Submission for OMB Review; Comment Request, 68080-68081 [E9-30338]

Download as PDF 68080 Federal Register / Vol. 74, No. 244 / Tuesday, December 22, 2009 / Notices Review Board’s review. That list omitted an issue that is included below: The retention bonus agreement requires a promise to not make derogatory statements against Florida Power & Light Company. Dated at Rockville, Maryland, this 11th day of December 2009. For the Nuclear Regulatory Commission. Thomas B. Blount, Deputy Director, Division of Policy and Rulemaking, Office of Nuclear Reactor Regulation. [FR Doc. E9–30383 Filed 12–21–09; 8:45 am] BILLING CODE 7590–01–P NUCLEAR REGULATORY COMMISSION [NRC–2009–0043] Office of New Reactors; Notice of Availability Standard Review Plan Section 9.5.1.2 on Risk-Informed, Performance-Based Fire Protection Program AGENCY: Nuclear Regulatory Commission (NRC). ACTION: Notice of availability. The NRC is issuing its Final Guidance on NUREG–0800, ‘‘Standard Review Plan for the Review of Safety Analysis Reports for Nuclear Power Plants,’’ Section 9.5.1.2 on staff guidance on Risk-Informed (RI), Performance-Based (PB) Fire Protection Program (FPP) for Operating Nuclear Power Plants (Agencywide Documents Access and Management System (ADAMS) Accession No. ML092590527). This guidance is being issued as an alternate to the existing guidance currently provided under Standard Review Plan (SRP) Section 9.5.1.1. This is stand alone guidance and is provided for the benefit of licensees of existing plants who choose to adopt RI/PB FPP that meets the requirements of National Fire Protection Association (NFPA) Standard 805. The NRC staff issues notices to facilitate timely implementation of the current staff guidance and to facilitate activities associated with the review of amendment applications for transitioning to RI/PB FPPs. The NRC staff will also incorporate the approved SRP section 9.5.1.2 into the next revisions of Regulatory Guide (RG) 1.205 and any related guidance documents. This guidance is applicable only to currently operating nuclear reactor licensees. This SRP is not endorsing NFPA 805, since that standard is already a part of Title 10 of the Code of Federal Regulations, Section srobinson on DSKHWCL6B1PROD with NOTICES SUMMARY: VerDate Nov<24>2008 18:01 Dec 21, 2009 Jkt 220001 50.48(c) rule (10 CFR 50.48(c)). In addition, this SRP does not directly endorse the guidance document issued by the industry (Nuclear Energy Institute (NEI) 04–02, ‘‘Guidance for Implementing a Risk Informed, Performance-Based Fire Protection Program under 10 CFR 50.48(c),’’ Revision 2) for plants transitioning to an NFPA 805 FPP. RG 1.205 provides the staff’s positions with respect to NEI 04–02. Background: The draft SRP, which was published for public comment in the Federal Register in January 2009, is in ADAMS under Accession No. ML090050052. This SRP section was issued initially as Revision 0, and as a new guidance in January 2009, and was offered to stakeholders for comments under the agency’s Federal Register notice published on February 5, 2009 (74 FR 6181). Numbers of comments were received as result of the proposed notice and are being dispositioned and the guidance is being issued as final with this revision. The public comments can be found at ADAMS Accession Nos. ML091100448, ML091480255, and ML091480256. The NRC ADAMS provides text and image files of NRC’s public documents. These documents may be accessed through the NRC’s Public Electronic Reading Room on the Internet at https://www.nrc.gov/reading-rm/ adams.html. Persons who do not have access to ADAMS or who encounter problems in accessing the documents located in ADAMS should contact the NRC Public Document Room reference staff by telephone at 1–800–397–4209, 301–415–4737, or by e-mail at pdr.resource@nrc.gov. ADDRESSES: FOR FURTHER INFORMATION CONTACT: Mr. Alexander R. Klein, Chief, Fire Protection Branch, Division of Risk Assessment, Office of the Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC, 20555–0001; telephone at 301–415– 2822 or e-mail at Alex.Klein@nrc.gov. The agency posts its issued staff guidance in the agency external Web page (https:// www.nrc.gov/reading-rm/doccollections/isg/). SUPPLEMENTARY INFORMATION: Dated at Rockville, Maryland, this 15th day of December 2009. For the Nuclear Regulatory Commission. William F. Burton, Chief, Rulemaking and Guidance Development Branch, Division of New Reactor Licensing, Office of New Reactors. [FR Doc. E9–30382 Filed 12–21–09; 8:45 am] BILLING CODE 7590–01–P PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; 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–8A; File No. 270–135; OMB Control No. 3235–0175. 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’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. The Investment Company Act of 1940, as amended (‘‘1940 Act’’) (15 U.S.C. 80a–1 et seq.), requires investment companies to register with the Commission before they conduct any business in interstate commerce. Section 8(a) of the 1940 Act provides that an investment company shall be deemed to be registered upon receipt by the Commission of a notification of registration in such form as the Commission prescribes. Form N–8A (17 CFR 274.10) is the form for notification of registration that the Commission has adopted under section 8(a). The purpose of such notification of registration provided on Form N–8A is to notify the Commission of the existence of investment companies required to be registered under the 1940 Act and to enable the Commission to administer the provisions of the 1940 Act with respect to those companies. After an investment company has filed its notification of registration under section 8(a), the company is then subject to the provisions of the 1940 Act which govern certain aspects of its organization and activities, such as the composition of its board of directors and the issuance of senior securities. Form N–8A requires an investment company to provide its name, state of organization, form of organization, classification, the name and address of each investment adviser of the investment company, the current value of its total assets and certain other information readily available to the investment company. If the investment company is filing a registration statement as required by Section 8(b) of the 