Proposed Collection; Comment Request, 22637 [2010-9878]
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Federal Register / Vol. 75, No. 82 / Thursday, April 29, 2010 / Notices
monthly report summarizing the futures
market’s trading of security futures
products. The information required to
be filed with the Commission pursuant
to Rule 6a–4 is designed to enable the
Commission to carry out its statutorily
mandated oversight functions and to
ensure that registered and exempt
exchanges continue to be in compliance
with the Act.
The respondents to the collection of
information are futures markets.
The Commission estimates that the
total annual burden for all respondents
to provide the amendments and
periodic updates under Rule 6a–4
would be 45 hours (15 hours/
respondent per year × 3 respondents)
and $300 of miscellaneous clerical
expenses. The Commission estimates
that the total annual burden for the
filing of the supplemental information
and the monthly reports required under
Rule 6a–4 would be 37.5 hours (12.5
hours/respondent per year × 3
respondents) (rounded to 38 hours) and
$375 of miscellaneous clerical expenses.
Compliance with Rule 6a–4 is
mandatory. Information received in
response to Rule 6a–4 shall not be kept
confidential; the information collected
is public information.
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 shall have practical utility;
(b) the accuracy of the agency’s estimate
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. Comments
must be submitted within 60 days of
this notice.
Dated: April 22, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–9879 Filed 4–28–10; 8:45 am]
BILLING CODE 8011–01–P
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SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 607; SEC File No. 270–561; OMB
Control No. 3235–0634.
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’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Regulation E (17 CFR 230.601 to 610a)
allows the exemption of securities
issued by a small business investment
company (‘‘SBIC’’) which is registered
under the Investment Company Act of
1940 (‘‘Investment Company Act’’) (15
U.S.C. 80a-1 et seq.) or a closed-end
investment company that has elected to
be regulated as a business development
company (‘‘BDC’’) under the Investment
Company Act from registration under
the Securities Act of 1933 (‘‘Securities
Act’’) (15 U.S.C. 77a et seq.), so long as
the aggregate offering price of all
securities of the issuer that may be sold
within a 12-month period does not
exceed $5,000,000 and certain other
conditions are met. Rule 607 under
Regulation E (17 CFR 230.607) entitled,
‘‘Sales material to be filed,’’ requires
sales material used in connection with
securities offerings under Regulation E
to be filed with the Commission at least
five days (excluding weekends and
holidays) prior to its use.1 Commission
staff reviews sales material filed under
rule 607 for materially misleading
statements and omissions. The
requirements of rule 607 are designed
for investor protection.
Respondents to this collection of
information include SBICs and BDCs
making an offering of securities under
Regulation E. Each respondent’s
reporting burden under rule 607 relates
to the burden associated with filing its
sales material electronically. The
1 Sales material includes advertisements, articles
or other communications to be published in
newspapers, magazines, or other periodicals; radio
and television scripts; and letters, circulars or other
written communications proposed to be sent given
or otherwise communicated to more than ten
persons.
PO 00000
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22637
burden of filing electronically, however,
is negligible and there have been no
filings made under this rule, so this
collection of information does not
impose any burden on the industry.
However, we are requesting one annual
response and an annual burden of one
hour for administrative purposes. The
estimate of average burden hours is
made solely for purposes of the
Paperwork Reduction Act and is not
derived from a quantitative,
comprehensive, or even representative
survey or study of the burdens
associated with Commission rules and
forms.
The requirements of this collection of
information are mandatory. Responses
will not be 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 control
number.
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.
Please direct your written comments
to 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.
Dated: April 20, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–9878 Filed 4–27–10; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
from: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
E:\FR\FM\29APN1.SGM
29APN1
]]>Agencies
[Federal Register Volume 75, Number 82 (Thursday, April 29, 2010)]
[Notices]
[Page 22637]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-9878]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Rule 607; SEC File No. 270-561; OMB Control No. 3235-0634.
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'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit this existing collection of information to the Office of
Management and Budget for extension and approval.
Regulation E (17 CFR 230.601 to 610a) allows the exemption of
securities issued by a small business investment company (``SBIC'')
which is registered under the Investment Company Act of 1940
(``Investment Company Act'') (15 U.S.C. 80a-1 et seq.) or a closed-end
investment company that has elected to be regulated as a business
development company (``BDC'') under the Investment Company Act from
registration under the Securities Act of 1933 (``Securities Act'') (15
U.S.C. 77a et seq.), so long as the aggregate offering price of all
securities of the issuer that may be sold within a 12-month period does
not exceed $5,000,000 and certain other conditions are met. Rule 607
under Regulation E (17 CFR 230.607) entitled, ``Sales material to be
filed,'' requires sales material used in connection with securities
offerings under Regulation E to be filed with the Commission at least
five days (excluding weekends and holidays) prior to its use.\1\
Commission staff reviews sales material filed under rule 607 for
materially misleading statements and omissions. The requirements of
rule 607 are designed for investor protection.
---------------------------------------------------------------------------
\1\ Sales material includes advertisements, articles or other
communications to be published in newspapers, magazines, or other
periodicals; radio and television scripts; and letters, circulars or
other written communications proposed to be sent given or otherwise
communicated to more than ten persons.
---------------------------------------------------------------------------
Respondents to this collection of information include SBICs and
BDCs making an offering of securities under Regulation E. Each
respondent's reporting burden under rule 607 relates to the burden
associated with filing its sales material electronically. The burden of
filing electronically, however, is negligible and there have been no
filings made under this rule, so this collection of information does
not impose any burden on the industry. However, we are requesting one
annual response and an annual burden of one hour for administrative
purposes. The estimate of average burden hours is made solely for
purposes of the Paperwork Reduction Act and is not derived from a
quantitative, comprehensive, or even representative survey or study of
the burdens associated with Commission rules and forms.
The requirements of this collection of information are mandatory.
Responses will not be 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 control number.
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.
Please direct your written comments to 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.
Dated: April 20, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-9878 Filed 4-27-10; 8:45 am]
BILLING CODE 8011-01-P
