Submission for OMB Review; Comment Request, 76069-76070 [E8-29508]
Download as PDF
<![CDATA[
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
pwalker on PROD1PC71 with NOTICES
76070
Federal Register / Vol. 73, No. 241 / Monday, December 15, 2008 / Notices
Comptroller of the Currency, the Board
of Governors of the Federal Reserve
System, the Federal Deposit Insurance
Corporation, or the Office of Thrift
Supervision, and to amend their
registrations if the information becomes
inaccurate, misleading, or incomplete.
Paragraph 1 of Rule 17Ac–2, requires
transfer agents to file a Form TA–1
application for registration with the
Commission where the Commission is
their appropriate regulatory agency.
Transfer agents must also file an
amended Form TA–1 application for
registration if the existing Form TA–1
becomes inaccurate, misleading, or
incomplete. The Form TA–1s must be
filed with the Commission
electronically, absent an exemption, on
EDGAR pursuant to Regulation S–T (17
CFR 232).
The Commission receives on an
annual basis approximately 100
applications for registration on Form
TA–1 from transfer agents required to
register with the Commission. Included
in this figure are amendments to Form
TA–1 as required by Paragraph (c) of
Rule 17Ac2–1 to address information
that has become inaccurate, misleading,
or incomplete. Based on past
submissions, the staff estimates that the
average number of hours necessary to
comply with the requirements of Rule
17Ac–1 and Form TA–1 is one and onehalf hours with a total burden of 150
hours per year.
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 the use of
automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted
within 60 days of this publication.
Comments should be directed to
Lewis A. 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.
Dated: December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–29508 Filed 12–12–08; 8:45 am]
BILLING CODE 8011–01–P
VerDate Aug<31>2005
20:00 Dec 12, 2008
Jkt 217001
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
BILLING CODE 8011–01–P
Upon written request, copies available
from: U.S. Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension: Rule 24b–1, OMB Control No.
3235–0194, SEC File No. 270–205.
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 24b–1 (17 CFR
240.24b–1).
Rule 24b–1 under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) requires a national securities
exchange to keep and make available for
public inspection a copy of its
registration statement and exhibits filed
with the Commission, along with any
amendments thereto.
There are eleven national securities
exchanges that spend approximately
one half hour each complying with this
rule, for an aggregate total compliance
burden of five and one half hours per
year. The staff estimates that the average
cost per respondent is $65.18 per year,
calculated as the costs of copying
($13.97) plus storage ($51.21), resulting
in a total cost of compliance for the
respondents of $716.98.
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.
PO 00000
Frm 00081
Fmt 4703
Sfmt 4703
Dated: December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–29509 Filed 12–12–08; 8:45 am]
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
28528; 813–332]
TWB Investment Partnership, L.P., et
al.; Notice of Application
Date: December 9, 2008.
AGENCY: Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice of application for an
order under sections 6(b) and 6(e) of the
Investment Company Act of 1940 (the
‘‘Act’’) exempting applicants from all
provisions of the Act, except section 9
and sections 36 through 53, and the
rules and regulations under the Act.
With respect to sections 17 and 30 of the
Act, and the rules and regulations
thereunder, and rule 38a–1 under the
Act, the exemption is limited as set
forth in the application.
SUMMARY OF APPLICATION: Applicants
request an order to exempt certain
investment vehicles formed for the
benefit of partners and key eligible
current and former employees of
Perkins Coie LLP (‘‘Perkins’’) and
certain of its affiliates from certain
provisions of the Act. Each such entity
will be an ‘‘employees’ securities
company’’ within the meaning of
section 2(a)(13) of the Act.
APPLICANTS: TWB Investment
Partnership, L.P. and TWB Investment
Partnership II, L.P. (collectively, the
‘‘Investment Funds’’), and Perkins.
FILING DATES: The application was filed
on April 3, 2001, and amended on
February 6, 2004 and November 26,
2008.
HEARING OR NOTIFICATION OF HEARING: An
order granting the application will be
issued unless the Commission orders a
hearing. Interested persons may request
a hearing by writing to the
Commission’s Secretary and serving
applicants with a copy of the request,
personally or by mail. Hearing requests
should be received by the Commission
by 5:30 p.m. on January 5, 2009 and
should be accompanied by proof of
service on applicants, in the form of an
affidavit or, for lawyers, a certificate of
service. Hearing requests should state
the nature of the writer’s interest, the
reason for the request, and the issues
contested. Persons who wish to be
notified of a hearing may request
E:\FR\FM\15DEN1.SGM
15DEN1
]]>Agencies
[Federal Register Volume 73, Number 241 (Monday, December 15, 2008)]
[Notices]
[Pages 76069-76070]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-29508]
-----------------------------------------------------------------------
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
[[Page 76070]]
Comptroller of the Currency, the Board of Governors of the Federal
Reserve System, the Federal Deposit Insurance Corporation, or the
Office of Thrift Supervision, and to amend their registrations if the
information becomes inaccurate, misleading, or incomplete.
Paragraph 1 of Rule 17Ac-2, requires transfer agents to file a Form
TA-1 application for registration with the Commission where the
Commission is their appropriate regulatory agency. Transfer agents must
also file an amended Form TA-1 application for registration if the
existing Form TA-1 becomes inaccurate, misleading, or incomplete. The
Form TA-1s must be filed with the Commission electronically, absent an
exemption, on EDGAR pursuant to Regulation S-T (17 CFR 232).
The Commission receives on an annual basis approximately 100
applications for registration on Form TA-1 from transfer agents
required to register with the Commission. Included in this figure are
amendments to Form TA-1 as required by Paragraph (c) of Rule 17Ac2-1 to
address information that has become inaccurate, misleading, or
incomplete. Based on past submissions, the staff estimates that the
average number of hours necessary to comply with the requirements of
Rule 17Ac-1 and Form TA-1 is one and one-half hours with a total burden
of 150 hours per year.
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 the use of automated collection techniques or
other forms of information technology. Consideration will be given to
comments and suggestions submitted within 60 days of this publication.
Comments should be directed to Lewis A. 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.
Dated: December 8, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-29508 Filed 12-12-08; 8:45 am]
BILLING CODE 8011-01-P
