Proposed Collection; Comment Request, 38065 [E9-18172]
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Federal Register / Vol. 74, No. 145 / Thursday, July 30, 2009 / Notices
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 and Budget for extension
and approval.
Rule 15c3–1 (17 CFR 240.15c3–1)
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) requires
brokers and dealers to have at all times
sufficient liquid assets to meet their
current liabilities, particularly the
claims of customers. The rule facilitates
monitoring the financial condition of
brokers and dealers by the Commission
and the various self-regulatory
organizations. It is estimated that the
active broker-dealer respondents
registered with the Commission incur
an aggregate burden of 73,300 hours per
year to comply with this rule.
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
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,
Alexandria, Virginia 22312 or send an
e-mail to: PRA_Mailbox@sec.gov.
Dated: July 24, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–18171 Filed 7–29–09; 8:45 am]
BILLING CODE 8010–01–P
erowe on DSK5CLS3C1PROD with NOTICES
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.
VerDate Nov<24>2008
15:34 Jul 29, 2009
Jkt 217001
Extension:
Rule 30e–1; SEC File No. 270–21; OMB
Control No. 3235–0025.
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 (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.
The title for the collection of
information is: ‘‘Rule 30e–1 (CFR
270.30e–1) under the Investment
Company Act of 1940, Reports to
Stockholders of Management
Companies.’’ Section 30(e) (15 U.S.C.
80a–29(e)) of the Investment Company
Act of 1940 (‘‘Investment Company
Act’’) (15 U.S.C. 80a–1 et seq.) requires
a registered investment company
(‘‘fund’’) to transmit to its shareholders,
at least semi-annually, reports
containing information and financial
statements as the Commission may
prescribe. Among other requirements,
Rule 30e–1 (17 CFR 270.30e–1) under
the Investment Company Act directs
funds to include in the shareholder
reports the information that is required
by the fund’s registration statement form
under the Investment Company Act.
Failure to require the collection of this
information would seriously impede the
amount of current information available
to shareholders and the public about
funds and would prevent the
Commission from implementing the
regulatory program required by statute.
The estimated annual number of
respondents providing shareholder
reports under Rule 30e–1 is
approximately 2800. The proposed
frequency of response is semi-annual.
The estimate of the total annual
reporting burden of the collection of
information is approximately 145.8
hours per shareholder report and the
total estimated annual burden for the
industry is 816,480 hours (145.8 hours
per report × 2 reports × 2,800 funds).
Providing the information required by
Rule 30e–1 is mandatory. Responses
will not be kept confidential. Estimates
of the burden hours 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 SEC rules and forms.
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.
PO 00000
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Sfmt 4703
38065
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: July 24, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–18172 Filed 7–29–09; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60383; File No. SR–BX–
2009–042]
Self-Regulatory Organizations;
NASDAQ OMX BX, Inc.; Notice of Filing
and Immediate Effectiveness of
Proposed Rule Change To Modify Its
Optional Anti-Internalization
Functionality
July 24, 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 July 22,
2009, NASDAQ OMX BX, Inc.
(‘‘NASDAQ OMX BX’’ or ‘‘Exchange’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’) the
proposed rule change as described in
Items I and II below, which Items have
been prepared by the Exchange. The
Exchange has designated the proposed
rule change as effecting a change
described under Rule 19b–4(f)(6) under
the Act,3 which renders the proposal
effective upon filing with the
Commission. The Commission is
publishing this notice to solicit
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 17 CFR 240.19b–4(f)(6).
2 17
E:\FR\FM\30JYN1.SGM
30JYN1
]]>Agencies
[Federal Register Volume 74, Number 145 (Thursday, July 30, 2009)]
[Notices]
[Page 38065]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-18172]
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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-1; SEC File No. 270-21; OMB Control No. 3235-0025.
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 (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.
The title for the collection of information is: ``Rule 30e-1 (CFR
270.30e-1) under the Investment Company Act of 1940, Reports to
Stockholders of Management Companies.'' Section 30(e) (15 U.S.C. 80a-
29(e)) of the Investment Company Act of 1940 (``Investment Company
Act'') (15 U.S.C. 80a-1 et seq.) requires a registered investment
company (``fund'') to transmit to its shareholders, at least semi-
annually, reports containing information and financial statements as
the Commission may prescribe. Among other requirements, Rule 30e-1 (17
CFR 270.30e-1) under the Investment Company Act directs funds to
include in the shareholder reports the information that is required by
the fund's registration statement form under the Investment Company
Act. Failure to require the collection of this information would
seriously impede the amount of current information available to
shareholders and the public about funds and would prevent the
Commission from implementing the regulatory program required by
statute. The estimated annual number of respondents providing
shareholder reports under Rule 30e-1 is approximately 2800. The
proposed frequency of response is semi-annual. The estimate of the
total annual reporting burden of the collection of information is
approximately 145.8 hours per shareholder report and the total
estimated annual burden for the industry is 816,480 hours (145.8 hours
per report x 2 reports x 2,800 funds). Providing the information
required by Rule 30e-1 is mandatory. Responses will not be kept
confidential. Estimates of the burden hours 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
SEC rules and forms.
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.
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: July 24, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-18172 Filed 7-29-09; 8:45 am]
BILLING CODE 8010-01-P
