Proposed Collection; Comment Request, 57540-57541 [E9-26752]

Download as PDF 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 Federal Register / Vol. 74, No. 214 / Friday, November 6, 2009 / Notices 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 29, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–26752 Filed 11–5–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] Minecore International, Inc.; Order of Suspension of Trading November 4, 2009. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Minecore International, Inc. (‘‘Minecore’’) because it has not filed a periodic report since its 10–KSB for the fiscal year ending December 31, 2001, filed on June 30, 2004. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of Minecore. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of Minecore is suspended for the period from 9:30 a.m. EST on November 4, 2009, through 11:59 p.m. EST on November 17, 2009. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. E9–26896 Filed 11–4–09; 11:15 am] BILLING CODE 8011–01–P mstockstill on DSKH9S0YB1PROD with NOTICES6 Sunshine Act Meeting 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 its annual forum on small business capital formation on November 19, 2009 beginning at 9 a.m. The forum will include roundtables focusing on the state of small business capital formation and the SEC’s accredited investor definition for private and limited offerings. The roundtables will take place in the Auditorium of the Commission’s headquarters at 100 F Street, NE., Washington, DC and will be open to the public with seating on a first-come, firstserved basis. Doors will open at 8:30 a.m. Visitors will be subject to security checks. For further information, please contact Anthony Barone at 202–551– 3261. Dated: November 3, 2009. Elizabeth M. Murphy, Secretary. [FR Doc. E9–26894 Filed 11–4–09; 11:15 am] 18:23 Nov 05, 2009 [Release No. 34–60908; File No. SR– NYSEAmex–2009–77] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its Schedule of Fees and Charges for Exchange Services October 30, 2009. Pursuant to Section 19(b)(1)1 of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that, on October 27, 2009, NYSE Amex LLC (‘‘NYSE Amex’’ 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 selfregulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 BILLING CODE 8011–01–P VerDate Nov<24>2008 SECURITIES AND EXCHANGE COMMISSION Jkt 220001 PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 57541 I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to its Schedule of Fees and Charges for Exchange Services (‘‘Schedule’’) by waiving the Cancellation Fee until February 1, 2010. The text of the proposed rule change is attached as Exhibit 5 to the 19b–4 form. A copy of this filing is available on the Exchange’s Web site at https://www.nyse.com, at the Exchange’s principal office and at the Commission’s Public Reference Room. 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 self-regulatory organization 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. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Cancellation Fee is currently waived until November 1, 2009.4 Due to competitive concerns in the options marketplace and customer feedback, the Exchange hereby proposes to continue to waive the Cancellation Fee until February 1, 2010. At that time, the Exchange will reevaluate its need to implement the fee, in light of current market conditions. 2. Statutory Basis The Exchange believes that the proposal is consistent with Section 6(b) of the Securities Exchange Act of 1934 (the ‘‘Act’’),5 in general, and Section 6(b)(4),6 in particular, in that it provides for the equitable allocation of dues, fees and other charges among its members and other market participants that use the trading facilities of NYSE Amex Options. Under this proposal, all similarly situated members and other Exchange participants of NYSE Amex 4 See Securities Exchange Act Release No. 34– 60452 (August 5, 2009), 74 FR 40861 (August 13, 2009) (SR–AMEX–2009–54). 5 15 U.S.C. 78f(b). 6 15 U.S.C. 78f(b)(4). E:\FR\FM\06NON1.SGM 06NON1

Agencies

[Federal Register Volume 74, Number 214 (Friday, November 6, 2009)]
[Notices]
[Pages 57540-57541]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-26752]


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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-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 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

[[Page 57541]]

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 29, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-26752 Filed 11-5-09; 8:45 am]
BILLING CODE 8011-01-P
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