Proposed Collection; Comment Request, 36786-36787 [E9-17769]

Download as PDF 36786 Federal Register / Vol. 74, No. 141 / Friday, July 24, 2009 / Notices including provisions that clarify the availability of other Postal Service products and services, exclude certain flat rate products from the mail qualifying for discounts, simplify mailing notice requirements, modify mail tender locations, and clarify the mailer’s volume and revenue commitment in the event of early termination.4 Id. at 5–6. The Postal Service states that these differences related to a particular mailer are ‘‘incidental differences’’ and do not change the conclusion that these agreements are functionally equivalent in all substantive aspects. Id. at 7. The Postal Service requests that this contract be included within the GEPS 1 product. Id. The Postal Service maintains that certain portions of the contract and certified statement required by 39 CFR 3015.5(c)(2), names of GEPS 1 customers, related financial information, portions of the certified statement which contain costs and pricing as well as the accompanying analyses that provide prices, terms, conditions, and financial projections should remain under seal. Id. at 3. II. Notice of Filing 4. The Secretary shall arrange for publication of this order in the Federal Register. By the Commission. Judith M. Grady, Acting Secretary. [FR Doc. E9–17701 Filed 7–23–09; 8:45 am] 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 September 22, 2009. 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 George Solomon, Supervisor Business Development Officer, Office of Business Initiatives, Small Business Administration, 409 3rd Street, 6th Floor, Washington, DC 20416. ADDRESSES: srobinson on DSKHWCL6B1PROD with NOTICES III. Ordering Paragraphs SUPPLEMENTARY INFORMATION: VerDate Nov<24>2008 18:55 Jul 23, 2009 Jkt 217001 BILLING CODE 8025–01–P SECURITIES AND EXCHANGE COMMISSION FOR FURTHER INFORMATION CONTACT: George Solomon, Supervisor Business Development Officer, Office of Business Initiatives, 202–205–7436 george.solomon@sba.gov, Curtis B. Rich, Management Analyst, 202–205–7030 curtis.rich@sba.gov. 4 The Postal Service indicates that the mailer has satisfied its commitment under the existing contract and seeks to mail under the new contract upon its approval. Id. at 6, n.10. Jacqueline White, Chief, Administrative Information Branch. [FR Doc. E9–17618 Filed 7–23–09; 8:45 am] BILLING CODE 7710–FW–P The Commission establishes Docket No. CP2009–51 for consideration of matters related to the contract identified in the Postal Service’s Notice. Interested persons may submit comments on whether the Postal Service’s contract is consistent with the policies of 39 U.S.C. 3632, 3622 or 3642. Comments are due no later than July 29, 2009. The public portions of these filings can be accessed via the Commission’s Web site (https:// www.prc.gov). The Commission appoints Paul L. Harrington to serve as Public Representative in the captioned filings. It is ordered: 1. The Commission establishes Docket No. CP2009–51 for consideration of the issues raised in this docket. 2. Comments by interested persons in these proceedings are due no later than July 29, 2009. 3. Pursuant to 39 U.S.C. 505, Paul L. Harrington is appointed to serve as officer of the Commission (Public Representative) to represent the interests of the general public in these proceedings. Annual Burden: 1,127. SBA’S strategic plan is to examine the impact of counseling and information services on nascent, start-up and in-business clients. This survey measure effects on counseling and information transfer on the respondent’s evaluation of the effectiveness, usefulness, and relevancy of the services provided and whether these services/actions led to the creation of jobs and an increase in business startups and gross revenue. Title: ‘‘Entrepreneurial Development Impact Study’’. Description of Respondents: SBA Clients. Form Number: 2214. Annual Responses: 8,100. PO 00000 Frm 00138 Fmt 4703 Sfmt 4703 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: Rule 30e–2; SEC File No. 270– 437; OMB Control No. 3235–0494. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), (the ‘‘Paperwork Reduction 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. Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a– 29(e)) (the ‘‘Investment Company Act’’) and Rule 30e–2 1 (17 CFR 270.30e–2) thereunder require registered unit investment trusts (‘‘UITs’’) that invest substantially all of their assets in securities of a management investment company 2 (‘‘fund’’) to send to shareholders at least semi-annually a report containing certain financial statements and other information. Specifically, Rule 30e–2 requires that the report contain the financial statements and other information that Rule 30e–1 under the Investment Company Act (17 CFR 270.30e–1) requires to be included in the report of the underlying fund for the same fiscal period. Rule 30e–1 requires that the underlying fund’s report contain, among other things, the financial statements and other information that is required to 1 Rule 30e–2 was originally adopted as Rule 30d– 2, but was redesignated as Rule 30e–2 effective February 15, 2001. See Role of Independent Directors of Investment Companies, Investment Company Act Release No. 24816 (Jan. 2, 2001) (66 FR 3734 (Jan. 16, 2001)). 