1940 Act concurrently with its notification of registration, Form N–8A requires only that the registrant file the cover page (giving its name, address and E:\FR\FM\22DEN1.SGM 22DEN1 Federal Register / Vol. 74, No. 244 / Tuesday, December 22, 2009 / Notices agent for service of process) and sign the form in order to effect registration. Each year approximately 105 investment companies file a notification on Form N–8A, which is required to be filed only once by an investment company. The Commission estimates that preparing Form N–8A requires an investment company to spend approximately 1 hour so that the total burden of preparing Form N–8A for all affected investment companies is 105 hours. Estimates of average burden hours are made solely for the purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even a representative survey or study of the costs of Commission rules and forms. The collection of information on Form N–8A is mandatory. The information provided on Form N–8A is not 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. Please direct general comments regarding the above information to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or send an e-mail to Shagufta Ahmed at Shagufta_Ahmed@omb.eop.gov; and (ii) 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. Comments must be submitted to OMB within 30 days of this notice. December 16, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–30338 Filed 12–21–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION srobinson on DSKHWCL6B1PROD with NOTICES [Release No. 34–61171; File No. SR–FINRA– 2009–086] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook December 15, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 VerDate Nov<24>2008 18:01 Dec 21, 2009 Jkt 220001 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on December 2, 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, II, and III below, which Items have been prepared by FINRA. 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 FINRA is proposing to adopt NASD Rule 2770 (Disclosure of Price in Selling Agreements) as FINRA Rule 5160 in the consolidated FINRA rulebook without material change. 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. 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. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 68081 Agreements), without material change, as FINRA Rule 5160. NASD Rule 2770 requires certain disclosures in selling agreements.4 Specifically, the rule requires that selling syndicate agreements or selling group agreements 5 (1) set forth the price at which securities are to be sold to the public or the formula by which such price can be ascertained and (2) state clearly to whom and under what circumstances concessions, if any, may be allowed.6 It is customary industry practice that both of these items are contained in selling agreements. FINRA believes that these disclosures are important in ensuring the integrity of the public offering process. Specifically, the requirement to set forth the price at which the securities are to be sold to the public creates a contractual obligation among the selling group participants to offer the security to investors at the same price. The second requirement to set forth to whom and under what circumstances concessions, if any, are allowed gives the selling syndicate or selling group control over who may be compensated for participating in the offering. NASD Rule 2770 has not been substantively amended since it was adopted in 1939. FINRA believes that Rule 2770’s application and scope are clear and that the rule is achieving its intended purpose as part of FINRA’s regulatory scheme governing member activity in securities offerings. FINRA proposes to transfer NASD Rule 2770 into the Consolidated FINRA Rulebook without material change as new FINRA Rule 5160. However, FINRA proposes one minor change to the title of the rule to clarify that in addition to disclosing the price of a security in an offering, selling agreements must also disclose 1. Purpose As part of the process of developing a new consolidated rulebook (‘‘Consolidated FINRA Rulebook’’), 3 FINRA is proposing to adopt NASD Rule 2770 (Disclosure of Price in Selling 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 The current FINRA rulebook consists of (1) FINRA Rules; (2) NASD Rules; and (3) rules incorporated from NYSE (‘‘Incorporated NYSE Rules’’) (together, the NASD Rules and Incorporated NYSE Rules are referred to as the ‘‘Transitional Rulebook’’). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (‘‘Dual Members’’). The FINRA Rules apply to all FINRA members, unless such rules have a more limited application by their terms. For more information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). 2 17 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 4 Rule 2770, formerly designated as Section 7 in Article III of the Rules of Fair Practice, was adopted in 1939 as part of FINRA’s original rulebook. See Certificate of Incorporation and Bylaws, Rules of Fair Practice and Code of Procedure for Handling Trade Practice Complaints of National Association of Securities Dealers, Inc. (August 8, 1939). The precursor to NASD Rule 2770 was originally drafted by the Investment Bankers Code Committee in 1934. See Code of Fair Competition for Investment Bankers With a Descriptive Analysis of Its Fair Practice Provisions and a History of Its Preparation (1934). 5 The terms ‘‘selling group’’ and ‘‘selling syndicate’’ are defined in NASD Rules 0120(p) and (q), respectively. (Other than to reflect the new conventions of the Consolidated FINRA Rulebook, FINRA does not propose to alter these two definitions, which will be addressed later in the rulebook consolidation process.) 6 Pursuant to FINRA Rule 0150, NASD Rule 2770 is applicable to transactions in, and business activities relating to, exempted securities, except municipal securities, conducted by members and associated persons. E:\FR\FM\22DEN1.SGM 22DEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 74, Number 244 (Tuesday, December 22, 2009)]
[Notices]
[Pages 68080-68081]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-30338]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; 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-8A; File No. 270-135; OMB Control No. 3235-0175.

