Proposed Collection; Comment Request, 45178-45179 [2010-18896]

Download as PDF 45178 Federal Register / Vol. 75, No. 147 / Monday, August 2, 2010 / Notices President’s major disaster declaration on 07/23/2010, applications for disaster loans may be filed at the address listed above or other locally announced locations. The following areas have been determined to be adversely affected by the disaster: Primary Counties (Physical Damage and Economic Injury Loans): Pike Contiguous Counties (Economic Injury Loans Only): Kentucky: Floyd, Knott, Letcher, Martin Virginia: Buchanan, Dickenson, Wise West Virginia: Mingo The Interest Rates are: For Physical Damage: Homeowners with Credit Available Elsewhere ...................... Homeowners without Credit Available Elsewhere .............. Businesses with Credit Available Elsewhere ...................... Businesses without Credit Available Elsewhere .............. Non-Profit Organizations with Credit Available Elsewhere ... Non-Profit Organizations without Credit Available Elsewhere ..................................... For Economic Injury: Businesses & Small Agricultural Cooperatives without Credit Available Elsewhere .............. Non-Profit Organizations without Credit Available Elsewhere ..................................... Incident Period: 07/17/2010 and continuing. Effective Date: 07/23/2010. Physical Loan Application Deadline Date: 09/21/2010. Economic Injury (EIDL) Loan Application Deadline Date: 04/25/2011. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: Notice is Percent hereby given that as a result of the President’s major disaster declaration on 07/23/2010, Private Non-Profit 5.000 organizations that provide essential services of governmental nature may file 2.500 disaster loan applications at the address 6.000 listed above or other locally announced locations. The following areas have been 4.000 determined to be adversely affected by 3.625 the disaster: Primary Counties: Pike. The Interest Rates are: 3.000 DATES: Percent 4.000 3.000 The number assigned to this disaster for physical damage is 12242B and for economic injury is 122430. (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) For Physical Damage: Non-Profit Organizations With Credit Available Elsewhere ... Non-Profit Organizations Without Credit Available Elsewhere ..................................... For Economic Injury: Non-Profit Organizations Without Credit Available Elsewhere ..................................... BILLING CODE 8025–01–P [FR Doc. 2010–18810 Filed 7–30–10; 8:45 am] BILLING CODE 8025–01–P 3.000 SECURITIES AND EXCHANGE COMMISSION 3.000 (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) SMALL BUSINESS ADMINISTRATION James E. Rivera, Associate Administrator for Disaster Assistance. [Disaster Declaration #12244 and #12245] [FR Doc. 2010–18809 Filed 7–30–10; 8:45 am] [FR Doc. 2010–18808 Filed 7–30–10; 8:45 am] BILLING CODE 8025–01–P Kentucky Disaster #KY–00036 U.S. Small Business Administration. ACTION: Notice. erowe on DSK5CLS3C1PROD with NOTICES AGENCY: SMALL BUSINESS ADMINISTRATION This is a Notice of the Presidential declaration of a major disaster for Public Assistance Only for the Commonwealth of KENTUCKY (FEMA–1925–DR), dated 07/23/2010. Incident: Severe Storms, Flooding, and Mudslides. SUMMARY: VerDate Mar<15>2010 15:04 Jul 30, 2010 Jkt 220001 Escalate Capital Partners SBIC I, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest Notice is hereby given that Escalate Capital Partners SBIC I, L.P., 300 W. 6th Street, Suite 2250, Austin, TX 78701, a Federal Licensee under the Small PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 Dated: July 19, 2010. Sean Greene, Associate Administrator for Investment. 3.625 The number assigned to this disaster for physical damage is 12244B and for economic injury is 12245B. James E. Rivera, Associate Administrator for Disaster Assistance. Business Investment Act of 1958, as amended (‘‘the Act’’), in connection with the financing of a small concern, has sought an exemption under Section 312 of the Act and Section 107.730, Financings which Constitute Conflicts of Interest of the Small Business Administration (‘‘SBA’’) Rules and Regulations (13 CFR 107.730). Escalate Capital Partners SBIC I, L.P. proposes to provide equity financing to Century Payments, Inc. (‘‘Century’’), 2601 Network Boulevard, Frisco, TX 75034. The financing is contemplated to fund the ongoing operating needs of the business. The financing is brought within the purview of § 107.730(a)(1) of the Regulations because AV–EC Partners I, L.P., is an Associate of Escalate Capital Partners SBIC I, L.P., owns more than ten percent of Century, and therefore Century is considered an Associate of Escalate Capital Partners SBIC I, L.P. as detailed in § 107.50 of the Regulations. Notice is hereby given that any interested person may submit written comments on the transaction to the Associate Administrator for Investment, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416. 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 204A–1; SEC File No. 270–536; OMB Control No. 3235–0596. 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 collections of information summarized below. The Commission plans to submit these existing collections of information to the Office of Management and Budget for extension and approval. The title for the collection of information is ‘‘Rule 204A–1 (17 CFR 275.204A–1) under the Investment Advisers Act of 1940’’ (15 U.S.C. E:\FR\FM\02AUN1.SGM 02AUN1 erowe on DSK5CLS3C1PROD with NOTICES Federal Register / Vol. 75, No. 147 / Monday, August 2, 2010 / Notices 80b–1 et seq.) Rule 204A–1, the Code of Ethics Rule, requires investment advisers registered with the Commission to (i) Set forth standards of conduct expected of advisory personnel (including compliance with the federal securities laws), (ii) safeguard material nonpublic information about client transactions, and (iii) require the adviser’s ‘‘access persons’’ to report their personal securities transactions, including transactions in any mutual fund managed by the adviser. The code of ethics also requires access persons to obtain the adviser’s approval before investing in an initial public offering or private placement. The code of ethics also requires prompt reporting, to the adviser’s chief compliance officer or another person designated in the code of ethics, of any violations of the code. Finally, the code of ethics requires the adviser to provide each supervised person with a copy of the code and any