Proposed Collection; Comment Request, 28733-28734 [E9-14190]
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Federal Register / Vol. 74, No. 115 / Wednesday, June 17, 2009 / Notices
for the rejection, identification of the
guarantor, and whether the guarantor
failed to meet the transfer agent’s
guarantee standard. These
recordkeeping requirements assist the
Commission and other regulatory
agencies with monitoring transfer agents
and ensuring compliance with the rule.
There are approximately 587
registered transfer agents. The staff
estimates that every transfer agent will
spend about 40 hours annually to
comply with Rule 17Ad–15. The total
annual burden for all transfer agents is
23,480 hours. The average cost per hour
is approximately $50. Therefore, the
total cost of compliance for all transfer
agents is $1,174,000.
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: June 10, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–14149 Filed 6–16–09; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
dwashington3 on PROD1PC60 with NOTICES
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 17f–1(c) and Form X–17F–1A, OMB
Control No. 3235–0037, SEC File No.
270–29.
VerDate Nov<24>2008
15:33 Jun 16, 2009
Jkt 217001
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
17f-1(c) and Form X–17F–1A (17 CFR
249.100) 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 17f-1(c) (17 CFR 240.17f-1(c))
requires approximately 26,000 entities
in the securities industry to report lost,
stolen, missing, or counterfeit securities
to a central database. Form X–17F–1A
(17 CFR 249.100) facilitates the accurate
reporting and precise and immediate
data entry into the central database.
Reporting to the central database fulfills
a statutory requirement that reporting
institutions report and inquire about
missing, lost, counterfeit, or stolen
securities. Reporting to the central
database also allows reporting
institutions to gain access to the
database that stores information for the
Lost and Stolen Securities Program.
We estimate that 26,000 reporting
institutions will report that securities
are either missing, lost, counterfeit, or
stolen annually and that each reporting
institution will submit this report 50
times each year. The staff estimates that
the average amount of time necessary to
comply with Rule 17f-1(c) and Form X–
17F–1A is five minutes. The total
burden is 108,333 hours annually for
respondents (26,000 times 50 times 5
divided by 60).
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’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
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,
PO 00000
Frm 00071
Fmt 4703
Sfmt 4703
28733
Alexandria, VA 22312 or send an e-mail
to: PRA_Mailbox@sec.gov.
Dated: June 10, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–14150 Filed 6–16–09; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed 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 35d–1; SEC File No. 270–491; OMB
Control No. 3235–0548.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (‘‘Act’’), the
Securities and Exchange Commission
(the ‘‘Commission’’) is soliciting
comments on the collection of
information summarized below. The
Commission plans to submit this
existing collection of information to the
Office of Management and Budget for
extension and approval.
Rule 35d–1 (17 CFR 270.35d–1) under
the Investment Company Act of 1940
(15 U.S.C. 80a–1 et seq.) generally
requires that investment companies
with certain names invest at least 80%
of their assets according to what their
names suggests. The rule provides that
an affected investment company must
either adopt this 80% requirement as a
fundamental policy or adopt a policy to
provide notice to shareholders at least
60 days prior to any change in its 80%
investment policy. This preparation and
delivery of the notice to existing
shareholders is a collection of
information within the meaning of the
Act.
The Commission estimates that there
are 8,681 open-end and closed-end
management investment companies and
series that have descriptive names that
are governed by the rule. The
Commission estimates that of these
8,681 investment companies,
approximately 29 provide prior notice
to their shareholders of a change in their
investment policies per year. The
Commission estimates that the annual
burden associated with the notice
requirement of the rule is 20 hours per
response. The total burden hours for
Rule 35d–1 is 580 per year in the
aggregate (29 responses × 20 hours per
response). Estimates of average burden
E:\FR\FM\17JNN1.SGM
17JNN1
28734
Federal Register / Vol. 74, No. 115 / Wednesday, June 17, 2009 / Notices
hours are made solely for the purposes
of the Act, and are not derived from a
comprehensive or even a representative
survey or study of the costs of
Commission rules and forms.
The collection of information under
Rule 35d–1 is mandatory. The
information provided under Rule 35d–
1 is not kept confidential. The
Commission may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid OMB
control number.
