Data Collection Available for Public Comments and Recommendations, 7505-7506 [E9-3182]

Download as PDF Federal Register / Vol. 74, No. 30 / Tuesday, February 17, 2009 / Notices Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m. EST on February 12, 2009, through 11:59 p.m. EST on February 26, 2009. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. E9–3377 Filed 2–12–09; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–59376; File No. SR– NYSEArca–2008–139] Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending the Minor Rule Plan To Increase Certain Sanctions February 10, 2009. On December 17, 2008, NYSE Arca, Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change amending NYSE Arca Rule 10.12 (Minor Rule Plan) (‘‘MRP’’) to increase the sanctions for certain market maker quoting and trading rule violations and to make other minor changes. The proposed rule change was published for comment in the Federal Register on January 7, 2009.3 The Commission received no comments regarding the proposal. This order approves the proposed rule change. The Exchange has proposed to increase the fine levels for certain market maker quoting and trading rules violations.4 The fine levels for such violations are currently $500 (1st offense), $1,000 (2nd offense), and $1,500–$2,500 (3rd offense). The proposed rule change would increase the fine levels to $1,000 (1st offense), 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 59191 (December 31, 2008), 74 FR 757. 4 The proposed increased fines would apply to violations of the following requirements: (i) At least 75% of the trading activity of a market maker be in classes within the market maker’s appointment (Rules 6.35, Commentary .03 and 6.37(h)(5)); (ii) at least 60% of a market maker’s transactions be executed by the market maker in person or through an approved facility of the Exchange (Rule 6.37(d)); (iii) market makers on NYSE Arca apply for an appointment in one or more classes of options contracts (Rule 6.35); (iv) market makers, including lead market makers, must comply with certain quoting obligations (Rule 6.37B); and (v) market makers provide accurate quotations and quote markets within the prescribed maximum quote spread differentials (Rules 6.37(b)(1), 6.82(c)(1), and 6.37A(b)). sroberts on PROD1PC70 with NOTICES 2 17 VerDate Nov<24>2008 19:45 Feb 13, 2009 Jkt 217001 $2,500 (2nd offense), and $3,500 (3rd offense). The Exchange believes that the current fine levels for such violations are too low, given the serious nature of such offenses, and that the proposed increases are necessary to be an effective deterrent against future violations and a just penalty for such violations. The Exchange also proposed a few other minor changes to correct an erroneous rule reference and to include an inadvertent omission 5 in its MRP. The Commission finds that the proposal is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.6 In particular, the Commission believes that the proposal is consistent with Section 6(b)(5) of the Act,7 which requires that the rules of an exchange be designed to, among other things, protect investors and the public interest. The Commission also believes that the proposal is consistent with Sections 6(b)(1) and 6(b)(6) of the Act,8 which require that the rules of an exchange enforce compliance with, and provide appropriate discipline for, violations of Commission and Exchange rules. Furthermore, the Commission believes that the proposed changes to the MRP should strengthen the Exchange’s ability to carry out its oversight and enforcement responsibilities as a selfregulatory organization in cases where full disciplinary proceedings are unsuitable in view of the minor nature of the particular violation. Therefore, the Commission finds that the proposal is consistent with the public interest, the protection of investors, or otherwise in furtherance of the purposes of the Act, as required by Rule 19d–1(c)(2) under the Act,9 which governs minor rule violation plans. In approving this proposed rule change, the Commission in no way minimizes the importance of compliance with NYSE Arca rules and all other rules subject to the imposition of fines under the MRP. The Commission believes that the violation of any self-regulatory organization’s rules, as well as Commission rules, is a serious matter. However, the MRP provides a reasonable means of addressing rule violations that do not rise to the level of requiring formal 5 The Exchange has proposed to add violations of Rule 6.37A(b) to the MRP, stating that the reference to this rule was inadvertently left off the MRP. 6 In approving this proposed rule change, the Commission notes that it has considered the proposed rule’s impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 7 15 U.S.C. 78f(b)(5). 