
from: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
SECURITIES AND EXCHANGE
COMMISSION
Extension: Form ADV–E, Sec File No. 270–
318, OMB Control No. 3235–0361.
Upon written request, copies available
from: U.S. Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
PO 00000
Frm 00078
Fmt 4703
Sfmt 4703
Submission for OMB Review;
Comment Request
E:\FR\FM\15DEN1.SGM
15DEN1
]]>Agencies
[Federal Register Volume 73, Number 241 (Monday, December 15, 2008)]
[Notices]
[Pages 76066-76067]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-29503]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; Comment Request
Upon written request, copies available from: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension: Rule 31a-1, SEC File No. 270-173, OMB Control No. 3235-
0178.
[[Page 76067]]
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501-3520), the Securities and Exchange Commission
(``Commission'') has submitted to the Office of Management and Budget a
request for extension of the previously approved collection of
information discussed below.
Rule 31a-1 (17 CFR 270.31a-1) under the Investment Company Act of
1940 (the ``Act'') (15 U.S.C. 80a) is entitled ``Records to be
maintained by registered investment companies, certain majority-owned
subsidiaries thereof, and other persons having transactions with
registered investment companies.'' Rule 31a-1 requires registered
investment companies (``funds''), and every underwriter, broker,
dealer, or investment adviser that is a majority-owned subsidiary of a
fund, to maintain and keep current accounts, books, and other documents
which constitute the record forming the basis for financial statements
required to be filed pursuant to section 31 of the Act (15 U.S.C. 80a-
30) and of the auditor's certificates relating thereto. The rule lists
specific records to be maintained by funds. The rule also requires
certain underwriters, brokers, dealers, depositors, and investment
advisers to maintain the records that they are required to maintain
under federal securities laws. The Commission periodically inspects the
operations of funds to insure their compliance with the provisions of
the Act and the rules thereunder. The books and records required to be
maintained by rule 31a-1 constitute a major focus of the Commission's
inspection program.
There are approximately 4621 investment companies registered with
the Commission, all of which are required to comply with rule 31a-1.
For purposes of determining the burden imposed by rule 31a-1, the
Commission staff estimates that each fund is divided into approximately
four series, on average, and that each series is required to comply
with the recordkeeping requirements of rule 31a-1. Based on
conversations with fund representatives, it is estimated that rule 31a-
1 imposes an average burden of approximately 1750 hours annually per
series for a total of 7000 annual hours per fund. The estimated total
annual burden for all 4621 investment companies subject to the rule
therefore is approximately 32,347,000 hours. Based on conversations
with fund representatives, however, the Commission staff estimates that
even absent the requirements of rule 31a-1, 90 percent of the records
created pursuant to the rule are the type that generally would be
created as a matter of normal business practice and to prepare
financial statements. Thus, the Commission staff estimates that the
total annual burden associated with rule 31a-1 is 3,234,700 hours.
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. The collection
of information required by rule 31a-1 is mandatory. Responses will not
be kept confidential. The records required by rule 31a-1 are required
to be preserved pursuant to rule 31a-2 under the Investment Company Act
(17 CFR 270.31a-2). Rule 31a-2 requires that certain of these records
be preserved permanently, and that others be preserved six years from
the end of the fiscal year in which any transaction occurred. In both
cases, the records should be kept in an easily accessible place for the
first two years. 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 OMB control number.
Please direct general comments regarding the above information to
the following persons: (i) Desk Officer for the Securities and Exchange
Commission, Office of Management and Budget, Room 10102, New Executive
Office Building, Washington, DC 20503 or e-mail to:
nfraser@omb.eop.gov; and (ii) Lewis W. Walker, Acting Director/CIO,
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: December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-29503 Filed 12-12-08; 8:45 am]
BILLING CODE 8011-01-P
