Submission for OMB Review; Comment Request, 42174-42175 [2010-17640]
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42174
Federal Register / Vol. 75, No. 138 / Tuesday, July 20, 2010 / Notices
proposal for a contract solicitation or
received a contract from the Federal
government within the last 24 months.
13 CFR 121.1202(c). The SBA defines
‘‘class of products’’ based on the Office
of Management and Budget’s NAICS. In
addition, SBA uses PSCs to further
identify particular products within the
NAICS code to which a waiver would
apply. The SBA may then identify a
specific item within a PSC and NAICS
to which a class waiver would apply.
On June 7, 2010, SBA published in
the Federal Register a notice of intent
to waive the Nonmanufacturer Rule for
Configured Tape Library Storage
Equipment, PSC 7025 (ADP Input/
Output and Storage Devices), PSC 7035
(ADP Support Equipment), and PSC
7045 (ADP Supplies), under NAICS
code 334112 (Computer Storage Device
Manufacturing).
SBA explained in the notice that it
was soliciting comments and sources of
small business manufacturers of these
classes of products. No comments were
received in response to this notice. SBA
has determined that there are no small
business manufacturers of these classes
of products, and is therefore granting
the waiver of the Nonmanufacturer Rule
for Configured Tape Library Storage
Equipment, PSC 7025 (ADP Input/
Output and Storage Devices), PSC 7035
(ADP Support Equipment), and PSC
7045 (ADP Supplies), under NAICS
code 334112 (Computer Storage Device
Manufacturing).
Authority: 15 U.S.C. 637(a)(17).
Karen Hontz,
Director, Office of Government Contracting.
Regulation S (17 CFR 230.901 through
230.905) includes rules governing offers
and sales of securities made outside the
United States without registration under
the Securities Act of 1933 (15 U.S.C. 77a
et seq.). The purpose of Regulation S is
to provide clarification of the extent to
which section 5 of the Securities Act
applies to offers and sales of securities
outside of the United States. Regulation
S is assigned one burden hour for
administrative convenience.
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: July 14, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–17644 Filed 7–19–10; 8:45 am]
BILLING CODE 8010–01–P
[FR Doc. 2010–17705 Filed 7–19–10; 8:45 am]
BILLING CODE 8025–01–P
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Submission for OMB Review;
Comment Request
wwoods2 on DSK1DXX6B1PROD with NOTICES_PART 1
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Regulation S, OMB Control No. 3235–0357,
SEC File No. 270–315.
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.
VerDate Mar<15>2010
15:23 Jul 19, 2010
Jkt 220001
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Existing Collection; New OMB Control No.:
Rule 0–4, SEC File No. 270–569, OMB
Control No. 3235–0633.
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’’) has submitted to the
Office of Management and Budget a
request for approval of the collection of
information discussed below.
Rule 0–4 (17 CFR 275.0–4) under the
Investment Advisers Act of 1940 (‘‘Act’’
or ‘‘Advisers Act’’) (15 U.S.C. 80b–1 et
seq.) entitled ‘‘General Requirements of
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Frm 00108
Fmt 4703
Sfmt 4703
Papers and Applications,’’ prescribes
general instructions for filing an
application seeking exemptive relief
with the Commission. Rule 0–4
currently requires that every application
for an order for which a form is not
specifically prescribed and which is
executed by a corporation, partnership
or other company and filed with the
Commission contain a statement of the
applicable provisions of the articles of
incorporation, bylaws or similar
documents, relating to the right of the
person signing and filing such
application to take such action on behalf
of the applicant, and a statement that all
such requirements have been complied
with and that the person signing and
filing the application is fully authorized
to do so. If such authorization is
dependent on resolutions of
stockholders, directors, or other bodies,
such resolutions must be attached as an
exhibit to or quoted in the application.
Any amendment to the application must
contain a similar statement as to the
applicability of the original statement of
authorization. When any application or
amendment is signed by an agent or
attorney, rule 0–4 requires that the
power of attorney evidencing his
authority to sign shall state the basis for
the agent’s authority and shall be filed
with the Commission. Every application
subject to rule 0–4 must be verified by
the person executing the application by
providing a notarized signature in
substantially the form specified in the
rule. Each application subject to rule 0–
4 must state the reasons why the
applicant is deemed to be entitled to the
action requested with a reference to the
provisions of the Act and rules
thereunder, the name and address of
each applicant, and the name and
address of any person to whom any
questions regarding the application
should be directed. Rule 0–4 requires
that a proposed notice of the proceeding
initiated by the filing of the application
accompany each application as an
exhibit and, if necessary, be modified to
reflect any amendment to the
application.
The requirements of rule 0–4 are
designed to provide Commission staff
with the necessary information to assess
whether granting the orders of
exemption are necessary and
appropriate in the public interest and
consistent with the protection of
investors and the intended purposes of
the Act.