8 15 U.S.C. 78f(b)(1) and 78f(b)(6). 9 17 CFR 240.19d–1(c)(2). PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 7505 disciplinary proceedings, while providing greater flexibility in handling certain violations. The Commission expects that NYSE Arca will continue to conduct surveillance with due diligence and make a determination based on its findings, on a case-by-case basis, whether a fine of more or less than the recommended amount is appropriate for a violation under the MRP or whether a violation requires formal disciplinary action under NYSE Arca Rules 10.4– 10.11. It is therefore ordered, pursuant to Section 19(b)(2) of the Act 10 and Rule 19d–1(c)(2) under the Act,11 that the proposed rule change (SR–NYSEArca– 2008–139), as amended, be, and hereby is, approved and declared effective. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.12 Florence E. Harmon, Deputy Secretary. [FR Doc. E9–3230 Filed 2–13–09; 8:45 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION Data Collection Available for Public Comments and Recommendations ACTION: Notice and request for comments. SUMMARY: In accordance with the Paperwork Reduction Act of 1995, this notice announces the Small Business Administration’s intentions to request approval on a new and/or currently approved information collection. DATES: Submit comments on or before April 20, 2009. ADDRESSES: Send all comments regarding whether this information collection is necessary for the proper performance of the function of the agency, whether the burden estimates are accurate, and if there are ways to minimize the estimated burden and enhance the quality of the collection, to Gail Hepler, Chief, 7a Loan Policy, Office of Financial Assistance, Small Business Administration, 409 3rd Street, 8th Floor, Washington, DC 20416. FOR FURTHER INFORMATION CONTACT: Gail Hepler, Chief, 7a Loan Policy Branch, Office of Financial Assistance, 202– 205–7530, gail.hepler@sba.gov; Curtis B. Rich, Management Analyst, 202–205– 7030, curtis.rich@sba.gov. SUPPLEMENTARY INFORMATION: The information collected through these 10 15 U.S.C. 78s(b)(2). CFR 240.19d–1(c)(2). 12 17 CFR 200.30–3(a)(12); 17 CFR 200.30– 3(a)(44). 11 17 E:\FR\FM\17FEN1.SGM 17FEN1 7506 Federal Register / Vol. 74, No. 30 / Tuesday, February 17, 2009 / Notices forms is used to receive essential information from the small business applicant and the participating lender to determine eligibility and to properly evaluate and consider the merits of each loan request based on each criteria as character, capacity, credit, collateral, etc. for the purpose of extending credit under the 7(a) program. Title: ‘‘Applications for Business Loans’’. Description of Respondents: Applicants applying for a SBA Loan. Form Numbers: 4, 4SCH–A, 4I, 4L. Annual Responses: 21,000. Annual Burden: 295,505. ADDRESSES: Send all comments regarding whether this information collection is necessary for the proper performance of the function of the agency, whether the burden estimates are accurate, and if there are ways to minimize the estimated burden and enhance the quality of the collection, to Barbara Brannan, Special Assistant, Office of Surety Bond Guarantee, Small Business Administration, 409 3rd Street, 8th Floor, Washington, DC 20416. FOR FURTHER INFORMATION CONTACT: Barbara Brannan, Special Assistant, Office of Surety Bond Guarantee Program, 202–205–6545, barbara.brannan@sba.gov; Curtis B. Rich, Management Analyst, 202–205– 7030, curtis.rich@sba.gov. SUPPLEMENTARY INFORMATION: SBA’s Surety Bond Guarantee (SBG) Program was created to encourage surety companies to provide bonding for small contractors. The information collected on these forms is used to evaluate the capability and potential success of small contractors in the SBG Program. Title: ‘‘Surety Bond Guarantee Assistance’’. Description of Respondents: Small Business Contractors Applying for the Surety Bond. Form Numbers: 990, 991, 994, 994B, 994F, 994H. Annual Responses: 17,916. Annual Burden: 1,959. SUMMARY: Under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35), agencies are required to submit proposed reporting and recordkeeping requirements to OMB for review and