Proposed Extension of Existing Collection; Comment Request, 28075-28076 [E9-13814]

Download as PDF Federal Register / Vol. 74, No. 112 / Friday, June 12, 2009 / Notices Percent Businesses and Non-Profit Organizations Without Credit Available Elsewhere ......................... 4.000 The number assigned to this disaster for physical damage is 11768B and for economic injury is 11769B. (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) James E. Rivera, Acting Associate Administrator for Disaster Assistance. [FR Doc. E9–13826 Filed 6–11–09; 8:45 am] BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration # 11772 and # 11773] Florida Disaster # FL–00043 AGENCY: U.S. Small Business Administration. ACTION: Notice. SUMMARY: This is a Notice of the Presidential declaration of a major disaster for Public Assistance Only for the State of Florida (FEMA—1840—DR), dated 06/04/2009. Incident: Severe storms, flooding, tornadoes, and straight-line winds. Incident Period: 05/17/2009 and continuing. Effective Date: 06/04/2009. Physical Loan Application Deadline Date: 08/03/2009. Economic Injury (EIDL) Loan Application Deadline Date: 03/04/2010. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing And Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: Notice is hereby given that as a result of the President’s major disaster declaration on 06/04/2009, Private Non-Profit organizations that provide essential services of governmental nature may file disaster loan applications at the address listed above or other locally announced locations. The following areas have been determined to be adversely affected by the disaster: Primary Counties: Baker, Clay, Flagler, Putnam, Volusia. The Interest Rates are: VerDate Nov<24>2008 17:53 Jun 11, 2009 Jkt 217001 28075 a broker-dealer experiencing difficulties and to obtain any additional Other (Including Non-Profit Orgainformation necessary to gauge the nizations) With Credit Available broker-dealer’s financial or operational Elsewhere ................................. 4.500 condition. Businesses And Non-Profit OrgaRule 17a–11 also requires over-thenizations Without Credit Available Elsewhere ......................... 4.000 counter (‘‘OTC’’) derivatives dealers and broker-dealers that are permitted to compute net capital pursuant to The number assigned to this disaster Appendix E to Exchange Act Rule 15c3– for physical damage is 117726 and for 1 to notify the Commission when their economic injury is 117736. tentative net capital drops below certain (Catalog of Federal Domestic Assistance levels. OTC derivatives dealers must Numbers 59002 and 59008) also provide notice to the Commission of backtesting exceptions identified James E. Rivera, pursuant to Appendix F of Rule 15c3– Acting Associate Administrator for Disaster 1 (17 CFR 15c3–1f). Assistance. Compliance with the Rule is [FR Doc. E9–13828 Filed 6–11–09; 8:45 am] mandatory. The Commission will BILLING CODE 8025–01–P generally not publish or make available to any person notice or reports received pursuant to Rule 17a–11. The SECURITIES AND EXCHANGE Commission believes that information COMMISSION obtained under Rule 17a–11 relates to a condition report prepared for the use of Proposed Extension of Existing the Commission, other federal Collection; Comment Request governmental authorities, and securities Upon Written Request, Copies Available industry self-regulatory organizations From: U.S. Securities and Exchange responsible for the regulation or Commission, Office of Investor supervision of financial institutions. Education and Advocacy, Only broker-dealers whose capital Washington, DC 20549–0213. declines below certain specified levels Extension: or who are otherwise experiencing Rule 17a–11; OMB Control No. 3235–0085; financial or operational problems have a SEC File No. 270–94. reporting burden under Rule 17a–11. In 2008, the Commission received Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 approximately 400 notices under this Rule. The Commission did not receive (44 U.S.C. 3501 et seq.), the Securities any Rule 17a–11 notices from OTC and Exchange Commission derivatives dealers or broker-dealers (‘‘Commission’’) is soliciting comments on the existing collection of information that are permitted to compute net capital pursuant to Appendix E to provided for in the following rule: Rule Exchange Act Rule 15c3–1. 17a–11 (17 CFR 240.17a–11) under the Each broker-dealer reporting pursuant Securities Exchange Act of 1934 (15 to Rule 17a–11 will spend U.S.C. 78a et seq.) (‘‘Exchange Act’’). approximately one hour preparing and The Commission plans to submit this existing collection of information to the transmitting the notice required by the rule. Accordingly, the total estimated Office of Management and Budget annualized burden under Rule 17a–11 is (‘‘OMB’’) for extension and approval. In response to an operational crisis in 400 hours. the securities industry between 1967 Written comments are invited on: (a) and 1970, the Commission adopted Rule Whether the proposed collection of 17a–11 (17 CFR 240.17a–11) under the information is necessary for the proper Exchange Act on July 11, 1971. The performance of the functions of the Rule requires broker-dealers that are Commission, including whether the experiencing financial or operational information has practical utility; (b) the difficulties to provide notice to the accuracy of the Commission’s estimate Commission, the broker-dealer’s of the burden of the proposed collection designated examining authority of information; (c) ways to enhance the (‘‘DEA’’), and the Commodity Futures