2 Management investment companies are defined in Section 4 of the Investment Company Act as any investment company other than a face-amount certificate company or a unit investment trust, as those terms are defined in Section 4 of the Investment Company Act. See 15 U.S.C. 80a–4. E:\FR\FM\24JYN1.SGM 24JYN1 srobinson on DSKHWCL6B1PROD with NOTICES Federal Register / Vol. 74, No. 141 / Friday, July 24, 2009 / Notices be included in such report by the fund’s registration form. The purpose of this requirement is to apprise current shareholders of the operational and financial condition of the UIT. Absent the requirement to disclose all material information in reports, investors would be unable to obtain accurate information upon which to base investment decisions and consumer confidence in the securities industry might be adversely affected. Requiring the submission of these reports to the Commission permits us to verify compliance with securities law requirements. In addition, Rule 30e–2 permits, under certain conditions, delivery of a single shareholder report to investors who share an address (‘‘householding’’). Specifically, Rule 30e–2 permits householding of annual and semi-annual reports by UITs to satisfy the delivery requirements of Rule 30e–2 if, in addition to the other conditions set forth in the rule, the UIT has obtained from each applicable investor written or implied consent to the householding of shareholder reports at such address. The rule requires UITs that wish to household shareholder reports with implied consent to send a notice to each applicable investor stating that the investors in the household will receive one report in the future unless the investors provide contrary instructions. In addition, at least once a year, UITs relying on the rule for householding must explain to investors who have provided written or implied consent how they can revoke their consent. Preparing and sending the initial notice and the annual explanation of the right to revoke consent are collections of information under the Paperwork Reduction Act. The purpose of the notice and annual explanation requirements associated with the householding provisions of the rule is to ensure that investors who wish to receive individual copies of shareholder reports are able to do so. The Commission estimates that as of 2009, approximately 820 UITs were subject to the provisions of Rule 30e–2. The Commission further estimates that the annual burden associated with Rule 30e–2 is 121 hours for each UIT, including an estimated 20 hours associated with the notice requirement for householding and an estimated 1 hour associated with the explanation of the right to revoke consent to householding, for a total of 99,220 burden hours. In addition to the burden hours, the Commission estimates that the cost of contracting for outside services associated with complying with Rule 30e–2 is $20,000 per respondent (80 VerDate Nov<24>2008 18:55 Jul 23, 2009 Jkt 217001 hours times $250 per hour for independent auditor services), for a total of $16,400,000 ($20,000 per respondent times 820 respondents). These estimates are made solely for the purposes of the Paperwork Reduction 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 30e–2 is mandatory. The information provided under Rule 30e–2 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 collections of information are 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 collections 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, 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: July 21, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–17769 Filed 7–23–09; 8:45 am] BILLING CODE 8010–01–P PO 00000 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60330; File No. SR–FINRA– 2009–044] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2262 (Disclosure of Control Relationship With Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook July 17, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on June 29, 2009, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) (f/k/a National Association of Securities Dealers, Inc. (‘‘NASD’’)) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by FINRA. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to adopt without material change NASD Rules 2240 (Disclosure of Control Relationship with Issuer), 2250 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 3340 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) as FINRA rules in the Consolidated FINRA Rulebook and to delete NYSE Rules 312(f)(1) through 312(f)(3) and 321.24. The proposed rule change would renumber NASD Rules 2240, 2250 and 3340 as FINRA Rules 2262, 2269 and 5260, respectively, in the Consolidated FINRA Rulebook. The text of the proposed rule change is available on FINRA’s Web site at https://www.finra.org, at the principal office of FINRA and at the Commission’s Public Reference Room. 1 15 2 17 Frm 00139 Fmt 4703 Sfmt 4703 36787 E:\FR\FM\24JYN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 24JYN1

