Proposed Collection; Comment Request, 23311 [2010-10215]
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Federal Register / Vol. 75, No. 84 / Monday, May 3, 2010 / Notices
Commission uses the information
provided in the application filed
pursuant to Rule 19d–3 to review final
actions taken by SROs including: (1)
Disciplinary sanctions; (2) denials of
membership, participation or
association; and (3) prohibitions on or
limitations of access to SRO services.
It is estimated that approximately 15
respondents will utilize this application
procedure annually, with a total burden
of 270 hours, for all respondents to
complete all submissions. This figure is
based upon past submissions. The staff
estimates that the average number of
hours necessary to comply with the
requirements of Rule 19d–3 is 18 hours.
The average cost per hour, to complete
each submission, is approximately $101.
Therefore, the total cost of compliance
for all respondents is $27,270. (15
submissions × 18 hours × $101 per
hour).
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.
Please direct your written comments
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.
Dated: April 26, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–10213 Filed 4–30–10; 8:45 am]
BILLING CODE 8010–01–P
erowe on DSK5CLS3C1PROD with NOTICES
SECURITIES AND EXCHANGE
COMMISSION
[Rule 19d–1; SEC File No. 270–242; OMB
Control No. 3235–0206]
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
VerDate Mar<15>2010
15:35 Apr 30, 2010
Jkt 220001
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 19d–1 (17 CFR
240.19d–1)—Notices by Self-Regulatory
Organizations of Final Disciplinary
Actions, Denials Bars, or Limitations
Respecting Membership, Association, or
Access to Services, and Summary
Suspensions. The Commission plans to
submit this existing collection of
information to the Office of
Management and Budget for extension
and approval.
Rule 19d–1 (‘‘Rule’’) under the
Securities Exchange Act of 1934 (17
U.S.C. 78a et seq.) prescribes the form
and content of notices to be filed with
the Commission by self-regulatory
organizations (‘‘SROs’’) for which the
Commission is the appropriate
regulatory agency concerning the
following final SRO actions: (1)
Disciplinary sanctions (including
summary suspensions); (2) denials of
membership, participation or
association with a member; and (3)
prohibitions or limitations on access to
SRO services.
The Rule enables the Commission to
obtain reports from the SROs containing
information regarding SRO
determinations to discipline members or
associated persons of members, deny
membership or participation or
association with a member, and similar
adjudicated findings. The Rule requires
that such actions be promptly reported
to the Commission. The Rule also
requires that the reports and notices
supply sufficient information regarding
the background, factual basis and issues
involved in the proceeding to enable the
Commission: (1) To determine whether
the matter should be called up for
review on the Commission’s own
motion; and (2) to ascertain generally
whether the SRO has adequately carried
out its responsibilities under the
Exchange Act.
It is estimated that 10 respondents
will utilize this application procedure
annually, with a total burden of 1,175
hours, based upon past submissions.
This figure is based on 10 respondents,
spending approximately 117.5 hours
each per year. Each respondent
submitted approximately 235 responses.
The staff estimates that the average
number of hours necessary to comply
with the requirements of Rule 19d–1 for
each submission is 0.5 hours. The
average cost per hour, per each
PO 00000
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Sfmt 4703
23311
submission is approximately $101.
Therefore, the total cost of compliance
for all the respondents is $118,675. (10
respondents × 235 responses per
respondent × .5 hrs per response × $101
per hour).
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.
Direct your written comments 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.
Dated: April 26, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–10215 Filed 4–30–10; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Rule 17f–4; SEC File No. 270–232; OMB
Control No. 3235–0225]
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: 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. 350l–3520), 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.
Section 17(f) (15 U.S.C. 80a–17(f))
under the Investment Company Act of
E:\FR\FM\03MYN1.SGM
03MYN1
]]>Agencies
[Federal Register Volume 75, Number 84 (Monday, May 3, 2010)]
[Notices]
[Page 23311]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-10215]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Rule 19d-1; SEC File No. 270-242; OMB Control No. 3235-0206]
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: 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 19d-1 (17 CFR 240.19d-1)--Notices by
Self-Regulatory Organizations of Final Disciplinary Actions, Denials
Bars, or Limitations Respecting Membership, Association, or Access to
Services, and Summary Suspensions. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
Rule 19d-1 (``Rule'') under the Securities Exchange Act of 1934 (17
U.S.C. 78a et seq.) prescribes the form and content of notices to be
filed with the Commission by self-regulatory organizations (``SROs'')
for which the Commission is the appropriate regulatory agency
concerning the following final SRO actions: (1) Disciplinary sanctions
(including summary suspensions); (2) denials of membership,
participation or association with a member; and (3) prohibitions or
limitations on access to SRO services.
The Rule enables the Commission to obtain reports from the SROs
containing information regarding SRO determinations to discipline
members or associated persons of members, deny membership or
participation or association with a member, and similar adjudicated
findings. The Rule requires that such actions be promptly reported to
the Commission. The Rule also requires that the reports and notices
supply sufficient information regarding the background, factual basis
and issues involved in the proceeding to enable the Commission: (1) To
determine whether the matter should be called up for review on the
Commission's own motion; and (2) to ascertain generally whether the SRO
has adequately carried out its responsibilities under the Exchange Act.
It is estimated that 10 respondents will utilize this application
procedure annually, with a total burden of 1,175 hours, based upon past
submissions. This figure is based on 10 respondents, spending
approximately 117.5 hours each per year. Each respondent submitted
approximately 235 responses. The staff estimates that the average
number of hours necessary to comply with the requirements of Rule 19d-1
for each submission is 0.5 hours. The average cost per hour, per each
submission is approximately $101. Therefore, the total cost of
compliance for all the respondents is $118,675. (10 respondents x 235
responses per respondent x .5 hrs per response x $101 per hour).
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.
Direct your written comments 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.
Dated: April 26, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-10215 Filed 4-30-10; 8:45 am]
BILLING CODE 8010-01-P
