Request for Public Comment; Comment Request, 44295 [2010-18446]
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Federal Register / Vol. 75, No. 144 / Wednesday, July 28, 2010 / Notices
performance of the functions of the
Commission, including whether the
information has practical utility; (b) the
accuracy of the Commission’s estimate
of the burdens of the collections of
information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burdens of the collections
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 email to: PRA_Mailbox@sec.gov.
Dated: July 21, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–18445 Filed 7–27–10; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
sroberts on DSKD5P82C1PROD with NOTICES
Request for Public Comment;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 203–2 and Form ADV–W; SEC
File No. 270–40; OMB Control No.
3235–0313.
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 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.
The title for the collection of
information is ‘‘Rule 203–2 (17 CFR
275.203–2) and Form ADV–W (17 CFR
279.2) under the Investment Advisers
Act of 1940 (15 U.S.C. 80b).’’ Rule 203–
2 under the Investment Advisers Act of
1940 establishes procedures for an
investment adviser to withdraw its
registration with the Commission. Rule
203–2 requires every person
withdrawing from investment adviser
registration with the Commission to file
Form ADV–W electronically on the
VerDate Mar<15>2010
19:05 Jul 27, 2010
Jkt 220001
Investment Adviser Registration
Depository (‘‘IARD’’). The purpose of the
information collection is to notify the
Commission and the public when an
investment adviser withdraws its
pending or approved SEC registration.
Typically, an investment adviser files a
Form ADV–W when it ceases doing
business or when it is ineligible to
remain registered with the Commission.
The respondents to the collection of
information are all investment advisers
that are registered with the Commission
or have applications pending for
registration. The Commission has
estimated that compliance with the
requirement to complete Form ADV–W
imposes a total burden of approximately
0.75 hours (45 minutes) for an adviser
filing for full withdrawal and
approximately 0.25 hours (15 minutes)
for an adviser filing for partial
withdrawal. Based on historical filings,
the Commission estimates that there are
approximately 500 respondents
annually filing for full withdrawal and
approximately 500 respondents
annually filing for partial withdrawal.
Based on these estimates, the total
estimated annual burden would be 500
hours ((500 respondents × .75 hours) +
(500 respondents × .25 hours)).
Rule 203–2 and Form ADV–W do not
require recordkeeping or records
retention. The collection of information
requirements under the rule and form
are mandatory. The information
collected pursuant to the rule and Form
ADV–W are filings with the
Commission. These filings are not 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 documentation 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
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,
PO 00000
Frm 00082
Fmt 4703
Sfmt 4703
44295
C/O Shirley Martinson, 6432 General
Green Way, Alexandria, VA 22312; or
send an e-mail to:
PRA_Mailbox@sec.gov.
Dated: July 20, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–18446 Filed 7–27–10; 8:45 am]
BILLING CODE 8010–01–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.
Extension:
Rule 203–3, Form ADV–H; SEC File
No. 270–481; OMB Control No.
3235–0538.
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 (‘‘OMB’’) for
extension and approval.
The title for the collection of
information is ‘‘Rule 203–3 and Form
ADV–H under the Investment Advisers
Act of 1940.’’ Rule 203–3 (17 CFR
275.203–3) under the Investment
Advisers Act of 1940 (15 U.S.C. 80b)
establishes procedures for an
investment adviser to obtain a hardship
exemption from the electronic filing
requirements of the Investment Advisers
Act. Rule 203–3 requires every person
requesting a hardship exemption to file
Form ADV–H (17 CFR 279.3) with the
Commission. The purpose of this
collection of information is to permit
advisers to obtain a hardship
exemption, on a continuing or
temporary basis, to not complete an
electronic filing. The temporary
hardship exemption permits advisers to
make late filings due to unforeseen
computer or software problems, while
the continuing hardship exemption
permits advisers to submit all required
electronic filings on hard copy for data
entry by the operator of the IARD.
The respondents to the collection of
information are all investment advisers
that are registered with the Commission.
The Commission has estimated that
compliance with the requirement to
complete Form ADV–H imposes a total
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]]>Agencies
[Federal Register Volume 75, Number 144 (Wednesday, July 28, 2010)]
[Notices]
[Page 44295]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-18446]
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SECURITIES AND EXCHANGE COMMISSION
Request for Public Comment; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Rule 203-2 and Form ADV-W; SEC File No. 270-40; OMB Control No.
3235-0313.
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 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.
The title for the collection of information is ``Rule 203-2 (17 CFR
275.203-2) and Form ADV-W (17 CFR 279.2) under the Investment Advisers
Act of 1940 (15 U.S.C. 80b).'' Rule 203-2 under the Investment Advisers
Act of 1940 establishes procedures for an investment adviser to
withdraw its registration with the Commission. Rule 203-2 requires
every person withdrawing from investment adviser registration with the
Commission to file Form ADV-W electronically on the Investment Adviser
Registration Depository (``IARD''). The purpose of the information
collection is to notify the Commission and the public when an
investment adviser withdraws its pending or approved SEC registration.
Typically, an investment adviser files a Form ADV-W when it ceases
doing business or when it is ineligible to remain registered with the
Commission.
The respondents to the collection of information are all investment
advisers that are registered with the Commission or have applications
pending for registration. The Commission has estimated that compliance
with the requirement to complete Form ADV-W imposes a total burden of
approximately 0.75 hours (45 minutes) for an adviser filing for full
withdrawal and approximately 0.25 hours (15 minutes) for an adviser
filing for partial withdrawal. Based on historical filings, the
Commission estimates that there are approximately 500 respondents
annually filing for full withdrawal and approximately 500 respondents
annually filing for partial withdrawal. Based on these estimates, the
total estimated annual burden would be 500 hours ((500 respondents x
.75 hours) + (500 respondents x .25 hours)).
Rule 203-2 and Form ADV-W do not require recordkeeping or records
retention. The collection of information requirements under the rule
and form are mandatory. The information collected pursuant to the rule
and Form ADV-W are filings with the Commission. These filings are not
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 documentation 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 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: July 20, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-18446 Filed 7-27-10; 8:45 am]
BILLING CODE 8010-01-P
