Submission for OMB Review; Comment Request, 68289 [E9-30432]

Download as PDF Federal Register / Vol. 74, No. 245 / Wednesday, December 23, 2009 / Notices requirements in Regulation R, Rule 701 are 500 1 hours for brokers or dealers. 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. December 16, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–30431 Filed 12–22–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. srobinson on DSKHWCL6B1PROD with NOTICES Extension: Rule 30e–1; SEC File No. 270–21; OMB Control No. 3235–0025. 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 title for the collection of information is: Rule 30e–1 (CFR 270.30e–1) under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) Reports to Stockholders of Management Companies. Section 30(e) (15 U.S.C. 80a–29(e)) of the Investment 1 (2000 notices × 15 minutes) = 30,000 minutes/ 60 minutes = 500 hours. VerDate Nov<24>2008 16:41 Dec 22, 2009 Jkt 220001 Company Act of 1940 (‘‘Investment Company Act’’) requires a registered investment company (‘‘fund’’) to transmit to its shareholders, at least semi-annually, reports containing financial statements and other financial information as the Commission may prescribe by rules and regulations. In addition, Section 30(f) permits the Commission to require by rule that semi-annual reports include such other information as the Commission deems necessary or appropriate in the public interest or for the protection of investors. Rule 30e–1 generally requires a fund to transmit to its shareholders, at least semi-annually, reports containing the information that is required to be included in such reports by the fund’s registration statement form under the Investment Company Act. Failure to require the collection of this information would seriously impede the amount of current information available to shareholders and the public about funds and would prevent the Commission from implementing the regulatory program required by statute. Approximately 2,800 funds, with a total of approximately 10,460 portfolios, respond to rule 30e–1 annually. The proposed frequency of response is semiannual. The estimate of the total annual reporting burden of the collection of information is approximately 114.2 hours per portfolio, and the total estimated annual burden for the industry is 1,194,532 hours (114.2 hours × 10,460 portfolios). Providing the information required by rule 30e–1 is mandatory. Responses will not be kept confidential. Estimates of the 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 SEC rules and forms. 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 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. PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 68289 December 16, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–30432 Filed 12–22–09; 8:45 am] BILLING CODE 8011–01–P 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–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’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. 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 to the Securities Act and 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 E:\FR\FM\23DEN1.SGM 23DEN1

Agencies

[Federal Register Volume 74, Number 245 (Wednesday, December 23, 2009)]
[Notices]
[Page 68289]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-30432]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

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

Extension:
    Rule 30e-1; SEC File No. 270-21; OMB Control No. 3235-0025.

    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 title for the collection of information is: Rule 30e-1 (CFR 
270.30e-1) under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et 
seq.) Reports to Stockholders of Management Companies. Section 30(e) 
(15 U.S.C. 80a-29(e)) of the Investment Company Act of 1940 
(``Investment Company Act'') requires a registered investment company 
(``fund'') to transmit to its shareholders, at least semi-annually, 
reports containing financial statements and other financial information 
as the Commission may prescribe by rules and regulations. In addition, 
Section 30(f) permits the Commission to require by rule that semi-
annual reports include such other information as the Commission deems 
necessary or appropriate in the public interest or for the protection 
of investors. Rule 30e-1 generally requires a fund to transmit to its 
shareholders, at least semi-annually, reports containing the 
information that is required to be included in such reports by the 
fund's registration statement form under the Investment Company Act. 
Failure to require the collection of this information would seriously 
impede the amount of current information available to shareholders and 
the public about funds and would prevent the Commission from 
implementing the regulatory program required by statute. Approximately 
2,800 funds, with a total of approximately 10,460 portfolios, respond 
to rule 30e-1 annually. The proposed frequency of response is semi-
annual. The estimate of the total annual reporting burden of the 
collection of information is approximately 114.2 hours per portfolio, 
and the total estimated annual burden for the industry is 1,194,532 
hours (114.2 hours x 10,460 portfolios). Providing the information 
required by rule 30e-1 is mandatory. Responses will not be kept 
confidential. Estimates of the 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 
SEC rules and forms.
    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 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, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-30432 Filed 12-22-09; 8:45 am]
BILLING CODE 8011-01-P
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