30-Day Notice of Proposed Information Collections: DS-4143, Brokering Prior Approval (License), OMB No. 1405-0142; DS-4142, Annual Brokering Report, OMB No. 1405-0141, 3271-3272 [2010-989]
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Federal Register / Vol. 75, No. 12 / Wednesday, January 20, 2010 / Notices
registered broker-dealer has a
continuing obligation to retain its
required books and records for the
remainder of the specified retention
periods.5
To that end, Form BDW (Uniform
Request for Broker-Dealer Withdrawal)
requires that the member identify and
provide the contact information of the
person who will have custody of the
firm’s books and records after the firm
has discontinued its business
operations. The form also requires that
the firm provide the address where the
books and records will be located, if
different than the custodian’s address.
In addition, Form BDW provides that
the firm and the person signing the form
on behalf of the firm must certify that
the firm’s books and records will be
preserved and made available for
inspection.
NASD Rule 3121 requires a member
to designate as the custodian of its
required books and records on Form
BDW a person who is associated with
the firm at the time Form BDW is filed.
The rule, which was approved by the
Commission in 2000,6 is intended to
enhance FINRA’s ability to obtain
required books and records from firms
that are no longer conducting business
and to ensure that the custodian of the
books and records has been subject to
certain background checks.7 There is no
comparable Incorporated NYSE Rule.
Therefore, FINRA proposed to adopt
NASD Rule 3121 as FINRA Rule 4570 in
the Consolidated FINRA Rulebook, with
only minor technical changes.
Specifically, NASD Rule 3121 currently
states that a member must designate an
associated person ‘‘as the custodian of
the record’’; the revised rule text will
reflect that the associated person is
designated ‘‘as the custodian of the
member’s books and records,’’ which is
consistent with the terminology used in
Form BDW.
The Commission finds that the
proposed rule change is consistent with
the requirements of the Act and the
rules and regulations thereunder
applicable to a national securities
association.8 In particular, the
Commission finds that the proposal is
consistent with Section 15A(b)(6) of the
5 17
CFR 240.17a–4(g).
Securities Exchange Act Release No. 43102
(August 1, 2000), 65 FR 48266 (August 7, 2000)
(Order Approving File No. SR–NASD–99–76).
7 For example, associated persons who have
custody of a member’s original books and records
relating to securities or funds are subject to the
fingerprinting requirements of SEA Rule 17f–2 for
purposes of a criminal background check.
8 In approving this proposed rule change, the
Commission has considered the proposed rule’s
impact on efficiency, competition, and capital
formation. 15 U.S.C. 78c(f).
pwalker on DSK8KYBLC1PROD with NOTICES
6 See
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16:06 Jan 19, 2010
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Act,9 which requires, among other
things, that FINRA’s rules be designed
to prevent fraudulent and manipulative
acts and practices, to promote just and
equitable principles of trade, and, in
general, to protect investors and the
public interest. The Commission
believes that the proposed rule change
will further the purposes of the Act by,
among other things, enhancing FINRA’s
ability to obtain required books and
records from member firms that are no
longer conducting business. The
Commission therefore believes that it is
appropriate and consistent with the Act
for the Exchange to include adopt the
Custodian of Books and Records rule.
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,10 that the
proposed rule change (SR–FINRA–
2009–080) is approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–924 Filed 1–19–10; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF STATE
[Public Notice 6871]
30-Day Notice of Proposed Information
Collections: DS–4143, Brokering Prior
Approval (License), OMB No. 1405–
0142; DS–4142, Annual Brokering
Report, OMB No. 1405–0141
ACTION: Notice of request for public
comment and submission to OMB of
proposed collections of information.
SUMMARY: The Department of State has
submitted the following information
collection request to the Office of
Management and Budget (OMB) for
approval in accordance with the
Paperwork Reduction Act of 1995.
• Title of Information Collection:
Brokering Prior Approval (License).
• OMB Control Number: 1405–0142.
• Type of Request: Extension of
Currently Approved Collection.
• Originating Office: Bureau of
Political-Military Affairs, Directorate of
Defense Trade Controls, PM/DDTC.
• Form Number: None.
• Respondents: Business and
Nonprofit Organizations.
• Estimated Number of Respondents:
980.
• Estimated Number of Responses:
100.
9 15
U.S.C. 78o–3(b)(6).
U.S.C. 78s(b)(2).
11 17 CFR 200.30–3(a)(12).
