Proposed Collection; Comment Request, 57539-57540 [E9-26751]

Download as PDF Federal Register / Vol. 74, No. 214 / Friday, November 6, 2009 / Notices SUMMARY: This is a notice of an Administrative declaration of a disaster for the Commonwealth of Kentucky dated 10/29/2009. Incident: Tornado and Severe Storms. Incident Period: 10/09/2009. Effective Date: 10/29/2009. Physical Loan Application Deadline Date: 12/28/2009. Economic Injury (EIDL) Loan Application Deadline Date: 07/29/2010. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: Notice is hereby given that as a result of the Administrator’s disaster declaration, applications for disaster loans may be filed at the address listed above or other locally announced locations. The following areas have been determined to be adversely affected by the disaster: Primary Counties: Casey. Contiguous Counties: Kentucky: Adair, Boyle, Lincoln, Marion, Pulaski, Russell, Taylor. The Interest Rates are: Percent mstockstill on DSKH9S0YB1PROD with NOTICES6 Homeowners with Credit Available Elsewhere ................................. Homeowners without Credit Available Elsewhere ......................... Businesses with Credit Available Elsewhere ................................. Businesses & Small Agricultural Cooperatives without Credit Available Elsewhere .................. Other (Including Non-Profit Organizations) with Credit Available Elsewhere ................................. Businesses and Non-Profit Organizations without Credit Available Elsewhere ......................... 5.500 2.750 6.000 California Disaster # CA–00142 AGENCY: U.S. Small Business Administration. ACTION: Amendment 1. SUMMARY: This is an amendment of the Administrative declaration of disaster for the State of California dated 09/14/ 2009. Incident: Station Fire. Incident Period: 08/26/2009 through 09/25/2009. Effective Date: 10/29/2009. Physical Loan Application Deadline Date: 11/13/2009. EIDL Loan Application Deadline Date: 06/14/2010. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: The notice of the Administrator’s disaster declaration for the State of California, dated 09/14/2009 is hereby amended to establish the incident period for this disaster as beginning 08/26/2009 and continuing through 09/25/2009. All other information in the original declaration remains unchanged. (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) Dated: October 29, 2009. Karen G. Mills, Administrator. [FR Doc. E9–26768 Filed 11–5–09; 8:45 am] 4.000 4.500 SECURITIES AND EXCHANGE COMMISSION [Rule 17Ad–11; SEC File No. 270–261; OMB Control No. 3235–0274] 4.000 (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) Dated: October 29, 2009. Karen G. Mills, Administrator. [FR Doc. E9–26766 Filed 11–5–09; 8:45 am] BILLING CODE 8025–01–P 18:23 Nov 05, 2009 [Disaster Declaration # 11880 and # 11881] BILLING CODE 8025–01–P The number assigned to this disaster for physical damage is 11922 C and for economic injury is 11923 O. The State which received an EIDL Declaration Number is Kentucky. VerDate Nov<24>2008 SMALL BUSINESS ADMINISTRATION Jkt 220001 Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. 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 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 57539 on the existing collection of information provided for in Rule 17Ad–11 (17 CFR 240.17Ad–11) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Rule 17Ad–11 requires all registered transfer agents to report to issuers and the appropriate regulatory agency in the event that aged record differences exceed certain dollar value thresholds. An aged record difference occurs when an issuer’s records do not agree with those of securityowners as indicated, for instance, on certificates presented to the transfer agent for purchase, redemption or transfer. In addition, the rule requires transfer agents to report to the appropriate regulatory agency in the event of a failure to post certificate detail to the master securityholder file within 5 business days of the time required by Rule 17Ad–10 (17 CFR 240.10). Also, transfer agents must maintain a copy of each report prepared under Rule 17Ad–11 for a period of three years following the date of the report. These recordkeeping requirements assist the Commission and other regulatory agencies with monitoring transfer agents and ensuring compliance with the rule. Because the information required by Rule 17Ad–11 is already available to transfer agents, any collection burden for small transfer agents is minimal. Based on a review of the number of Rule 17Ad–11 reports the Commission, the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation received since 2006, the Commission estimates that 25 respondents will file a total of approximately 30 reports annually. The Commission estimates that each report can be completed in 30 minutes. Therefore, the total annual hourly burden to the entire transfer agent industry is approximately 15 hours (30 minutes multiplied by 30 reports). Assuming an average hourly rate of a transfer agent staff employee of $25, the average total cost of the report is $12.50. The total cost for the approximate 25 respondents is approximately $750. 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 estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity E:\FR\FM\06NON1.SGM 06NON1 57540 Federal Register / Vol. 74, No. 214 / Friday, November 6, 2009 / Notices 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, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Dated: October 23, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–26751 Filed 11–5–09; 8:45 am] BILLING CODE 8011–01–P 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. mstockstill on DSKH9S0YB1PROD with NOTICES6 Extension: Rule 17Ad–13; SEC File No. 270–263; OMB Control No. 3235–0275. 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 existing collection of information provided for in Rule 17Ad–13 (17 CFR 240.17Ad–13) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Rule 17Ad–13 requires approximately 150 registered transfer agents to obtain an annual report on the adequacy of internal accounting controls. In addition, transfer agents must maintain copies of any reports prepared pursuant to Rule 17Ad–13 plus any documents prepared to notify the Commission and appropriate regulatory agencies in the event that the transfer agent is required to take any corrective action. The retention period for the report is three years following the date of the report. These recordkeeping requirements assist the Commission and other regulatory agencies with monitoring transfer agents VerDate Nov<24>2008 18:23 Nov 05, 2009 Jkt 220001 and ensuring compliance with the rule. Small transfer agents are exempt from Rule 17Ad–13. The staff estimates that the average number of hours necessary for each transfer agent to comply with Rule 17Ad–13 is one-hundred fifty hours annually. The total burden is 18,000 hours annually for transfer agents, based upon past submissions. The staff estimates that the average cost per hour is approximately $60. Therefore, the total cost of compliance for transfer agents is $1,080,000. 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 estimates 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, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Dated: October 23, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–26753 Filed 11–5–09; 8:45 am] BILLING CODE 8011–01–P 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–8B–2; SEC File No. 270–186; OMB Control No. 3235–0186. 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 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 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–8B–2 (17 CFR 274.12) is the form used by unit investment trusts (‘‘UITs’’) other than separate accounts that are currently issuing securities, including UITs that are issuers of periodic payment plan certificates and UITs of which a management investment company is the sponsor or depositor, to comply with the filing and disclosure requirements imposed by section 8(b) of the Investment Company Act of 1940 (15 U.S.C. 80a–8(b)). Form N–8B–2 requires disclosure about the organization of a UIT, its securities, the personnel and affiliated persons of the depositor, the distribution and redemption of securities, the trustee or custodian, and financial statements. The Commission uses the information provided in the collection of information to determine compliance with section 8(b) of the Investment Company Act. Based on the Commission’s industry statistics, the Commission estimates that there would be approximately two initial filings on Form N–8B–2 and 14 post-effective amendment filings to the Form annually. The Commission estimates that each registrant filing an initial Form N–8B–2 would spend 44 hours in preparing and filing the Form and that the total hour burden for all initial Form N–8B–2 filings would be 88 hours. Also, the Commission estimates that each UIT filing a post-effective amendment to Form N–8B–2 would spend 16 hours in preparing and filing the amendment and that the total hour burden for all post-effective amendments to the Form would be 224 hours. By combining the total hour burdens estimated for initial Form N–8B–2 filings and post-effective amendments filings to the Form, the Commission estimates that the total annual burden hours for all registrants on Form N–8B–2 would be 312. Estimates of the burden hours are made solely for the purposes of the PRA, and are not derived from a comprehensive or even a representative survey or study of the costs of SEC rules and forms. The information provided on Form N–8B–2 is mandatory. The information provided on Form N–8B–2 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 OMB control number. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper E:\FR\FM\06NON1.SGM 06NON1