Written comments are invited on: (a)
Whether the 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 of 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/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.
Dated: June 9, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–14190 Filed 6–16–09; 8:45 am]
BILLING CODE 8010–01–P
Dated: June 10, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–14174 Filed 6–16–09; 8:45 am]
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
BILLING CODE 8010–01–P
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
dwashington3 on PROD1PC60 with NOTICES
Extension:
Form 18, OMB Control No. 3235–0121,
SEC File No. 270–105.
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
VerDate Nov<24>2008
15:33 Jun 16, 2009
Jkt 217001
plans to submit this existing collection
of information to the Office of
Management Budget for extension and
approval.
Form 18 (17 CFR 249.218) is used for
the registration of securities of any
foreign government or political
subdivision on a U.S. exchange. The
information collected is intended to
ensure that the information required to
be filed by the Commission permits
verification of compliance with
securities law requirements and assures
the public availability of the
information. Form 18 takes
approximately 8 hours per response and
is filed by approximately 5 respondents
for a total of 40 annual burden hours. It
is estimated that 100% of the total
reporting burden is prepared by the
company.
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 collections
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/CIO, 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.
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:
Form F–80; OMB Control No. 3235–0404;
SEC File No. 270–357.
PO 00000
Frm 00072
Fmt 4703
Sfmt 4703
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
plans to submit this existing collection
of information to the Office of
Management Budget for extension and
approval.
Form F–80 (17 CFR 239.41) is used by
large, publicly-traded Canadian foreign
private issuers registering securities that
are offered in business combinations
and exchange offers. The information
collected is intended to ensure that the
information required to be filed by the
Commission permits verification of
compliance with securities law
requirements and assures the public
availability of the information. Form F–
80 takes approximately 2 hours per
response and is filed by 4 issuers for a
total annual burden of 8 hours. The
estimated burden of 2 hours per
response was based upon the amount of
time necessary to compile the
registration statement using the existing
Canadian prospectus plus any
additional information required by the
Commission.
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 collections
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/CIO, 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: June 10, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–14175 Filed 6–16–09; 8:45 am]
BILLING CODE 8010–01–P
E:\FR\FM\17JNN1.SGM
17JNN1
]]>Agencies
[Federal Register Volume 74, Number 115 (Wednesday, June 17, 2009)]
[Notices]
[Pages 28733-28734]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-14190]
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SECURITIES AND EXCHANGE COMMISSION
Proposed 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 35d-1; SEC File No. 270-491; OMB Control No. 3235-0548.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) (``Act''), the Securities and
Exchange Commission (the ``Commission'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit this existing collection of information to the Office of
Management and Budget for extension and approval.
Rule 35d-1 (17 CFR 270.35d-1) under the Investment Company Act of
1940 (15 U.S.C. 80a-1 et seq.) generally requires that investment
companies with certain names invest at least 80% of their assets
according to what their names suggests. The rule provides that an
affected investment company must either adopt this 80% requirement as a
fundamental policy or adopt a policy to provide notice to shareholders
at least 60 days prior to any change in its 80% investment policy. This
preparation and delivery of the notice to existing shareholders is a
collection of information within the meaning of the Act.
The Commission estimates that there are 8,681 open-end and closed-
end management investment companies and series that have descriptive
names that are governed by the rule. The Commission estimates that of
these 8,681 investment companies, approximately 29 provide prior notice
to their shareholders of a change in their investment policies per
year. The Commission estimates that the annual burden associated with
the notice requirement of the rule is 20 hours per response. The total
burden hours for Rule 35d-1 is 580 per year in the aggregate (29
responses x 20 hours per response). Estimates of average burden
[[Page 28734]]
hours are made solely for the purposes of the Act, and are not derived
from a comprehensive or even a representative survey or study of the
costs of Commission rules and forms.
The collection of information under Rule 35d-1 is mandatory. The
information provided under Rule 35d-1 is not kept confidential. The
Commission may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently
valid OMB control number.
Written comments are invited on: (a) Whether the 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 of 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/
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.
Dated: June 9, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-14190 Filed 6-16-09; 8:45 am]
BILLING CODE 8010-01-P