10 15
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Sfmt 4703
3271
• Average Hours per Response: 2
hours.
• Total Estimated Burden: 200 hours.
• Frequency: On Occasion.
• Obligation to Respond: Required to
Obtain Benefits.
• Title of Information Collection:
Annual Brokering Report.
• OMB Control Number: 1405–0141.
• Type of Request: Extension of
Currently Approved Collection.
• Originating Office: Bureau of
Political-Military Affairs, Directorate of
Defense Trade Controls, PM/DDTC.
• Form Number: None.
• Respondents: Business and
Nonprofit Organizations.
• Estimated Number of Respondents:
980.
• Estimated Number of Responses:
600.
• Average Hours per Response: 2
hours.
• Total Estimated Burden: 1,200
hours.
• Frequency: On Occasion.
• Obligation to Respond: Mandatory.
DATES: Submit comments to the Office
of Management and Budget (OMB) for
up to 30 days from January 20, 2010.
ADDRESSES: Direct comments to the
Department of State Desk Officer in the
Office of Information and Regulatory
Affairs at the Office of Management and
Budget (OMB). You may submit
comments by the following methods:
• E-mail:
oira_submission@omb.eop.gov. You
must include the DS form number,
information collection title, and OMB
control number in the subject line of
your message.
• Fax: 202–395–5806. Attention: Desk
Officer for Department of State.
FOR FURTHER INFORMATION CONTACT: You
may obtain copies of the proposed
information collections and supporting
documents from Nicholas Memos, PM/
DDTC, SA–1, 12th Floor, Directorate of
Defense Trade Controls, Bureau of
Political-Military Affairs, U.S.
Department of State, Washington, DC
20522–0112, who may be reached via
phone at (202) 663–2804, or via e-mail
at memosni@state.gov.
SUPPLEMENTARY INFORMATION: We are
soliciting public comments to permit
the Department to:
• Evaluate whether the proposed
information collection is necessary to
properly perform our functions.
• Evaluate the accuracy of our
estimate of the burden of the proposed
collection, including the validity of the
methodology and assumptions used.
• Enhance the quality, utility, and
clarity of the information to be
collected.
E:\FR\FM\20JAN1.SGM
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3272
Federal Register / Vol. 75, No. 12 / Wednesday, January 20, 2010 / Notices
• Minimize the reporting burden on
those who are to respond.
Abstract of proposed collections: The
export, temporary import, temporary
export and brokering of defense articles,
defense services and related technical
data are licensed by the Directorate of
Defense Trade Controls in accordance
with the International Traffic in Arms
Regulations (22 CFR parts 120–130) and
Section 38 of the Arms Export Control
Act. Those of the public who
manufacture or export defense articles,
defense services, and related technical
data, or the brokering thereof, must
register with the Department of State.
Persons desiring to engage in export,
temporary import, and brokering
activities must submit an application or
written request to conduct the
transaction to the Department to obtain
a decision whether it is in the interests
of U.S. foreign policy and national
security to approve the transaction.
Also, registered brokers must submit
annual reports regarding all brokering
activity that was transacted, and
registered manufacturers and exporter
must maintain records of defense trade
activities for five years.
Methodology: These forms/
information collections may be sent to
the Directorate of Defense Trade
Controls via the following methods:
Electronically, mail, personal delivery,
and/or fax.
Made Real: Spanish Painting and
Sculpture 1600–1700,’’ imported from
abroad for temporary exhibition within
the United States, are of cultural
significance. The objects are imported
pursuant to loan agreements with the
foreign owners or custodians. I also
determine that the exhibition or display
of the exhibit objects at the National
Gallery of Art, Washington, DC, from on
or about February 28, 2010, until on or
about May 31, 2010, and at possible
additional exhibitions or venues yet to
be determined, is in the national
interest. I have ordered that Public
Notice of these Determinations be
published in the Federal Register.
FOR FURTHER INFORMATION CONTACT: For
further information, including a list of
the exhibit objects, contact Paul W.
Manning, Attorney-Adviser, Office of
the Legal Adviser, U.S. Department of
State (telephone: 202–632–6469). The
mailing address is U.S. Department of
State, SA–5, L/PD, Fifth Floor (Suite
5H03), Washington, DC 20522–0505.
Dated: January 8, 2010.
Robert S. Kovac,
Acting Deputy Assistant Secretary for Defense
Trade, Bureau of Political-Military Affairs,
Department of State.