Agencies

[Federal Register Volume 74, Number 141 (Friday, July 24, 2009)]
[Notices]
[Pages 36786-36787]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-17769]


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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: Rule 30e-2; SEC File No. 270-437; OMB Control No. 3235-
0494.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), (the ``Paperwork Reduction 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.
    Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-
29(e)) (the ``Investment Company Act'') and Rule 30e-2 \1\ (17 CFR 
270.30e-2) thereunder require registered unit investment trusts 
(``UITs'') that invest substantially all of their assets in securities 
of a management investment company \2\ (``fund'') to send to 
shareholders at least semi-annually a report containing certain 
financial statements and other information. Specifically, Rule 30e-2 
requires that the report contain the financial statements and other 
information that Rule 30e-1 under the Investment Company Act (17 CFR 
270.30e-1) requires to be included in the report of the underlying fund 
for the same fiscal period. Rule 30e-1 requires that the underlying 
fund's report contain, among other things, the financial statements and 
other information that is required to

[[Page 36787]]

be included in such report by the fund's registration form.
---------------------------------------------------------------------------

    \1\ Rule 30e-2 was originally adopted as Rule 30d-2, but was 
redesignated as Rule 30e-2 effective February 15, 2001. See Role of 
Independent Directors of Investment Companies, Investment Company 
Act Release No. 24816 (Jan. 2, 2001) (66 FR 3734 (Jan. 16, 2001)).
    \2\ Management investment companies are defined in Section 4 of 
the Investment Company Act as any investment company other than a 
face-amount certificate company or a unit investment trust, as those 
terms are defined in Section 4 of the Investment Company Act. See 15 
U.S.C. 80a-4.
---------------------------------------------------------------------------

    The purpose of this requirement is to apprise current shareholders 
of the operational and financial condition of the UIT. Absent the 
requirement to disclose all material information in reports, investors 
would be unable to obtain accurate information upon which to base 
investment decisions and consumer confidence in the securities industry 
might be adversely affected. Requiring the submission of these reports 
to the Commission permits us to verify compliance with securities law 
requirements. In addition, Rule 30e-2 permits, under certain 
conditions, delivery of a single shareholder report to investors who 
share an address (``householding''). Specifically, Rule 30e-2 permits 
householding of annual and semi-annual reports by UITs to satisfy the 
delivery requirements of Rule 30e-2 if, in addition to the other 
conditions set forth in the rule, the UIT has obtained from each 
applicable investor written or implied consent to the householding of 
shareholder reports at such address. The rule requires UITs that wish 
to household shareholder reports with implied consent to send a notice 
to each applicable investor stating that the investors in the household 
will receive one report in the future unless the investors provide 
contrary instructions. In addition, at least once a year, UITs relying 
on the rule for householding must explain to investors who have 
provided written or implied consent how they can revoke their consent. 
Preparing and sending the initial notice and the annual explanation of 
the right to revoke consent are collections of information under the 
Paperwork Reduction Act. The purpose of the notice and annual 
explanation requirements associated with the householding provisions of 
the rule is to ensure that investors who wish to receive individual 
copies of shareholder reports are able to do so.
    The Commission estimates that as of 2009, approximately 820 UITs 
were subject to the provisions of Rule 30e-2. The Commission further 
estimates that the annual burden associated with Rule 30e-2 is 121 
hours for each UIT, including an estimated 20 hours associated with the 
notice requirement for householding and an estimated 1 hour associated 
with the explanation of the right to revoke consent to householding, 
for a total of 99,220 burden hours.
    In addition to the burden hours, the Commission estimates that the 
cost of contracting for outside services associated with complying with 
Rule 30e-2 is $20,000 per respondent (80 hours times $250 per hour for 
independent auditor services), for a total of $16,400,000 ($20,000 per 
respondent times 820 respondents).
    These estimates are made solely for the purposes of the Paperwork 
Reduction 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 30e-2 is mandatory. The 
information provided under Rule 30e-2 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 
collections of information are 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 collections 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, 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: July 21, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-17769 Filed 7-23-09; 8:45 am]
BILLING CODE 8010-01-P
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