Proposed Collection; Comment Request, 53524 [E9-25115]
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53524
Federal Register / Vol. 74, No. 200 / Monday, October 19, 2009 / Notices
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copy Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
sroberts on DSKD5P82C1PROD with NOTICES
Extension:
Form N–5, SEC File No. 270–172, OMB
Control No. 3235–0169.
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.
Form N–5 (17 CFR 239.24 and
274.5)—Registration Statement of Small
Business Investment Companies Under
the Securities Act of 1933 (15 U.S.C. 77a
et seq.) and the Investment Company
Act of 1940 (15 U.S.C. 80a–1 et seq.)
Form N–5 is the integrated registration
statement form adopted by the
Commission for use by a small business
investment company which has been
licensed as such under the Small
Business Investment Act of 1958 and
has been notified by the Small Business
Administration that the company may
submit a license application, to register
its securities under the Securities Act of
1933 (‘‘Securities Act’’), and to register
as an investment company under
section 8 of the Investment Company
Act of 1940 (‘‘Investment Company
Act’’). The purpose of registration under
the Securities Act is to ensure that
investors are provided with material
information concerning securities
offered for public sale that will permit
investors to make informed decisions
regarding such securities. The
Commission staff reviews the
registration statements for the adequacy
and accuracy of the disclosure
contained therein. Without Form N–5,
the Commission would be unable to
carry out the requirements of the
Securities Act and the Investment
Company Act for registration of small
business investment companies. The
respondents to the collection of
information are small business
investment companies seeking to
register under the Investment Company
Act and to register their securities for
sale to the public under the Securities
Act. The estimated number of
respondents is one and the proposed
VerDate Nov<24>2008
16:51 Oct 16, 2009
Jkt 220001
frequency of response is annually. The
estimate of the total annual reporting
burden of the collection of information
is approximately 352 hours per
respondent, for a total annual burden of
352 hours.
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.
FINRA. The Commission is publishing
this notice to solicit comments on the
proposed rule change from interested
persons and simultaneously approving
the proposed rule change on an
accelerated basis.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
FINRA is proposing a rule change
relating to the publication of certain
daily and monthly short sale data on the
FINRA Web site. FINRA is not
proposing any textual changes to the ByLaws, Schedules to the By-Laws, or
Rules of FINRA.
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.
BILLING CODE 8011–01–P
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
FINRA 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 these statements
may be examined at the places specified
in Item IV below. FINRA has prepared
summaries, set forth in sections A, B,
and C below, of the most significant
aspects of such statements.
SECURITIES AND EXCHANGE
COMMISSION
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
Dated: October 13, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–25115 Filed 10–16–09; 8:45 am]
[Release No. 34–60807; File No. SR–FINRA–
2009–064]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Notice of Filing and
Order Granting Accelerated Approval
of Proposed Rule Change Relating to
the Publication of Certain Daily and
Monthly Short Sale Data on the FINRA
Web Site
October 9, 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
September 24, 2009, Financial Industry
Regulatory Authority, Inc. (‘‘FINRA’’)
filed with the Securities and Exchange
Commission (‘‘SEC’’ or ‘‘Commission’’)
the proposed rule change as described
in Items I and II below, which Items
have been substantially prepared by
1 15
2 17
PO 00000
U.S.C. 78s(b)(1).
CFR 240.19b–4.
Frm 00063
Fmt 4703
Sfmt 4703
1. Purpose
In coordination with SEC staff, FINRA
is publishing on its Web site: (1)
aggregate daily short sale volume data
by security for NMS stocks 3 and OTC
Equity Securities,4 and (2) monthly
short sale transaction data by security
for NMS stocks.5 Due to the more
3 Rule 600 of SEC Regulation NMS defines ‘‘NMS
stock’’ as any ‘‘NMS security’’ other than an option,
and further defines ‘‘NMS security’’ as any security
or class of securities for which transaction reports
are collected, processed, and made available
pursuant to an effective transaction reporting plan,
or an effective national market system plan for
reporting transactions in listed options.
4 FINRA Rule 6420 defines ‘‘OTC Equity
Security’’ as any non-exchange-listed security and
certain exchange-listed securities that do not
otherwise qualify for real-time trade reporting.
5 By letter dated July 2, 2009, and as discussed
in subsequent conversations, SEC staff requested
that FINRA publish on its Web site certain daily
short sale volume files and monthly short sale
transaction files. SEC staff stated that it believes
that the publication of this data, and the resulting
increased market transparency, may help bolster
investor confidence and thereby help promote
capital formation.
E:\FR\FM\19OCN1.SGM
19OCN1
]]>Agencies
[Federal Register Volume 74, Number 200 (Monday, October 19, 2009)]
[Notices]
[Page 53524]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-25115]
[[Page 53524]]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copy Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Form N-5, SEC File No. 270-172, OMB Control No. 3235-0169.
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.
Form N-5 (17 CFR 239.24 and 274.5)--Registration Statement of Small
Business Investment Companies Under the Securities Act of 1933 (15
U.S.C. 77a et seq.) and the Investment Company Act of 1940 (15 U.S.C.
80a-1 et seq.) Form N-5 is the integrated registration statement form
adopted by the Commission for use by a small business investment
company which has been licensed as such under the Small Business
Investment Act of 1958 and has been notified by the Small Business
Administration that the company may submit a license application, to
register its securities under the Securities Act of 1933 (``Securities
Act''), and to register as an investment company under section 8 of the
Investment Company Act of 1940 (``Investment Company Act''). The
purpose of registration under the Securities Act is to ensure that
investors are provided with material information concerning securities
offered for public sale that will permit investors to make informed
decisions regarding such securities. The Commission staff reviews the
registration statements for the adequacy and accuracy of the disclosure
contained therein. Without Form N-5, the Commission would be unable to
carry out the requirements of the Securities Act and the Investment
Company Act for registration of small business investment companies.
The respondents to the collection of information are small business
investment companies seeking to register under the Investment Company
Act and to register their securities for sale to the public under the
Securities Act. The estimated number of respondents is one and the
proposed frequency of response is annually. The estimate of the total
annual reporting burden of the collection of information is
approximately 352 hours per respondent, for a total annual burden of
352 hours.
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: October 13, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-25115 Filed 10-16-09; 8:45 am]
BILLING CODE 8011-01-P
