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