Submission for OMB Review; Comment Request, 29591-29592 [2010-12554]

Download as PDF Federal Register / Vol. 75, No. 101 / Wednesday, May 26, 2010 / Notices SMALL BUSINESS ADMINISTRATION [Disaster Declaration #12161 and #12162] Tennessee Disaster Number TN–00038 Small Business Administration. Amendment 5. AGENCY: ACTION: SUMMARY: This is an amendment of the Presidential declaration of a major disaster for Public Assistance Only for the State of Tennessee (FEMA–1909– DR), dated 05/04/2010. Incident: Severe Storms, Flooding, Straight-Line Winds and Tornadoes. Incident Period: 04/30/2010 and continuing. Effective Date: 05/19/2010. Physical Loan Application Deadline Date: 07/06/2010. Economic Injury (EIDL) Loan Application Deadline Date: 02/04/2011. ADDRESSES: Submit completed loan applications to: Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: The notice of the President’s major disaster declaration for Private Non-Profit organizations in the State of TENNESSEE, dated 05/04/2010, is hereby amended to include the following areas as adversely affected by the disaster. Primary Counties: Benton, Cannon, Giles, Marshall, Pickett, Sumner. All other information in the original declaration remains unchanged. DATES: (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) James E. Rivera, Associate Administrator for Disaster Assistance. [FR Doc. 2010–12589 Filed 5–25–10; 8:45 am] BILLING CODE 8025–01–P wwoods2 on DSK1DXX6B1PROD with NOTICES_PART 1 SECURITIES AND EXCHANGE COMMISSION [Rule 15a–4; SEC File No. 270–7; OMB Control No. 3235–0010] 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. VerDate Mar<15>2010 17:47 May 25, 2010 Jkt 220001 Extension: Rule 15a–4, SEC File No. 270–7, OMB Control No. 3235–0010. 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’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. Rule 15a–4 (17 CFR 240.15a–4) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et. seq.) (the ‘‘Exchange Act’’) permits a natural person member of a securities exchange who terminates his or her association with a registered broker-dealer to continue to transact business on the exchange while the Commission reviews his or her application for registration as a brokerdealer if the exchange files a statement indicating that there does not appear to be any ground for disapproving the application. The total annual burden imposed by Rule 15a–4 is approximately 42 hours, based on approximately 10 responses (10 Respondents × 1 Response/Respondent), each requiring approximately 4.23 hours to complete. The Commission uses the information disclosed by applicants in Form BD: (1) To determine whether the applicant meets the standards for registration set forth in the provisions of the Exchange Act; (2) to develop a central information resource where members of the public may obtain relevant, up-to-date information about broker-dealers, municipal securities dealers and government securities broker-dealers, and where the Commission, other regulators and SROs may obtain information for investigatory purposes in connection with securities litigation; and (3) to develop statistical information about broker-dealers, municipal securities dealers and government securities broker-dealers. Without the information disclosed in Form BD, the Commission could not effectively implement policy objectives of the Exchange Act with respect to its investor protection function. The statement submitted by the exchange assures the Commission that the applicant, in the opinion of the exchange, is qualified to transact business on the exchange during the time that the applications are reviewed. Completing and filing Form BD is mandatory in order for a natural person member of a securities exchange who terminates his or her association with a registered broker-dealer to obtain the 45day extension under Rule 15a–4. Compliance with Rule 15a–4 does not PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 29591 involve the collection of confidential information. Please note that 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. Comments should be directed to (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or by sending an e-mail to: Shagufta_Ahmed@omb.eop.gov; and (ii) 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 to OMB within 30 days of this notice. Dated: May 19, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–12555 Filed 5–25–10; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Notice of Exempt; OMB Control No. 3235– 0452; SEC File No. 270–396; Preliminary Roll-Up Communication] 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: Notice of Exempt, OMB Control No. 3235–0452, SEC File No. 270–396, Preliminary Roll-Up Communication. 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’’) has submitted to the Office of Management and Budget this request for extension of the previously approved collection of information discussed below. A Notice of Exempt Preliminary RollUp Communication (‘‘Notice’’) (17 CFR 240.14a–104) provides information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant Exchange Act Rule (17 CFR 240.14a–2(b)(4)) and Exchange Act Rule (17 CFR 240.14a– 6(n)). The Notice is filed on occasion and the information required is E:\FR\FM\26MYN1.SGM 26MYN1 29592 Federal Register / Vol. 75, No. 101 / Wednesday, May 26, 2010 / Notices mandatory. All information is provided to the public upon request. The Notice takes approximately 0.25 hours per response and is filed by 4 respondents for a total of one annual burden hour. 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 regarding the above information should be directed to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or send an email to: 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. Dated: May 19, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–12554 Filed 5–25–10; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–62135; File No. SR– NASDAQ–2010–060] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Companies To Provide Notification to Nasdaq of Any Noncompliance With the Corporate Governance Requirements wwoods2 on DSK1DXX6B1PROD with NOTICES_PART 1 May 19, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on May 14, 2010, The NASDAQ Stock Market LLC (‘‘Nasdaq’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by Nasdaq. Nasdaq has designated the proposed rule change as effecting a change described under Rule 19b–4(f)(6) under the Act,3 which renders the proposal effective upon 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 17 CFR 240.19b–4(f)(6). 15:16 May 25, 2010 I. Self-Regulatory Organization’s Statement of the Terms of the Substance of the Proposed Rule Change Nasdaq proposes to require companies to provide notification to Nasdaq of any noncompliance with the corporate governance requirements. Nasdaq will implement the proposed rule change thirty days after the date of the filing. The text of the proposed rule change is below. Proposed new language is in italics; proposed deletions are in [brackets].4 * * * * * 5250. Obligations for Companies Listed on The Nasdaq Stock Market (a) Obligation to Provide Information to Nasdaq (1) Nasdaq may request any additional information or documentation, public or non-public, deemed necessary to make a determination regarding a Company’s continued listing, including, but not limited to, any material provided to or received from the Commission or Other Regulatory Authority. A Company may be denied continued listing if it fails to provide such information within a reasonable period of time or if any communication to Nasdaq contains a material misrepresentation or omits material information necessary to make the communication to Nasdaq not misleading. The Company shall provide full and prompt responses to requests by Nasdaq or by FINRA acting on behalf of Nasdaq for information related to unusual market activity or to events that may have a material impact on trading of its securities in Nasdaq. [ (1)] (2) As set forth in Rule 5625, a Company must provide Nasdaq with prompt notification after an Executive Officer of the Company becomes aware of any [material] noncompliance by the Company with the requirements of the Rule 5600 Series. (b)–(f) No change. * * * * * 5615. Exemptions from Certain Corporate Governance Requirements This rule provides the exemptions from the corporate governance rules afforded to certain types of Companies, and sets forth the phase-in schedules for initial public offerings, Companies emerging from bankruptcy and Companies transferring from other 4 Changes are marked to the rule text that appears in the electronic manual of Nasdaq found at https:// nasdaqomx.cchwallstreet.com. 2 17 VerDate Mar<15>2010 filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. Jkt 220001 PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 markets. This rule also describes the applicability of the corporate governance rules to Controlled Companies and sets forth the phase-in schedule afforded to Companies ceasing to be Controlled Companies. (a) Exemptions to the Corporate Governance Requirements (1) No change IM–5615–1. No change. (2) No change. IM–5615–2. No change. (3) Foreign Private Issuers (A) A Foreign Private Issuer may follow its home country practice in lieu of the requirements of the Rule 5600 Series, the requirement to distribute annual and interim reports set forth in Rule 5250(d), and the Direct Registration Program requirement set forth in Rules 5210(c) and 5255, provided, however, that such a Company shall: Comply with the Notification of [Material] Noncompliance requirement (Rule 5625), the Voting Rights requirement (Rule 5640), have an audit committee that satisfies Rule 5605(c)(3), and ensure that such audit committee’s members meet the independence requirement in Rule 5605(c)(2)(A)(ii). Except as provided in this paragraph, a Foreign Private Issuer must comply with the requirements of the Rule 5000 Series. (B) No change IM–5615–3. Foreign Private Issuers A Foreign Private Issuer (as defined in Rule 5005) listed on Nasdaq may follow the practice in such Company’s home country (as defined in General Instruction F of Form 20–F) in lieu of the provisions of the Rule 5600 Series, Rule 5250(d), and Rules 5210(c) and 5255, subject to several important exceptions. First, such an issuer shall comply with Rule 5625 (Notification of [Material] Noncompliance). Second, such a Company shall have an audit committee that satisfies Rule 5605(c)(3). Third, members of such audit committee shall meet the criteria for independence referenced in Rule 5605(c)(2)(A)(ii) (the criteria set forth in Rule 10A–3(b)(1) under the Act, subject to the exemptions provided in Rule 10A–3(c) under the Act). Fourth, a Foreign Private Issuer must comply with Rules 5210(c) and 5255 (Direct Registration Program) unless prohibited from complying by a law or regulation in its home country. Finally, a Foreign Private Issuer that elects to follow home country practice in lieu of a requirement of Rules 5600, 5250(d), 5210(c) or 5255 shall submit to Nasdaq a written statement from an independent counsel in such Company’s home country E:\FR\FM\26MYN1.SGM 26MYN1