    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'') has submitted to the Office of 
Management and Budget a request for extension of the previously 
approved collection of information discussed below.
    The Investment Company Act of 1940, as amended (``1940 Act'') (15 
U.S.C. 80a-1 et seq.), requires investment companies to register with 
the Commission before they conduct any business in interstate commerce. 
Section 8(a) of the 1940 Act provides that an investment company shall 
be deemed to be registered upon receipt by the Commission of a 
notification of registration in such form as the Commission prescribes. 
Form N-8A (17 CFR 274.10) is the form for notification of registration 
that the Commission has adopted under section 8(a). The purpose of such 
notification of registration provided on Form N-8A is to notify the 
Commission of the existence of investment companies required to be 
registered under the 1940 Act and to enable the Commission to 
administer the provisions of the 1940 Act with respect to those 
companies. After an investment company has filed its notification of 
registration under section 8(a), the company is then subject to the 
provisions of the 1940 Act which govern certain aspects of its 
organization and activities, such as the composition of its board of 
directors and the issuance of senior securities. Form N-8A requires an 
investment company to provide its name, state of organization, form of 
organization, classification, the name and address of each investment 
adviser of the investment company, the current value of its total 
assets and certain other information readily available to the 
investment company. If the investment company is filing a registration 
statement as required by Section 8(b) of the 1940 Act concurrently with 
its notification of registration, Form N-8A requires only that the 
registrant file the cover page (giving its name, address and

[[Page 68081]]

agent for service of process) and sign the form in order to effect 
registration.
    Each year approximately 105 investment companies file a 
notification on Form N-8A, which is required to be filed only once by 
an investment company. The Commission estimates that preparing Form N-
8A requires an investment company to spend approximately 1 hour so that 
the total burden of preparing Form N-8A for all affected investment 
companies is 105 hours. Estimates of average burden hours are made 
solely for the purposes of the Paperwork Reduction Act, and are not 
derived from a comprehensive or even a representative survey or study 
of the costs of Commission rules and forms.
    The collection of information on Form N-8A is mandatory. The 
information provided on Form N-8A is not 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.
    Please direct general comments regarding the above information to 
the following persons: (i) Desk Officer for the Securities and Exchange 
Commission, Office of Management and Budget, Room 10102, New Executive 
Office Building, Washington, DC 20503 or send an e-mail to Shagufta 
Ahmed at Shagufta_Ahmed@omb.eop.gov; and (ii) 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. Comments must be submitted to OMB within 
30 days of this notice.

     December 16, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-30338 Filed 12-21-09; 8:45 am]
BILLING CODE 8011-01-P

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