Agencies

[Federal Register Volume 74, Number 214 (Friday, November 6, 2009)]
[Notices]
[Pages 57539-57540]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-26751]


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SECURITIES AND EXCHANGE COMMISSION

[Rule 17Ad-11; SEC File No. 270-261; OMB Control No. 3235-0274]


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

    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 existing 
collection of information provided for in Rule 17Ad-11 (17 CFR 
240.17Ad-11) under the Securities Exchange Act of 1934 (15 U.S.C. 78a 
et seq.) (``Exchange Act''). The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget for extension and approval.
    Rule 17Ad-11 requires all registered transfer agents to report to 
issuers and the appropriate regulatory agency in the event that aged 
record differences exceed certain dollar value thresholds. An aged 
record difference occurs when an issuer's records do not agree with 
those of securityowners as indicated, for instance, on certificates 
presented to the transfer agent for purchase, redemption or transfer. 
In addition, the rule requires transfer agents to report to the 
appropriate regulatory agency in the event of a failure to post 
certificate detail to the master securityholder file within 5 business 
days of the time required by Rule 17Ad-10 (17 CFR 240.10). Also, 
transfer agents must maintain a copy of each report prepared under Rule 
17Ad-11 for a period of three years following the date of the report. 
These recordkeeping requirements assist the Commission and other 
regulatory agencies with monitoring transfer agents and ensuring 
compliance with the rule.
    Because the information required by Rule 17Ad-11 is already 
available to transfer agents, any collection burden for small transfer 
agents is minimal. Based on a review of the number of Rule 17Ad-11 
reports the Commission, the Comptroller of the Currency, the Board of 
Governors of the Federal Reserve System, and the Federal Deposit 
Insurance Corporation received since 2006, the Commission estimates 
that 25 respondents will file a total of approximately 30 reports 
annually. The Commission estimates that each report can be completed in 
30 minutes. Therefore, the total annual hourly burden to the entire 
transfer agent industry is approximately 15 hours (30 minutes 
multiplied by 30 reports). Assuming an average hourly rate of a 
transfer agent staff employee of $25, the average total cost of the 
report is $12.50. The total cost for the approximate 25 respondents is 
approximately $750.
    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 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity

[[Page 57540]]

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, VA 22312 or send an e-
mail to: PRA_Mailbox@sec.gov.

    Dated: October 23, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-26751 Filed 11-5-09; 8:45 am]
BILLING CODE 8011-01-P
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