DEPARTMENT OF STATE
[FR Doc. 2010–989 Filed 1–19–10; 8:45 am]
BILLING CODE 1710–25–P
DEPARTMENT OF STATE
[Public Notice 6876]
pwalker on DSK8KYBLC1PROD with NOTICES
Culturally Significant Objects Imported
for Exhibition Determinations: ‘‘The
Sacred Made Real: Spanish Painting
and Sculpture 1600–1700’’
SUMMARY: Notice is hereby given of the
following determinations: Pursuant to
the authority vested in me by the Act of
October 19, 1965 (79 Stat. 985; 22 U.S.C.
2459), Executive Order 12047 of March
27, 1978, the Foreign Affairs Reform and
Restructuring Act of 1998 (112 Stat.
2681, et seq.; 22 U.S.C. 6501 note, et
seq.), Delegation of Authority No. 234 of
October 1, 1999, Delegation of Authority
No. 236 of October 19, 1999, as
amended, and Delegation of Authority
No. 257 of April 15, 2003 [68 FR 19875],
I hereby determine that the objects to be
included in the exhibition ‘‘The Sacred
VerDate Nov<24>2008
16:06 Jan 19, 2010
Jkt 220001
Dated: January 12, 2010.
Maura M. Pally,
Deputy Assistant Secretary for Professional
and Cultural Exchanges, Bureau of
Educational and Cultural Affairs, Department
of State.
[FR Doc. 2010–986 Filed 1–19–10; 8:45 am]
BILLING CODE 4710–05–P
[Public Notice 6866]
Shipping Coordinating Committee;
Notice of Committee Meeting
The Shipping Coordinating
Committee (SHC) will conduct an open
meeting at 9:30 a.m. on Tuesday
February 2, 2010, in Room 6103 of the
United States Coast Guard Headquarters
Building, 2100 Second Street, SW.,
Washington, DC 20593–0001. The
primary purpose of the meeting is to
prepare for the fourteenth Session of the
International Maritime Organization
(IMO) Subcommittee on Bulk Liquids
and Gases (BLG) to be held at the IMO
Headquarters, United Kingdom, from
February 8 to February 12, 2010.
This announcement might appear in
the Federal Register less than 15 days
prior to the meeting. The Department of
State finds that there is an exceptional
circumstance, in that this advisory
committee meeting must be held on
February 2nd in order to prepare for the
IMO Subcommittee meeting to be
convened on February 8th.
The primary matters to be considered
include:
—Adoption of the agenda.
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—Decisions of other IMO bodies.
—Evaluation of safety and pollution
hazards of chemicals and preparation
of consequential amendments.
—Application of the requirements for
the carriage of bio-fuels and bio-fuel
blends.
—Development of guidelines and other
documents for uniform
implementation of the 2004 BWM
Convention.
—Development of provisions for gasfuelled ships.
—Casualty analysis.
—Consideration of IACS unified
interpretations.
—Development of international
measures for minimizing the transfer
of invasive aquatic species through
bio-fouling of ships.
—Revision of the IGC Code.
—Safety requirements for natural gas
hydrate pellet carriers.
—Review of relevant non-mandatory
instruments as a consequence of the
amended MARPOL Annex VI and the
NOX Technical Code.
—Revision of the Recommendations for
entering enclosed spaces aboard
ships.
—Work programme and agenda for BLG
15.
—Election of Chairman and ViceChairman for 2011.
—Any other business.
—Report to the Committees.
Members of the public may attend
this meeting up to the seating capacity
of the room. To facilitate the building
security process, those who plan to
attend should contact the meeting
coordinator, Mr. Thomas Felleisen, by email at Thomas.J.Felleisen@uscg.mil, by
phone at (202) 372–1424, by fax at (202)
372–1926, or in writing at Commandant
(CG–5223), U.S. Coast Guard, 2100 2nd
Street, SW., Stop 7126, Washington, DC
20593–7126, not later than January 26,
2010, 7 days prior to the meeting. A
member of the public requesting
reasonable accommodation should also
make such request prior to January 26,
2010. Requests made after January 26,
2010 might not be able to be
accommodated. Please note that due to
security considerations, two valid,
government issued photo identifications
must be presented to gain entrance to
the Headquarters building.
The Headquarters building is
accessible by taxi and privately owned
conveyance (public transportation is not
generally available). However, parking
in the vicinity of the building is
extremely limited. Additional
information regarding this and other
IMO SHC public meetings may be found
at: https://www.uscg.mil/imo.