Agencies

[Federal Register Volume 75, Number 101 (Wednesday, May 26, 2010)]
[Notices]
[Pages 29591-29592]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-12554]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Notice of Exempt; OMB Control No. 3235-0452; SEC File No. 270-396; 
Preliminary Roll-Up Communication]


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: Notice of Exempt, OMB Control No. 3235-0452, SEC File No. 
270-396, Preliminary Roll-Up Communication.

    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'') has submitted to the Office of Management 
and Budget this request for extension of the previously approved 
collection of information discussed below.
    A Notice of Exempt Preliminary Roll-Up Communication (``Notice'') 
(17 CFR 240.14a-104) provides information regarding ownership interests 
and any potential conflicts of interest to be included in statements 
submitted by or on behalf of a person pursuant Exchange Act Rule (17 
CFR 240.14a-2(b)(4)) and Exchange Act Rule (17 CFR 240.14a-6(n)). The 
Notice is filed on occasion and the information required is

[[Page 29592]]

mandatory. All information is provided to the public upon request. The 
Notice takes approximately 0.25 hours per response and is filed by 4 
respondents for a total of one annual burden hour.
    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 regarding the above information should be directed 
to the following persons: (i) Desk Officer for the Securities and 
Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503 or send an e-mail to: 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.

    Dated: May 19, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-12554 Filed 5-25-10; 8:45 am]
BILLING CODE 8010-01-P
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