Proposed Collection; Comment Request, 39719-39720 [E9-18983]

Download as PDF Federal Register / Vol. 74, No. 151 / Friday, August 7, 2009 / Notices Dated: August 3, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–18981 Filed 8–6–09; 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. pwalker on DSK8KYBLC1PROD with NOTICES Extension: Form T–3, OMB Control No. 3235–0105, SEC File No. 270–123. 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 and Budget for approval. Form T–3 (17 CFR 269.3) is an application for qualification of an indenture under the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.). The information provided by Form T–3 is used by the staff to decide whether to qualify an indenture relating to securities offered to the public in an offering registered under the Securities Act of 1933 (15 U.S.C. 77a et seq.). Form T–3 takes approximately 43 hours per response to prepare and is filed by 78 respondents. We estimate that 25% of the 43 burden hours (11 hours per response) is prepared by the filer for a total reporting burden of 858 hours (11 hours per response × 78 responses). Written comments are invited on: (a) Whether this proposed collection of information is necessary for the 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 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, Virginia 22312; or send an e-mail to: PRA_Mailbox@sec.gov. VerDate Nov<24>2008 17:09 Aug 06, 2009 Jkt 217001 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 N–6, SEC File No. 270–446, OMB Control No. 3235–0503. 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 ‘‘Form N–6 (17 CFR 239.17c and 274.11d) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) and under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.’’ Form N–6 is the form used by insurance company separate accounts organized as unit investment trusts that offer variable life insurance contracts to register as investment companies under the Investment Company Act of 1940 and/or to register their securities under the Securities Act of 1933. The primary purpose of the registration process is to provide disclosure of financial and other information to investors and potential investors for the purpose of evaluating an investment in a security. Form N–6 also permits separate accounts organized as unit investment trusts that offer variable life insurance contracts to provide investors with a prospectus containing information required in a registration statement prior to the sale or at the time of confirmation of delivery of securities. The Commission estimates that there are approximately 250 separate accounts registered as unit investment trusts and offering variable life insurance policies that file registration statements on Form N–6. The Commission estimates that there are 95 initial registration PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 39719 statements on Form N–6 filed annually. The Commission estimates that approximately 813 registration statements (718 post-effective amendments plus 95 initial registration statements) are filed on Form N–6 annually. The Commission estimates that the hour burden for preparing and filing a post-effective amendment on Form N–6 is 67.5 hours. The total annual hour burden for preparing and filing post-effective amendments is 48,465 hours (718 post-effective amendments annually times 67.5 hours per amendment). The estimated hour burden per portfolio for preparing and filing an initial registration statement on Form N–6 is 770.25 hours. The estimated annual hour burden for preparing and filing initial registration statements is 73,174 hours (95 initial registration statements annually times 770.25 hours per registration statement). The frequency of response is annual. The total annual hour burden for Form N–6, therefore, is estimated to be 121,639 hours (48,465 hours for posteffective amendments plus 73,174 hours for initial registration statements). The information collection requirements imposed by Form N–6 are mandatory. Responses to the collection of information will not be kept confidential. 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. E:\FR\FM\07AUN1.SGM 07AUN1 39720 Federal Register / Vol. 74, No. 151 / Friday, August 7, 2009 / Notices Dated: August 3, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–18983 Filed 8–6–09; 8:45 am] SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60407; File No. SR– NASDAQ–2009–073] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting pwalker on DSK8KYBLC1PROD with NOTICES Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, August 6, 2009 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest in the matters also may be present. The General Counsel of the Commission, or his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 9(ii) and(10), permit consideration of the scheduled matters at the Closed Meeting. Chairman Schapiro, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session, and determined that no earlier notice thereof was possible. The subject matter of the Closed Meeting scheduled for Thursday, August 6, 2009 will be: institution and settlement of injunctive actions; institution and settlement of an administrative proceeding; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551–5400. Dated: August 5, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–19042 Filed 8–5–09; 11:15 am] BILLING CODE 8010–01–P Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Related to Orders Routed to Nasdaq via the Options Intermarket Linkage July 30, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that, on July 29, 2009, the NASDAQ Stock Market LLC (‘‘NASDAQ’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I, II and III below, which Items have been prepared by the Exchange. 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 The Exchange proposes to amend its fees related to orders routed to NASDAQ via the Options Intermarket Linkage (‘‘Linkage’’). The text of the proposed rule change is available from the principal office of the Exchange, at the Commission’s Public Reference Room and also on the Exchange’s Web site https://nasdaq.cchwallstreet.com/. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements. 1 15 2 17 VerDate Nov<24>2008 17:09 Aug 06, 2009 Jkt 217001 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00116 Fmt 4703 Sfmt 4703 A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The purpose of this proposed rule change is to extend a Linkage Fee Pilot Program that is currently in place through July 31, 2009. The proposal will enable the pilot to remain effective through July 31, 2010. The proposed rule change makes no substantive changes to the pilot currently in place. 2. Statutory Basis The Exchange believes the proposed rule change is consistent with Section 6(b) of the Act 3, in general, and with Section 6(b)(4) 4 of the Act in particular, in that it is designed to provide for the equitable allocation of reasonable dues, fees, and other charges among members and other persons using its facilities. The proposed rule change will continue the current pilot program on the same terms currently in place. B. Self-Regulatory Organization’s Statement on Burden on Competition The NASDAQ Exchange does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change: (i) Does not significantly affect the protection of investors or the public interest; (ii) does not impose any significant burden on competition; and (iii) by its terms, does not become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, if consistent with the protection of investors and the public interest, it has become effective pursuant to Section 19(b)(3)(A) of the Act 5 and Rule 19b– 4(f)(6) thereunder.6 3 15 U.S.C. 78f(b). U.S.C. 78f(b)(4). 5 15 U.S.C. 78s(b)(3)(A). 6 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires the self-regulatory organization to submit to the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement. 4 15 E:\FR\FM\07AUN1.SGM 07AUN1