approval, and to publish a notice in the Federal Register notifying the public that the agency has made such a submission. DATES: Submit comments on or before March 19, 2009. If you intend to comment but cannot prepare comments promptly, please advise the OMB Reviewer and the Agency Clearance Officer before the deadline. Copies: Request for clearance (OMB 83–1), supporting statement, and other documents submitted to OMB for review may be obtained from the Agency Clearance Officer. ADDRESSES: Address all comments concerning this notice to: Agency Clearance Officer, Jacqueline White, Small Business Administration, 409 3rd Street, SW., 5th Floor, Washington, DC 20416; and OMB Reviewer, Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Washington, DC 20503. FOR FURTHER INFORMATION CONTACT: Jacqueline White, Agency Clearance Officer, (202) 205–7044. SUPPLEMENTARY INFORMATION: Title: Data Collection for SBIR/STTR Public and Government. SBA Form Number: N/A. Frequency: On occasion. Description of Respondents: All firms of individuals applying for a Phase I or Phase II award from the SBIR or STTR programs. Responses: 37,000. Annual Burden: 20,000. Title: Entrepreneurial Development Impact Study. SBA Form Number: 2214. Frequency: On occasion. Description of Respondents: SBA clients. Responses: 7,378. Annual Burden: 1,230. Jacqueline White, Chief, Administrative Information Branch. [FR Doc. E9–3182 Filed 2–13–09; 8:45 am] Curtis B. Rich, Acting Chief, Administrative Information Branch. [FR Doc. E9–3183 Filed 2–13–09; 8:45 am] BILLING CODE 8025–01–P BILLING CODE 8025–01–P sroberts on PROD1PC70 with NOTICES SMALL BUSINESS ADMINISTRATION Reporting and Recordkeeping Requirements Under OMB Review Small Business Administration. Notice of Reporting Requirements Submitted for OMB Review. AGENCY: ACTION: VerDate Nov<24>2008 19:45 Feb 13, 2009 Jkt 217001 SOCIAL SECURITY ADMINISTRATION Agency Information Collection Activities: Proposed Request and Comment Request The Social Security Administration (SSA) publishes a list of information collection packages requiring clearance PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 by the Office of Management and Budget (OMB) in compliance with Public Law (Pub. L.) 104–13, the Paperwork Reduction Act of 1995, effective October 1, 1995. This notice includes revisions and extensions of OMB-approved Information Collections and a new collection. SSA is soliciting comments on the accuracy of the agency’s burden estimate; the need for the information; its practical utility; ways to enhance its quality, utility, and clarity; and ways to minimize the burden on respondents, including the use of automated collection techniques or other forms of information technology. Mail, email, or fax your comments and recommendations on the information collection(s) to the OMB Desk Officer and the SSA Reports Clearance Officer to the addresses or fax numbers listed below. (OMB), Office of Management and Budget, Attn: Desk Officer for SSA,Fax: 202–395–6974,E-mail address: OIRA_Submission@omb.eop.gov. (SSA), Social Security Administration, DCBFM,Attn: Reports Clearance Officer,1332 Annex Building,6401 Security Blvd.,Baltimore, MD 21235,Fax: 410–965–6400,E-mail address: OPLM.RCO@ssa.gov. I. The information collection below is pending at SSA. SSA will submit it to OMB within 60 days from the date of this notice. Therefore, your comments would be most helpful if you submit them to SSA within 60 days from the date of this publication. Individuals can obtain copies of the collection instrument by calling the SSA Reports Clearance Officer at 410–965–3758 or by writing to the email address listed above. 1. Application for Search of Census Records for Proof of Age—20 CFR 404.716–0960—0097. SSA uses the information collected by the SSA–1535– U3 to provide the Census Bureau with sufficient identification information for an accurate search of census records for proof of age of an individual applying for Social Security benefits. When preferred evidence of age is not available and the available evidence is not convincing, SSA may request the U.S. Department of Commerce, Bureau of the Census, to search its records in order to establish a claimant’s date of birth. The Census Bureau uses the information from a completed, signed SSA–1535–U3 to bill SSA for the search. The respondents are applicants for Social Security benefits who need to establish their date of birth as a factor of entitlement. E:\FR\FM\17FEN1.SGM 17FEN1