Applicants for orders under the
Advisers Act can include registered
investment advisers, affiliated persons
of registered investment advisers, and
entities seeking to avoid investment
adviser status, among others.
E:\FR\FM\20JYN1.SGM
20JYN1
wwoods2 on DSK1DXX6B1PROD with NOTICES_PART 1
Federal Register / Vol. 75, No. 138 / Tuesday, July 20, 2010 / Notices
Commission staff estimates that it
receives approximately 9 applications
per year submitted under rule 0–4 of the
Act. Although each application
typically is submitted on behalf of
multiple applicants, the applicants in
the vast majority of cases are related
entities and are treated as a single
respondent for purposes of this analysis.
Most of the work of preparing an
application is performed by outside
counsel and, therefore, imposes no
hourly burden on respondents. The cost
outside counsel charges applicants
depends on the complexity of the issues
covered by the application and the time
required. Based on conversations with
applicants and attorneys, the cost ranges
from approximately $7,000 for
preparing a well-precedented, routine
application to approximately $80,000 to
prepare a complex or novel application.
We estimate that the Commission
receives 2 of the most time-consuming
applications annually, 4 applications of
medium difficulty, and 3 of the least
difficult applications subject to rule 0–
4. This distribution gives a total
estimated annual cost burden to
applicants of filing all applications of
$355,000 [(2 × $80,000) + (4 × $43,500)
+ (3 × $7,000)]. The estimates of annual
burden hours and costs are made solely
for the purposes of the Paperwork
Reduction Act, and are not derived from
a comprehensive or even representative
survey or study of the costs of
Commission rules and forms.
The requirements of this collection of
information are required to obtain or
retain benefits. 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.
Please direct general comments
regarding the above information to the
following persons: (i) Desk Officer for
the Securities and Exchange
Commission, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503
or send an e-mail to Shagufta Ahmed at
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: July 14, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–17640 Filed 7–19–10; 8:45 am]
BILLING CODE 8010–01–P
VerDate Mar<15>2010
15:23 Jul 19, 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 19b–5 and Form PILOT, SEC File No.
270–448, OMB Control No. 3235–0507.
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 approval of extension of the
previously approved collection of
information provided for in Rule 19b–5
(17 CFR 240.19b–5) and Form PILOT
(17 CFR 249.821) under the Securities
Exchange Act of 1934, as amended
(‘‘Act’’) (15 U.S.C. 78a et seq.).
Rule 19b–5 provides a temporary
exemption from the rule-filing
requirements of Section 19(b) of the Act
(15 U.S.C. 78s(b)) to self-regulatory
organizations (‘‘SROs’’) wishing to
establish and operate pilot trading
systems. Rule 19b–5 permits an SRO to
develop a pilot trading system and to
begin operation of such system shortly
after submitting an initial report on
Form PILOT to the Commission. During
operation of any such pilot trading
system, the SRO must submit quarterly
reports of the system’s operation to the
Commission, as well as timely
amendments describing any material
changes to the system. After two years
of operating such pilot trading system
under the exemption afforded by Rule
19b–5, the SRO must submit a rule
filing pursuant to Section 19(b)(2) of the
Act (15 U.S.C. 78s(b)(2)) in order to
obtain permanent approval of the pilot
trading system from the Commission.
The collection of information is
designed to allow the Commission to
maintain an accurate record of all new
pilot trading systems operated by SROs
and to determine whether an SRO has
properly availed itself of the exemption
afforded by Rule 19b–5, is operating a
pilot trading system in compliance with
the Act, and is carrying out its statutory
oversight obligations under the Act.
The respondents to the collection of
information are national securities
exchanges and national securities
associations.
While there are 14 national securities
exchanges and national securities
associations that may avail themselves
of the exemption under Rule 19b–5 and
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Frm 00109
Fmt 4703
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42175
the use of Form PILOT, it is estimated
that approximately three respondents
will file a total of 3 initial reports (for
a 72 hour estimated annual burden), 12
quarterly reports (for a 36 hour
estimated annual burden), and 6
amendments (for an 18 hour estimated
annual burden) on Form PILOT per
year, with an estimated total annual
response burden of 126 hours. At an
average hourly cost of $307.74, the
aggregate related cost of compliance
with Rule 19b–5 for all respondents is
$38,775 per year (126 burden hours
multiplied by $307.74/hour = $38,775).
Although Rule 19b–5 does not in
itself impose recordkeeping burdens on
SROs, it relies on existing requirements
imposed by Rule 17a–1 under the Act
(17 CFR 240.17a–1) to require SROs to
retain all the rules and procedures
relating to each pilot trading system
operating pursuant to Rule 19b–5, and
to make such records available for
Commission inspection for a period of
not less than five years, the first two
years in an easily accessible place.
