Reporting and Recordkeeping Requirements Under OMB Review, 45259-45260 [E9-20993]
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Federal Register / Vol. 74, No. 168 / Tuesday, September 1, 2009 / Notices
DHGS60075 Special Assistant to the
Director, Center for Faith Based and
Community Initiatives. Effective July
20, 2009.
DHGS60511 Special Assistant to the
Deputy Assistant Secretary and InterDepartmental Liaison for Early
Childhood Development. Effective
July 21, 2009.
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Department of Education
DBGS00222 Confidential Assistant to
the Director, Race to the Top.
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2009.
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17:18 Aug 31, 2009
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VerDate Nov<24>2008
Department of Energy
45259
SMALL BUSINESS ADMINISTRATION
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General Counsel to the President and
Chairman. Effective July 1, 2009.
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President and Chairman. Effective
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Reporting and Recordkeeping
Requirements Under OMB Review
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Department of Transportation
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Deputy Secretary. Effective July 13,
2009.
Authority: 5 U.S.C. 3301 and 3302; E.O.
10577, 3 CFR 1954–1958 Comp., p. 218.
Office of Personnel Management.
John Berry,
Director.
[FR Doc. E9–21038 Filed 8–31–09; 8:45 am]
BILLING CODE 6325–39–P
Small Business Administration.
Notice of Reporting
Requirements Submitted for OMB
Review.
AGENCY:
ACTION:
SUMMARY: Under the provisions of the
Paperwork Reduction Act (44 U.S.C.
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01SEN1
45260
Federal Register / Vol. 74, No. 168 / Tuesday, September 1, 2009 / Notices
Chapter 35), agencies are required to
submit proposed reporting and
recordkeeping requirements to OMB for
review and approval, and to publish a
notice in the Federal Register notifying
the public that the agency has made
such a submission.
DATES: Submit comments on or before
October 1, 2009. If you intend to
comment but cannot prepare comments
promptly, please advise the OMB
Reviewer and the Agency Clearance
Officer before the deadline.
Copies: Request for clearance (OMB
83–1), supporting statement, and other
documents submitted to OMB for
review may be obtained from the
Agency Clearance Officer.
ADDRESSES: Address all comments
concerning this notice to: Agency
Clearance Officer, Jacqueline White,
Small Business Administration, 409 3rd
Street, SW., 5th Floor, Washington, DC
20416; and OMB Reviewer, Office of
Information and Regulatory Affairs,
Office of Management and Budget, New
Executive Office Building, Washington,
DC 20503.
FOR FURTHER INFORMATION CONTACT:
Jacqueline White, Agency Clearance
Officer, (202) 205–7044.
SUPPLEMENTARY INFORMATION:
Title: Request for Information
Concerning Portfolio Financing.
SBA Form Number: 857.
Frequency: On Occasion.
Description of Respondents: SBIC
Investment Companies.
Responses: 2,160.
Annual Burden: 2,160.
Title: Financial Institution
Confirmation form.
SBA Form Number: 860.
Frequency: On Occasion.
Description of Respondents: SBIC
Investment Companies.
Responses: 1,500.
Annual Burden: 750.
Title: SBA Counseling Evaluation.
SBA Form Number: 1419.
Frequency: On Occasion.
Description of Respondents: Small
Business Clients.
Responses: 15,000.
Annual Burden: 2,550.
Jacqueline White,
Chief, Administrative Information Branch.
[FR Doc. E9–20993 Filed 8–31–09; 8:45 am]
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BILLING CODE P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
VerDate Nov<24>2008
17:18 Aug 31, 2009
Jkt 217001
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 154, SEC File No. 270–438, OMB
Control No. 3235–0495.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501–3520), 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 extension
and approval.
The Federal securities laws generally
prohibit an issuer, underwriter, or
dealer from delivering a security for sale
unless a prospectus meeting certain
requirements accompanies or precedes
the security. Rule 154 (17 CFR 230.154)
under the Securities Act of 1933 (15
U.S.C. 77a) (the ‘‘Securities Act’’)
permits, under certain circumstances,
delivery of a single prospectus to
investors who purchase securities from
the same issuer and share the same
address (‘‘householding’’) to satisfy the
applicable prospectus delivery
requirements.1 The purpose of rule 154
is to reduce the amount of duplicative
prospectuses delivered to investors
sharing the same address.
Under rule 154, a prospectus is
considered delivered to all investors at
a shared address, for purposes of the
Federal securities laws, if the person
relying on the rule delivers the
prospectus to the shared address and
the investors consent to the delivery of
a single prospectus. The rule applies to
prospectuses and prospectus
supplements. Currently, the rule
permits householding of all
prospectuses by an issuer, underwriter,
or dealer relying on the rule if, in
addition to the other conditions set forth
in the rule, the issuer, underwriter, or
dealer has obtained from each investor
written or implied consent to
householding.2 The rule requires
1 The Securities Act requires the delivery of
prospectuses to investors who buy securities from
an issuer or from underwriters or dealers who
participate in a registered distribution of securities.