Agencies

SMALL BUSINESS ADMINISTRATION

[Federal Register Volume 74, Number 30 (Tuesday, February 17, 2009)]
[Notices]
[Pages 7505-7506]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-3182]


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SMALL BUSINESS ADMINISTRATION


Data Collection Available for Public Comments and Recommendations

ACTION: Notice and request for comments.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Paperwork Reduction Act of 1995, this 
notice announces the Small Business Administration's intentions to 
request approval on a new and/or currently approved information 
collection.

DATES: Submit comments on or before April 20, 2009.

ADDRESSES: Send all comments regarding whether this information 
collection is necessary for the proper performance of the function of 
the agency, whether the burden estimates are accurate, and if there are 
ways to minimize the estimated burden and enhance the quality of the 
collection, to Gail Hepler, Chief, 7a Loan Policy, Office of Financial 
Assistance, Small Business Administration, 409 3rd Street, 8th Floor, 
Washington, DC 20416.

FOR FURTHER INFORMATION CONTACT: Gail Hepler, Chief, 7a Loan Policy 
Branch, Office of Financial Assistance, 202-205-7530,  
gail.hepler@sba.gov; Curtis B. Rich, Management Analyst, 202-205-7030, 
curtis.rich@sba.gov.

SUPPLEMENTARY INFORMATION: The information collected through these

[[Page 7506]]

forms is used to receive essential information from the small business 
applicant and the participating lender to determine eligibility and to 
properly evaluate and consider the merits of each loan request based on 
each criteria as character, capacity, credit, collateral, etc. for the 
purpose of extending credit under the 7(a) program.
    Title: ``Applications for Business Loans''.
    Description of Respondents: Applicants applying for a SBA Loan.
    Form Numbers: 4, 4SCH-A, 4I, 4L.
    Annual Responses: 21,000.
    Annual Burden: 295,505.

Addresses:  Send all comments regarding whether this information 
collection is necessary for the proper performance of the function of 
the agency, whether the burden estimates are accurate, and if there are 
ways to minimize the estimated burden and enhance the quality of the 
collection, to Barbara Brannan, Special Assistant, Office of Surety 
Bond Guarantee, Small Business Administration, 409 3rd Street, 8th 
Floor, Washington, DC 20416.

FOR FURTHER INFORMATION CONTACT: Barbara Brannan, Special Assistant, 
Office of Surety Bond Guarantee Program, 202-205-6545, 
barbara.brannan@sba.gov; Curtis B. Rich, Management Analyst, 202-205-
7030, curtis.rich@sba.gov.

SUPPLEMENTARY INFORMATION: SBA's Surety Bond Guarantee (SBG) Program 
was created to encourage surety companies to provide bonding for small 
contractors. The information collected on these forms is used to 
evaluate the capability and potential success of small contractors in 
the SBG Program.
    Title: ``Surety Bond Guarantee Assistance''.
    Description of Respondents: Small Business Contractors Applying for 
the Surety Bond.
    Form Numbers: 990, 991, 994, 994B, 994F, 994H.
    Annual Responses: 17,916.
    Annual Burden: 1,959.

Jacqueline White,
Chief, Administrative Information Branch.
 [FR Doc. E9-3182 Filed 2-13-09; 8:45 am]
BILLING CODE 8025-01-P

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