Submission for OMB Review; Comment Request, 39292 [2010-16546]

Download as PDF srobinson on DSKHWCL6B1PROD with NOTICES 39292 Federal Register / Vol. 75, No. 130 / Thursday, July 8, 2010 / Notices request for extension of the previously approved collection of information discussed below. Rule 477 (17 CFR 230.477) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) sets forth procedures for withdrawing a registration statement, an amendment to a registration statement, or any exhibits thereto. The rule provides that if a registrant intends to rely on the registered-to-private safe harbor contained in Securities Act Rule 155, the registrant must affirmatively state in the withdrawal application that it plans to undertake a subsequent private offering of its securities. Without this statement, the Commission would not be able to monitor a company’s reliance on, and compliance with, Securities Act Rule 155(c). The likely respondents will be companies. All information submitted to the Commission under Securities Act Rule 477 is available to the public for review. Information provided under Securities Act Rule 477 is mandatory. The information is required on occasion. We estimate that approximately 300 issuers will file Securities Act Rule 477 submissions annually at an estimated one hour per response for a total annual burden of approximately 300 hours. We estimate that 100 percent of the reporting burden is prepared by the issuer. 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: June 30, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–16545 Filed 7–7–10; 8:45 am] BILLING CODE 8010–01–P VerDate Mar<15>2010 17:09 Jul 07, 2010 Jkt 220001 SECURITIES AND EXCHANGE COMMISSION 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: Rule 19d–1; SEC File No. 270–242; OMB Control No. 3235–0206. 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 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. 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. PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 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 × 235 responses per respondent × .5 hrs per response × $101 per hour). The filing of notices pursuant to the Rule is mandatory for the SROs, but does not involve the collection of confidential information. Rule 19d–1 does not have a record retention requirement. 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 send 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: June 30, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–16546 Filed 7–7–10; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–62402; File No. SR– NYSEArca–2010–56] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the ETFS Precious Metals Basket Trust June 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 1 15 2 17 E:\FR\FM\08JYN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 08JYN1

Agencies

[Federal Register Volume 75, Number 130 (Thursday, July 8, 2010)]
[Notices]
[Page 39292]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-16546]


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

SECURITIES AND EXCHANGE COMMISSION


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:
    Rule 19d-1; SEC File No. 270-242; OMB Control No. 3235-0206.

    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 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.
    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).
    The filing of notices pursuant to the Rule is mandatory for the 
SROs, but does not involve the collection of confidential information. 
Rule 19d-1 does not have a record retention requirement.
    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 send 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: June 30, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-16546 Filed 7-7-10; 8:45 am]
BILLING CODE 8010-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.