quality, utility, and clarity of the Trading Commission (‘‘CFTC’’) if the information to be collected; and (d) broker-dealer is registered with the ways to minimize the burden of the CFTC as a futures commission collection of information on merchant. Rule 17a–11 is an integral respondents, including through the use part of the Commission’s financial of automated collection techniques or responsibility program which enables other forms of information technology. the Commission, a broker-dealer’s DEA, Consideration will be given to and the CFTC to increase surveillance of comments and suggestions submitted in PO 00000 Percent Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM 12JNN1 28076 Federal Register / Vol. 74, No. 112 / Friday, June 12, 2009 / Notices 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: June 8, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–13814 Filed 6–11–09; 8:45 am] BILLING CODE 8010–01–P 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: Form 13F; SEC File No. 270–22; OMB Control No. 3235–0006. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501–3520), the Securities and Exchange Commission (the ‘‘Commission’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. Section 13(f)1 of the Securities Exchange Act of 19342 (the ‘‘Exchange Act’’) empowers the Commission to: (1) Adopt rules that create a reporting and disclosure system to collect specific information; and (2) disseminate such information to the public. Rule 13f-13 under the Exchange Act requires institutional investment managers that exercise investment discretion over accounts—having in the aggregate a fair market value of at least $100,000,000 of exchange-traded or NASDAQ-quoted equity securities—to file quarterly reports with the Commission on Form 13F. The information collection requirements apply to institutional investment managers that meet the $100 million reporting threshold. Section 13(f)(5) of the Exchange Act defines an ‘‘institutional investment manager’’ as any person, other than a natural person, investing in or buying and selling securities for its own account, and any person exercising investment discretion with respect to the account of any other person. Form 13F under the Exchange Act defines ‘‘investment discretion’’ for purposes of Form 13F reporting. The reporting system required by Section 13(f) of the Exchange Act is intended, among other things, to create in the Commission a central repository of historical and current data about the investment activities of institutional investment managers, and to improve the body of factual data available to regulators and the public. The Commission staff estimates that 4,052 respondents make approximately 16,208 responses under the rule each year. The staff estimates that on average, Form 13F filers spend 98.8 hours/year to prepare and submit the report. In addition, the staff estimates that 210 respondents file approximately 840 amendments each year. The staff estimates that on average, Form 13F filers spend 4 hours/year to prepare and submit amendments to Form 13F. The total annual burden of the rule’s requirements for all respondents therefore is estimated to be 401,178 hours ((4,052 filers x 98.8 hours) + (210 filers x 4 hours)). The estimate of average burden hours is made solely for the purposes of the Paperwork Reduction Act. The estimate is not derived from a comprehensive or even a representative survey or study of the costs of Commission rules. 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. 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 send an e-mail to Shagufta Ahmed at Shagufta_Ahmed@omb.eop.gov; and (ii) Charles Boucher, 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. 1 15 Dated: June 8, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–13813 Filed 6–11–09; 8:45 am] 2 15 BILLING CODE 8010–01–P U.S.C. 78m(f). U.S.C. 78a et seq. 3 17 CFR 240.13f–1. VerDate Nov<24>2008 17:53 Jun 11, 2009 Jkt 217001 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 28760; File No. 812–13604] PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application June 8, 2009. AGENCY: Securities and Exchange Commission. ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940 (‘‘Act’’) for an exemption from rule 12d1–2(a) under the Act. SUMMARY OF APPLICATION: Applicants request an order to permit funds of funds relying on rule 12d1–2 under the Act to invest in certain financial instruments. APPLICANTS: PowerShares ExchangeTraded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares India Exchange-Traded Fund Trust and PowerShares Actively Managed Exchange-Traded Fund Trust (collectively, ‘‘PowerShares Trusts’’), AIM Counselor Series Trust, AIM Equity Funds, AIM Funds Group, AIM Growth Series, AIM International Mutual Funds, AIM Investment Funds, AIM Investment Securities Funds, AIM Sector Funds, AIM Tax-Exempt Funds, AIM Treasurer’s Series Trust, AIM Variable Insurance Funds, and Short-Term Investments Trust (collectively, ‘‘AIM Trusts’’ and together with PowerShares Trusts, the ‘‘Trusts’’), Invesco PowerShares Capital Management LLC (‘‘IPCM’’) and Invesco Aim Advisors, Inc. (‘‘IAA’’) and Invesco Aim Distributors, Inc. (the ‘‘Distributor’’). DATES: Filing Dates: The application was filed on November 14, 2008, and amended on May 26, 2009. Applicants have agreed to file an amendment during the notice period, the substance of which is reflected in this notice. 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 July 6, 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 notification by writing to the Commission’s Secretary. E:\FR\FM\12JNN1.SGM 12JNN1

