Proposed Collection; Comment Request, 3116 [E9-880]
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Federal Register / Vol. 74, No. 11 / Friday, January 16, 2009 / Notices
comments should be received within 60
days of this notice.
Charles Mierzwa,
Clearance Officer.
[FR Doc. E9–970 Filed 1–15–09; 8:45 am]
BILLING CODE 7905–01–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.
mstockstill on PROD1PC66 with NOTICES
Extension: Rules 17Ad–6 and 17Ad–7; OMB
Control No. 3235–0291; SEC File No.
270–151.
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 existing collection of information
provided for in Rules 17Ad–6 and
17Ad–7 (17 CFR 240.17Ad–6 and –7)
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
for extension and approval.
Rule 17Ad–6 under the Exchange Act
requires every registered transfer agent
to make and keep current records about
a variety of information, such as: (1)
Specific operational data regarding the
time taken to perform transfer agent
activities (to ensure compliance with
the minimum performance standards in
Rule 17Ad–2 (17 CFR 240.17Ad–2); (2)
written inquiries and requests by
shareholders and broker-dealers and
response time thereto; (3) resolutions,
contracts or other supporting documents
concerning the appointment or
termination of the transfer agent; (4)
stop orders or notices of adverse claims
to the securities; and (5) all canceled
registered securities certificates.
Rule 17Ad–7 under the Securities
Exchange Act of 1934 (15 U.S.C. 78b et
seq.) requires each registered transfer
agent to retain the records specified in
Rule 17Ad–6 in an easily accessible
place for a period of six months to six
years, depending on the type of record
or document. Rule 17Ad–7 also
specifies the manner in which records
may be maintained using electronic,
microfilm, and microfiche storage
methods.
These recordkeeping requirements are
designed to ensure that all registered
VerDate Nov<24>2008
19:02 Jan 15, 2009
Jkt 217001
transfer agents are maintaining the
records necessary for them to monitor
and keep control over their own
performance and for the Commission to
adequately examine registered transfer
agents on an historical basis for
compliance with applicable rules.
The Commission estimates that
approximately 600 registered transfer
agents will spend a total of 300,000
hours per year complying with Rules
17Ad–6 and 17Ad–7 (500 hours per year
per transfer agent).
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
Charles Boucher, 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: January 12, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–880 Filed 1–15–09; 8:45 am]
BILLING CODE 8011–01–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.
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
The purpose of Form 12b–25 (17 CFR
240.12b–25) is to provide notice to the
Commission and the marketplace that a
public company will be unable to timely
file a required periodic report or
transition report pursuant to the
Securities Exchange Act of 1934 (15
U.S.C 78a et seq.). If all the filing
conditions of the form are met, the
company is granted an automatic filing
extension. Form 12b–25 is filed by
publicly held companies.
Approximately 7,799 registrants file
Form 12b–25 and it takes approximately
2.5 hours per response for a total of
19,498 burden hours.
Written comments are invited on: (a)
Whether this 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 imposed by 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 Charles Boucher, 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: January 12, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–929 Filed 1–15–09; 8:45 am]
BILLING CODE 8011–01–P
Extension:
Form 12b–25, OMB Control No. 3235–
0058, SEC File No. 270–71.
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
PO 00000
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]]>Agencies
[Federal Register Volume 74, Number 11 (Friday, January 16, 2009)]
[Notices]
[Page 3116]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-880]
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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: Rules 17Ad-6 and 17Ad-7; OMB Control No. 3235-0291; SEC
File No. 270-151.
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 existing
collection of information provided for in Rules 17Ad-6 and 17Ad-7 (17
CFR 240.17Ad-6 and -7) 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 for extension and approval.
Rule 17Ad-6 under the Exchange Act requires every registered
transfer agent to make and keep current records about a variety of
information, such as: (1) Specific operational data regarding the time
taken to perform transfer agent activities (to ensure compliance with
the minimum performance standards in Rule 17Ad-2 (17 CFR 240.17Ad-2);
(2) written inquiries and requests by shareholders and broker-dealers
and response time thereto; (3) resolutions, contracts or other
supporting documents concerning the appointment or termination of the
transfer agent; (4) stop orders or notices of adverse claims to the
securities; and (5) all canceled registered securities certificates.
Rule 17Ad-7 under the Securities Exchange Act of 1934 (15 U.S.C.
78b et seq.) requires each registered transfer agent to retain the
records specified in Rule 17Ad-6 in an easily accessible place for a
period of six months to six years, depending on the type of record or
document. Rule 17Ad-7 also specifies the manner in which records may be
maintained using electronic, microfilm, and microfiche storage methods.
These recordkeeping requirements are designed to ensure that all
registered transfer agents are maintaining the records necessary for
them to monitor and keep control over their own performance and for the
Commission to adequately examine registered transfer agents on an
historical basis for compliance with applicable rules.
The Commission estimates that approximately 600 registered transfer
agents will spend a total of 300,000 hours per year complying with
Rules 17Ad-6 and 17Ad-7 (500 hours per year per transfer agent).
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 Charles Boucher, 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: January 12, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-880 Filed 1-15-09; 8:45 am]
BILLING CODE 8011-01-P