E:\FR\FM\20JAN1.SGM
20JAN1
]]>Agencies
[Federal Register Volume 75, Number 12 (Wednesday, January 20, 2010)]
[Notices]
[Pages 3271-3272]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-989]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF STATE
[Public Notice 6871]
30-Day Notice of Proposed Information Collections: DS-4143,
Brokering Prior Approval (License), OMB No. 1405-0142; DS-4142, Annual
Brokering Report, OMB No. 1405-0141
ACTION: Notice of request for public comment and submission to OMB of
proposed collections of information.
-----------------------------------------------------------------------
SUMMARY: The Department of State has submitted the following
information collection request to the Office of Management and Budget
(OMB) for approval in accordance with the Paperwork Reduction Act of
1995.
Title of Information Collection: Brokering Prior Approval
(License).
OMB Control Number: 1405-0142.
Type of Request: Extension of Currently Approved
Collection.
Originating Office: Bureau of Political-Military Affairs,
Directorate of Defense Trade Controls, PM/DDTC.
Form Number: None.
Respondents: Business and Nonprofit Organizations.
Estimated Number of Respondents: 980.
Estimated Number of Responses: 100.
Average Hours per Response: 2 hours.
Total Estimated Burden: 200 hours.
Frequency: On Occasion.
Obligation to Respond: Required to Obtain Benefits.
Title of Information Collection: Annual Brokering Report.
OMB Control Number: 1405-0141.
Type of Request: Extension of Currently Approved
Collection.
Originating Office: Bureau of Political-Military Affairs,
Directorate of Defense Trade Controls, PM/DDTC.
Form Number: None.
Respondents: Business and Nonprofit Organizations.
Estimated Number of Respondents: 980.
Estimated Number of Responses: 600.
Average Hours per Response: 2 hours.
Total Estimated Burden: 1,200 hours.
Frequency: On Occasion.
Obligation to Respond: Mandatory.
DATES: Submit comments to the Office of Management and Budget (OMB) for
up to 30 days from January 20, 2010.
ADDRESSES: Direct comments to the Department of State Desk Officer in
the Office of Information and Regulatory Affairs at the Office of
Management and Budget (OMB). You may submit comments by the following
methods:
E-mail: oira_submission@omb.eop.gov. You must include the
DS form number, information collection title, and OMB control number in
the subject line of your message.
Fax: 202-395-5806. Attention: Desk Officer for Department
of State.
FOR FURTHER INFORMATION CONTACT: You may obtain copies of the proposed
information collections and supporting documents from Nicholas Memos,
PM/DDTC, SA-1, 12th Floor, Directorate of Defense Trade Controls,
Bureau of Political-Military Affairs, U.S. Department of State,
Washington, DC 20522-0112, who may be reached via phone at (202) 663-
2804, or via e-mail at memosni@state.gov.
SUPPLEMENTARY INFORMATION: We are soliciting public comments to permit
the Department to:
Evaluate whether the proposed information collection is
necessary to properly perform our functions.
Evaluate the accuracy of our estimate of the burden of the
proposed collection, including the validity of the methodology and
assumptions used.
Enhance the quality, utility, and clarity of the
information to be collected.
[[Page 3272]]
Minimize the reporting burden on those who are to respond.
Abstract of proposed collections: The export, temporary import,
temporary export and brokering of defense articles, defense services
and related technical data are licensed by the Directorate of Defense
Trade Controls in accordance with the International Traffic in Arms
Regulations (22 CFR parts 120-130) and Section 38 of the Arms Export
Control Act. Those of the public who manufacture or export defense
articles, defense services, and related technical data, or the
brokering thereof, must register with the Department of State. Persons
desiring to engage in export, temporary import, and brokering
activities must submit an application or written request to conduct the
transaction to the Department to obtain a decision whether it is in the
interests of U.S. foreign policy and national security to approve the
transaction. Also, registered brokers must submit annual reports
regarding all brokering activity that was transacted, and registered
manufacturers and exporter must maintain records of defense trade
activities for five years.
Methodology: These forms/information collections may be sent to the
Directorate of Defense Trade Controls via the following methods:
Electronically, mail, personal delivery, and/or fax.
Dated: January 8, 2010.
Robert S. Kovac,
Acting Deputy Assistant Secretary for Defense Trade, Bureau of
Political-Military Affairs, Department of State.
[FR Doc. 2010-989 Filed 1-19-10; 8:45 am]
BILLING CODE 1710-25-P