Agencies

[Federal Register Volume 74, Number 151 (Friday, August 7, 2009)]
[Notices]
[Pages 39719-39720]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-18983]


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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:
    Form N-6, SEC File No. 270-446, OMB Control No. 3235-0503.

    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 ``Form N-6 (17 CFR 
239.17c and 274.11d) under the Securities Act of 1933 (15 U.S.C. 77a et 
seq.) and under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et 
seq.) registration statement of separate accounts organized as unit 
investment trusts that offer variable life insurance policies.'' Form 
N-6 is the form used by insurance company separate accounts organized 
as unit investment trusts that offer variable life insurance contracts 
to register as investment companies under the Investment Company Act of 
1940 and/or to register their securities under the Securities Act of 
1933. The primary purpose of the registration process is to provide 
disclosure of financial and other information to investors and 
potential investors for the purpose of evaluating an investment in a 
security. Form N-6 also permits separate accounts organized as unit 
investment trusts that offer variable life insurance contracts to 
provide investors with a prospectus containing information required in 
a registration statement prior to the sale or at the time of 
confirmation of delivery of securities.
    The Commission estimates that there are approximately 250 separate 
accounts registered as unit investment trusts and offering variable 
life insurance policies that file registration statements on Form N-6. 
The Commission estimates that there are 95 initial registration 
statements on Form N-6 filed annually. The Commission estimates that 
approximately 813 registration statements (718 post-effective 
amendments plus 95 initial registration statements) are filed on Form 
N-6 annually. The Commission estimates that the hour burden for 
preparing and filing a post-effective amendment on Form N-6 is 67.5 
hours. The total annual hour burden for preparing and filing post-
effective amendments is 48,465 hours (718 post-effective amendments 
annually times 67.5 hours per amendment). The estimated hour burden per 
portfolio for preparing and filing an initial registration statement on 
Form N-6 is 770.25 hours. The estimated annual hour burden for 
preparing and filing initial registration statements is 73,174 hours 
(95 initial registration statements annually times 770.25 hours per 
registration statement). The frequency of response is annual. The total 
annual hour burden for Form N-6, therefore, is estimated to be 121,639 
hours (48,465 hours for post-effective amendments plus 73,174 hours for 
initial registration statements).
    The information collection requirements imposed by Form N-6 are 
mandatory. Responses to the collection of information will not be kept 
confidential. 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.


[[Page 39720]]


    Dated: August 3, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-18983 Filed 8-6-09; 8:45 am]
BILLING CODE 8010-01-P
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