See Securities Act sections 2(a)(10), 4(1), 4(3), 5(b)
[15 U.S.C. 77b(a)(10), 77d(1), 77d(3), 77e(b); see
also rule 174 under the Securities Act (17 CFR
230.174) (regarding the prospectus delivery
obligation of dealers); rule 15c2–8 under the
Securities Exchange Act of 1934 (17 CFR 240.15c2–
8) (prospectus delivery obligations of brokers and
dealers).
2 Rule 154 permits the householding of
prospectuses that are delivered electronically to
investors only if delivery is made to a shared
electronic address and the investors give written
consent to householding. Implied consent is not
permitted in such a situation. See rule 154(b)(4).
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issuers, underwriters, or dealers that
wish to household prospectuses with
implied consent to send a notice to each
investor stating that the investors in the
household will receive one prospectus
in the future unless the investors
provide contrary instructions. In
addition, at least once a year, issuers,
underwriters, or dealers relying on rule
154 for the householding of
prospectuses relating to open-end
management investment companies that
are registered under the Investment
Company Act of 1940 (‘‘mutual funds’’)
must explain to investors who have
provided written or implied consent
how they can revoke their consent.
Preparing and sending the notice and
the annual explanation of the right to
revoke are collections of information.
The rule allows issuers, underwriters,
or dealers to household prospectuses if
certain conditions are met. Among the
conditions with which a person relying
on the rule must comply are providing
notice to each investor that only one
prospectus will be sent to the household
and, in the case of issuers that are
mutual funds, providing to each
investor who consents to householding
an annual explanation of the right to
revoke consent to the delivery of a
single prospectus to multiple investors
sharing an address. The purpose of the
notice and annual explanation
requirements of the rule is to ensure that
investors who wish to receive
individual copies of prospectuses are
able to do so.
Although rule 154 is not limited to
mutual funds, the Commission believes
that it is used mainly by mutual funds
and by broker-dealers that deliver
prospectuses for mutual funds. The
Commission is unable to estimate the
number of issuers other than mutual
funds that rely on the rule.
The Commission estimates that, as of
December 2008, there are approximately
1,960 mutual funds, approximately 150
of which engage in direct marketing and
therefore deliver their own
prospectuses. The Commission
estimates that each direct-marketed
mutual fund will spend an average of 20
hours per year complying with the
notice requirement of the rule, for a total
of 3,000 hours. The Commission
estimates that each direct-marketed
fund will also spend 1 hour complying
with the explanation of the right to
revoke requirement of the rule, for a
total of 150 hours. The Commission
estimates that there are approximately
320 broker-dealers that carry customer
accounts and, therefore, may be
required to deliver mutual fund
prospectuses. The Commission
estimates that each affected broker-
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[Federal Register Volume 74, Number 168 (Tuesday, September 1, 2009)]
[Notices]
[Pages 45259-45260]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-20993]
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SMALL BUSINESS ADMINISTRATION
Reporting and Recordkeeping Requirements Under OMB Review
AGENCY: Small Business Administration.
ACTION: Notice of Reporting Requirements Submitted for OMB Review.
-----------------------------------------------------------------------
SUMMARY: Under the provisions of the Paperwork Reduction Act (44 U.S.C.
[[Page 45260]]
Chapter 35), agencies are required to submit proposed reporting and
recordkeeping requirements to OMB for review and approval, and to
publish a notice in the Federal Register notifying the public that the
agency has made such a submission.
DATES: Submit comments on or before October 1, 2009. If you intend to
comment but cannot prepare comments promptly, please advise the OMB
Reviewer and the Agency Clearance Officer before the deadline.
Copies: Request for clearance (OMB 83-1), supporting statement, and
other documents submitted to OMB for review may be obtained from the
Agency Clearance Officer.
ADDRESSES: Address all comments concerning this notice to: Agency
Clearance Officer, Jacqueline White, Small Business Administration, 409
3rd Street, SW., 5th Floor, Washington, DC 20416; and OMB Reviewer,
Office of Information and Regulatory Affairs, Office of Management and
Budget, New Executive Office Building, Washington, DC 20503.
FOR FURTHER INFORMATION CONTACT: Jacqueline White, Agency Clearance
Officer, (202) 205-7044.
SUPPLEMENTARY INFORMATION:
Title: Request for Information Concerning Portfolio Financing.
SBA Form Number: 857.
Frequency: On Occasion.
Description of Respondents: SBIC Investment Companies.
Responses: 2,160.
Annual Burden: 2,160.
Title: Financial Institution Confirmation form.
SBA Form Number: 860.
Frequency: On Occasion.
Description of Respondents: SBIC Investment Companies.
Responses: 1,500.
Annual Burden: 750.
Title: SBA Counseling Evaluation.
SBA Form Number: 1419.
Frequency: On Occasion.
Description of Respondents: Small Business Clients.
Responses: 15,000.
Annual Burden: 2,550.
Jacqueline White,
Chief, Administrative Information Branch.
[FR Doc. E9-20993 Filed 8-31-09; 8:45 am]
BILLING CODE P