The filing of a Form PILOT is
mandatory for any SRO seeking a
temporary exemption under Rule 19b–5
from the rule filing requirements of
Section 19(b) of the Act in connection
with the operation of a pilot trading
system. It is also mandatory that an SRO
operating a pilot trading system file
with the Commission notices of material
systems changes and quarterly
transaction reports on Form PILOT.
Information provided on Form PILOT is
deemed confidential and shall be
available only for examination by the
Commission, other agencies of the
federal government and state securities
authorities.
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 within 30 days of
this notice.
E:\FR\FM\20JYN1.SGM
20JYN1
]]>Agencies
[Federal Register Volume 75, Number 138 (Tuesday, July 20, 2010)]
[Notices]
[Pages 42174-42175]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-17640]
-----------------------------------------------------------------------
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.
Existing Collection; New OMB Control No.:
Rule 0-4, SEC File No. 270-569, OMB Control No. 3235-0633.
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'') has submitted to the Office of
Management and Budget a request for approval of the collection of
information discussed below.
Rule 0-4 (17 CFR 275.0-4) under the Investment Advisers Act of 1940
(``Act'' or ``Advisers Act'') (15 U.S.C. 80b-1 et seq.) entitled
``General Requirements of Papers and Applications,'' prescribes general
instructions for filing an application seeking exemptive relief with
the Commission. Rule 0-4 currently requires that every application for
an order for which a form is not specifically prescribed and which is
executed by a corporation, partnership or other company and filed with
the Commission contain a statement of the applicable provisions of the
articles of incorporation, bylaws or similar documents, relating to the
right of the person signing and filing such application to take such
action on behalf of the applicant, and a statement that all such
requirements have been complied with and that the person signing and
filing the application is fully authorized to do so. If such
authorization is dependent on resolutions of stockholders, directors,
or other bodies, such resolutions must be attached as an exhibit to or
quoted in the application. Any amendment to the application must
contain a similar statement as to the applicability of the original
statement of authorization. When any application or amendment is signed
by an agent or attorney, rule 0-4 requires that the power of attorney
evidencing his authority to sign shall state the basis for the agent's
authority and shall be filed with the Commission. Every application
subject to rule 0-4 must be verified by the person executing the
application by providing a notarized signature in substantially the
form specified in the rule. Each application subject to rule 0-4 must
state the reasons why the applicant is deemed to be entitled to the
action requested with a reference to the provisions of the Act and
rules thereunder, the name and address of each applicant, and the name
and address of any person to whom any questions regarding the
application should be directed. Rule 0-4 requires that a proposed
notice of the proceeding initiated by the filing of the application
accompany each application as an exhibit and, if necessary, be modified
to reflect any amendment to the application.
The requirements of rule 0-4 are designed to provide Commission
staff with the necessary information to assess whether granting the
orders of exemption are necessary and appropriate in the public
interest and consistent with the protection of investors and the
intended purposes of the Act.
Applicants for orders under the Advisers Act can include registered
investment advisers, affiliated persons of registered investment
advisers, and entities seeking to avoid investment adviser status,
among others.
[[Page 42175]]
Commission staff estimates that it receives approximately 9
applications per year submitted under rule 0-4 of the Act. Although
each application typically is submitted on behalf of multiple
applicants, the applicants in the vast majority of cases are related
entities and are treated as a single respondent for purposes of this
analysis. Most of the work of preparing an application is performed by
outside counsel and, therefore, imposes no hourly burden on
respondents. The cost outside counsel charges applicants depends on the
complexity of the issues covered by the application and the time
required. Based on conversations with applicants and attorneys, the
cost ranges from approximately $7,000 for preparing a well-precedented,
routine application to approximately $80,000 to prepare a complex or
novel application. We estimate that the Commission receives 2 of the
most time-consuming applications annually, 4 applications of medium
difficulty, and 3 of the least difficult applications subject to rule
0-4. This distribution gives a total estimated annual cost burden to
applicants of filing all applications of $355,000 [(2 x $80,000) + (4 x
$43,500) + (3 x $7,000)]. The estimates of annual burden hours and
costs are made solely for the purposes of the Paperwork Reduction Act,
and are not derived from a comprehensive or even representative survey
or study of the costs of Commission rules and forms.
The requirements of this collection of information are required to
obtain or retain benefits. 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.
Please direct general comments regarding the above information to
the following persons: (i) Desk Officer for the Securities and Exchange
Commission, Office of Management and Budget, Room 10102, New Executive
Office Building, Washington, DC 20503 or send an e-mail to Shagufta
Ahmed at 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: July 14, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-17640 Filed 7-19-10; 8:45 am]
BILLING CODE 8010-01-P
