Submission for OMB Review; Comment Request, 76069 [E8-29507]
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Federal Register / Vol. 73, No. 241 / Monday, December 15, 2008 / Notices
Compliance with Rule 12f–1 is
mandatory. Rule 12f–1 does not have a
record retention requirement per se.
However, responses made pursuant to
Rule 12f–1 are subject to the
recordkeeping requirements of Rules
17a–3 and 17a–4 of the Act. Information
received in response to Rule 12f–1 shall
not be kept confidential; the information
collected is public information.
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
control number.
Comments should be directed to: (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 by
sending an e-mail to:
nfraser@omb.eop.gov; and (ii) Lewis W.
Walker, Acting 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. Comments
must be submitted within 30 days of
this notice.
Dated: December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–29506 Filed 12–12–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon written request, copies available
from: U.S. Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
pwalker on PROD1PC71 with NOTICES
Extension: Rule 12f–3; OMB Control No.
3235–0249; SEC File No. 270–141.
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’’) has submitted to the
Office of Management and Budget
requests for extension of the previously
approved collection of information
provided for in the following rule: Rule
12f–3 (17 CFR 240.12f–3).
Rule 12f–3 (the ‘‘Rule’’), which was
originally adopted in 1934 pursuant to
sections 12(f) and 23(a) of the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (‘‘Act’’), as modified in 1995,
prescribes the information which must
VerDate Aug<31>2005
20:00 Dec 12, 2008
Jkt 217001
be included in applications for and
notices of termination or suspension of
unlisted trading privileges for a security
as contemplated in section 12(f)(4) of
the Act. An application must provide,
among other things, the name of the
applicant; a brief statement of the
applicant’s interest in the question of
termination or suspension of such
unlisted trading privileges; the title of
the security; the name of the issuer;
certain information regarding the size of
the class of security and its recent
trading history; and a statement
indicating that the applicant has
provided a copy of such application to
the exchange from which the
suspension or termination of unlisted
trading privileges are sought, and to any
other exchange on which the security is
listed or admitted to unlisted trading
privileges.
The information required to be
included in applications submitted
pursuant to Rule 12f–3 is intended to
provide the Commission with sufficient
information to make the necessary
findings under the Act to terminate or
suspend by order the unlisted trading
privileges granted a security on a
national securities exchange. Without
the Rule, the Commission would be
unable to fulfill these statutory
responsibilities.
The burden of complying with Rule
12f–3 arises when a potential
respondent, having a demonstrable bona
fide interest in the question of
termination or suspension of the
unlisted trading privileges of a security,
determines to seek such termination or
suspension. The staff estimates that
each such application to terminate or
suspend unlisted trading privileges
requires approximately one hour to
complete. Thus each potential
respondent would incur on average one
burden hour in complying with the
Rule.
The Commission staff estimates that
there could be as many as 11 responses
annually and that each respondent’s
related cost of compliance with Rule
12f–3 would be $168.00, or, the cost of
one hour of professional work needed to
complete the application. The total
annual related reporting cost for all
potential respondents, therefore, is
$1,848.00 (11 responses × $168.00/
response).
Compliance with the application
requirements of Rule 12f–3 is
mandatory, though the filing of such
applications is undertaken voluntarily.
Rule 12f–3 does not have a record
retention requirement per se. However,
responses made pursuant to Rule 12f–3
are subject to the recordkeeping
requirements of Rules 17a–3 and 17a–4
PO 00000
Frm 00080
Fmt 4703
Sfmt 4703
76069
of the Act. Information received in
response to Rule 12f–3 shall not be kept
confidential; the information collected
is public information.
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
control number.
Comments should be directed to: (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 by
sending an e-mail to:
nfraser@omb.eop.gov; and (ii) Lewis W.
Walker, Acting 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. Comments
must be submitted within 30 days of
this notice.
December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–29507 Filed 12–12–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
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 17Ac2–1, SEC File No. 270–
95, OMB Control No. 3235–0084.
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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the existing collection of
information provided for in the
following rule: Rule 17Ac2–1 (17 CFR
240.17Ac2–1) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (‘‘Exchange Act’’). The
Commission plans to submit this
existing collection of information to the
Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Rule 17Ac–2, pursuant to Section
17A(c) of the Exchange Act, generally
requires transfer agents to register with
their Appropriate Regulatory Agency
(‘‘ARA’’), whether the Commission, the
E:\FR\FM\15DEN1.SGM
15DEN1
]]>Agencies
[Federal Register Volume 73, Number 241 (Monday, December 15, 2008)]
[Notices]
[Page 76069]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-29507]
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SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; 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 12f-3; OMB Control No. 3235-0249; SEC File No. 270-
141.
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'') has submitted to the Office of Management
and Budget requests for extension of the previously approved collection
of information provided for in the following rule: Rule 12f-3 (17 CFR
240.12f-3).
Rule 12f-3 (the ``Rule''), which was originally adopted in 1934
pursuant to sections 12(f) and 23(a) of the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) (``Act''), as modified in 1995, prescribes
the information which must be included in applications for and notices
of termination or suspension of unlisted trading privileges for a
security as contemplated in section 12(f)(4) of the Act. An application
must provide, among other things, the name of the applicant; a brief
statement of the applicant's interest in the question of termination or
suspension of such unlisted trading privileges; the title of the
security; the name of the issuer; certain information regarding the
size of the class of security and its recent trading history; and a
statement indicating that the applicant has provided a copy of such
application to the exchange from which the suspension or termination of
unlisted trading privileges are sought, and to any other exchange on
which the security is listed or admitted to unlisted trading
privileges.
The information required to be included in applications submitted
pursuant to Rule 12f-3 is intended to provide the Commission with
sufficient information to make the necessary findings under the Act to
terminate or suspend by order the unlisted trading privileges granted a
security on a national securities exchange. Without the Rule, the
Commission would be unable to fulfill these statutory responsibilities.
The burden of complying with Rule 12f-3 arises when a potential
respondent, having a demonstrable bona fide interest in the question of
termination or suspension of the unlisted trading privileges of a
security, determines to seek such termination or suspension. The staff
estimates that each such application to terminate or suspend unlisted
trading privileges requires approximately one hour to complete. Thus
each potential respondent would incur on average one burden hour in
complying with the Rule.
The Commission staff estimates that there could be as many as 11
responses annually and that each respondent's related cost of
compliance with Rule 12f-3 would be $168.00, or, the cost of one hour
of professional work needed to complete the application. The total
annual related reporting cost for all potential respondents, therefore,
is $1,848.00 (11 responses x $168.00/response).
Compliance with the application requirements of Rule 12f-3 is
mandatory, though the filing of such applications is undertaken
voluntarily. Rule 12f-3 does not have a record retention requirement
per se. However, responses made pursuant to Rule 12f-3 are subject to
the recordkeeping requirements of Rules 17a-3 and 17a-4 of the Act.
Information received in response to Rule 12f-3 shall not be kept
confidential; the information collected is public information.
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 control number.
Comments should be directed to: (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 by sending an e-mail to:
nfraser@omb.eop.gov; and (ii) Lewis W. Walker, Acting 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. Comments must be submitted within 30 days
of this notice.
December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-29507 Filed 12-12-08; 8:45 am]
BILLING CODE 8011-01-P
