Proposed Collection; Comment Request, 3503 [2010-1022]

Download as PDF Federal Register / Vol. 75, No. 13 / Thursday, January 21, 2010 / Notices defined in Sec. 105.50 of the regulations. Notice is hereby given that any interested person may submit written comments on the transaction, within 15 days, to the Associate Administrator for Investment, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416. Sean J. Greene, Associate Administrator For Investment. [FR Doc. 2010–999 Filed 1–20–10; 8:45 am] BILLING CODE 8025–01–P SECURITIES AND EXCHANGE COMMISSION [Rule 17g–4; SEC File No. 270–566; OMB Control No. 3235–0627] jlentini on DSKJ8SOYB1PROD with NOTICES Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. 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 17g–4 (17 CFR 240.17g–4) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Rating Agency Act added a new Section 15E, ‘‘Registration of Nationally Recognized Statistical Rating Organizations,’’ 1 to the Exchange Act. Rule 17g–4 requires that a Nationally Recognized Statistical Rating Organization (‘‘NRSRO’’) has written policies and procedures to prevent the misuse of material nonpublic information including: procedures designed to prevent the inappropriate dissemination of material nonpublic information obtained in connection with the performance of credit rating services; procedures designed to prevent a person associated with the rating organization from trading on material nonpublic information; and procedures designed to prevent the inappropriate dissemination of a pending credit rating.2 It is anticipated that 30 credit rating agencies will register with the Commission as NRSROs under Section 1 15 U.S.C. 78o–7. Rule 17g–4. Release No. 34–55231 (Feb. 2, 2007), 72 FR 6378 (Feb. 9, 2007); and Release No. 34–55857 (June 5, 2007), 72 FR 33564 (June 18, 2007). 2 See VerDate Nov<24>2008 16:17 Jan 20, 2010 Jkt 220001 15E of the Exchange Act. The Commission estimates that it will take approximately 50 hours for an NRSRO to establish procedures in conformance with Rule 17g-4 for a total one-time burden for the 30 credit rating agencies the Commission estimates will register as NRSROs of 1,500 hours.3 Written comments are invited on: (a) Whether the collection of information is necessary for the proper 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. Comments should be directed to Charles Boucher, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Dated: January 13, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–1021 Filed 1–20–10; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. 3503 Appendix F requires a broker-dealer choosing to register, upon Commission approval, as an OTC derivatives dealer to develop and maintain an internal risk management system based on Value-atRisk (‘‘VAR’’) models. Appendix F also requires the OTC derivatives dealer to notify Commission staff of the system and of certain other periodic information including when the VAR model deviates from the actual performance of the OTC derivatives dealer’s portfolio. It is anticipated that a total of five (5) broker-dealers will spend 1,000 hours per year complying with Appendix F. The total burden is estimated to be approximately 5,000 hours. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper 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. Comments should be directed to Charles Boucher, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Dated: January 13, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–1022 Filed 1–20–10; 8:45 am] BILLING CODE 8011–01–P Extension: Rule 15c3–1f; SEC File No. 270–440; OMB Control No. 3235–0496. SECURITIES AND EXCHANGE COMMISSION 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 comment on the existing collection of information provided for in the following rule: Appendix F to Rule 15c3–1 (‘‘Appendix F’’) (17 CFR 240.15c3–1f) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). [Release No. 34–61342; File No. SR–BX– 2009–088] 3 50 PO 00000 hours × 30 NRSROs = 1,500 hours. Frm 00062 Fmt 4703 Sfmt 4703 Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Schedule of the Boston Options Exchange Facility January 13, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 E:\FR\FM\21JAN1.SGM 21JAN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 75, Number 13 (Thursday, January 21, 2010)]
[Notices]
[Page 3503]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-1022]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

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

Extension:
    Rule 15c3-1f; SEC File No. 270-440; OMB Control No. 3235-0496.

    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 comment on the existing 
collection of information provided for in the following rule: Appendix 
F to Rule 15c3-1 (``Appendix F'') (17 CFR 240.15c3-1f) under the 
Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange 
Act'').
    Appendix F requires a broker-dealer choosing to register, upon 
Commission approval, as an OTC derivatives dealer to develop and 
maintain an internal risk management system based on Value-at-Risk 
(``VAR'') models. Appendix F also requires the OTC derivatives dealer 
to notify Commission staff of the system and of certain other periodic 
information including when the VAR model deviates from the actual 
performance of the OTC derivatives dealer's portfolio. It is 
anticipated that a total of five (5) broker-dealers will spend 1,000 
hours per year complying with Appendix F. The total burden is estimated 
to be approximately 5,000 hours.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper 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.
    Comments should be directed to Charles Boucher, Director/Chief 
Information Officer, Securities and Exchange Commission, C/O Shirley 
Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send 
an e-mail to: PRA_Mailbox@sec.gov.

    Dated: January 13, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-1022 Filed 1-20-10; 8:45 am]
BILLING CODE 8011-01-P

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