Agencies

[Federal Register Volume 74, Number 112 (Friday, June 12, 2009)]
[Notices]
[Pages 28075-28076]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-13814]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Extension of Existing Collection; 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 17a-11; OMB Control No. 3235-0085; SEC File No. 270-94.

    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 the following rule: Rule 17a-
11 (17 CFR 240.17a-11) 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.
    In response to an operational crisis in the securities industry 
between 1967 and 1970, the Commission adopted Rule 17a-11 (17 CFR 
240.17a-11) under the Exchange Act on July 11, 1971. The Rule requires 
broker-dealers that are experiencing financial or operational 
difficulties to provide notice to the Commission, the broker-dealer's 
designated examining authority (``DEA''), and the Commodity Futures 
Trading Commission (``CFTC'') if the broker-dealer is registered with 
the CFTC as a futures commission merchant. Rule 17a-11 is an integral 
part of the Commission's financial responsibility program which enables 
the Commission, a broker-dealer's DEA, and the CFTC to increase 
surveillance of a broker-dealer experiencing difficulties and to obtain 
any additional information necessary to gauge the broker-dealer's 
financial or operational condition.
    Rule 17a-11 also requires over-the-counter (``OTC'') derivatives 
dealers and broker-dealers that are permitted to compute net capital 
pursuant to Appendix E to Exchange Act Rule 15c3-1 to notify the 
Commission when their tentative net capital drops below certain levels. 
OTC derivatives dealers must also provide notice to the Commission of 
backtesting exceptions identified pursuant to Appendix F of Rule 15c3-1 
(17 CFR 15c3-1f).
    Compliance with the Rule is mandatory. The Commission will 
generally not publish or make available to any person notice or reports 
received pursuant to Rule 17a-11. The Commission believes that 
information obtained under Rule 17a-11 relates to a condition report 
prepared for the use of the Commission, other federal governmental 
authorities, and securities industry self-regulatory organizations 
responsible for the regulation or supervision of financial 
institutions.
    Only broker-dealers whose capital declines below certain specified 
levels or who are otherwise experiencing financial or operational 
problems have a reporting burden under Rule 17a-11. In 2008, the 
Commission received approximately 400 notices under this Rule. The 
Commission did not receive any Rule 17a-11 notices from OTC derivatives 
dealers or broker-dealers that are permitted to compute net capital 
pursuant to Appendix E to Exchange Act Rule 15c3-1.
    Each broker-dealer reporting pursuant to Rule 17a-11 will spend 
approximately one hour preparing and transmitting the notice required 
by the rule. Accordingly, the total estimated annualized burden under 
Rule 17a-11 is 400 hours.
    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 has 
practical utility; (b) the accuracy of the Commission's estimate 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

[[Page 28076]]

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: June 8, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-13814 Filed 6-11-09; 8:45 am]
BILLING CODE 8010-01-P
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