amendments, and require the supervised persons to acknowledge, in writing, their receipt of these copies. The purposes of the information collection requirements is: (i) To ensure that advisers maintain codes of ethics applicable to their supervised persons; (ii) to provide advisers with information about the personal securities transactions of their access persons for purposes of monitoring such transactions; (iii) to provide advisory clients with information with which to evaluate advisers’ codes of ethics; and (iv) to assist the Commission’s examination staff in assessing the adequacy of advisers’ codes of ethics and assessing personal trading activity by advisers’ supervised persons. The respondents to this information collection are investment advisers registered with the Commission. The Commission has estimated that compliance with rule 204A–1 imposes a burden of approximately 118 hours per adviser annually for an estimated total annual burden of 1,391,456 hours. 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 proposed collection 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 VerDate Mar<15>2010 15:04 Jul 30, 2010 Jkt 220001 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 26, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–18896 Filed 7–30–10; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29370; 812–13751] Virtus Opportunities Trust, et al.; Notice of Application Date: July 27, 2010. Securities and Exchange Commission (‘‘Commission’’). ACTION: Notice of application to amend a prior order under section 12(d)(1)(J) of the Investment Company Act of 1940 (‘‘Act’’) for an exemption from sections 12(d)(1)(A) and (B) of the Act and under sections 6(c) and 17(b) of the Act for an exemption from section 17(a) of the Act. AGENCY: Summary of Application: Applicants request an order that would amend and supersede (‘‘Amended Order’’) a prior order that permits certain registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts (‘‘UITs’’) both within and outside the same group of investment companies (‘‘Prior Order’’).1 The Amended Order would subject applicants to different conditions than the Prior Order and delete a condition of the Prior Order. Applicants: (a) Virtus Opportunities Trust (the ‘‘Trust’’), including the 1 Phoenix Life Insurance Co., et al., Investment Company Act Release Nos. 27315 (May 8, 2006) (notice) and 27388 (June 5, 2006) (order). The Prior Order granted relief to the applicants and also to Phoenix Life Insurance Company, PHL Variable Insurance Company, Phoenix Life and Annuity Company, Phoenix Variable Advisors, Inc. (‘‘PVA’’), companies that were at the time affiliated with Applicants, The Phoenix Edge Series Fund, a registered investment company, and certain registered open-end management investment companies and their series advised by PVA or any entity controlling, controlled by or under common control with PVA. PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 45179 currently existing series and all future series thereof; (b) any existing or future registered open-end management investment companies and any series thereof that are part of the same ‘‘group of investment companies,’’ as defined in Section 12(d)(1)(G)(ii) of the Investment Company Act of 1940, as amended (the ‘‘Act’’), as the Trust, and are or will be advised by either Virtus Investment Advisers, Inc. (‘‘VIA’’) (formerly Phoenix Investment Counsel, Inc.) or any entity controlling, controlled by or under common control with VIA (together with the series of the Trust, the ‘‘Virtus Funds’’ or ‘‘Funds’’); and (c) VIA. Filing Dates: The application was filed on February 3, 2010, and amended on July 20, 2010. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission’s Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on August 20, 2010, and should be accompanied by proof of service on applicants, in the form of an affidavit, or for lawyers, a certificate of service. Hearing requests should state the nature of the writer’s interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission’s Secretary. ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549– 1090; Applicants, c/o Kevin J. Carr, Esq., Virtus Investment Advisers, Inc., 100 Pearl Street, Hartford, CT 06103. FOR FURTHER INFORMATION CONTACT: Emerson S. Davis, Sr., Senior Counsel, at (202) 551–6868, or Julia Kim Gilmer, Branch Chief, at (202) 551–6821 (Division of Investment Management, Office of Investment Company Regulation). The following is a summary of the application. The complete application may be obtained via the Commission’s Web site by searching for the file number, or an applicant using the Company name box, at https:// www.sec.gov/search/search.htm or by calling (202) 551–8090. SUPPLEMENTARY INFORMATION: Applicants’ Representations 1. The Trust is a Delaware statutory trust registered as an open-end management investment company under the Act, and currently offers E:\FR\FM\02AUN1.SGM 02AUN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 75, Number 147 (Monday, August 2, 2010)]
[Notices]
[Pages 45178-45179]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-18896]


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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 204A-1; SEC File No. 270-536; OMB Control No. 3235-0596.

    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 
collections of information summarized below. The Commission plans to 
submit these existing collections of information to the Office of 
Management and Budget for extension and approval.
    The title for the collection of information is ``Rule 204A-1 (17 
CFR 275.204A-1) under the Investment Advisers Act of 1940'' (15 U.S.C.

[[Page 45179]]

80b-1 et seq.) Rule 204A-1, the Code of Ethics Rule, requires 
investment advisers registered with the Commission to (i) Set forth 
standards of conduct expected of advisory personnel (including 
compliance with the federal securities laws), (ii) safeguard material 
nonpublic information about client transactions, and (iii) require the 
adviser's ``access persons'' to report their personal securities 
transactions, including transactions in any mutual fund managed by the 
adviser. The code of ethics also requires access persons to obtain the 
adviser's approval before investing in an initial public offering or 
private placement. The code of ethics also requires prompt reporting, 
to the adviser's chief compliance officer or another person designated 
in the code of ethics, of any violations of the code. Finally, the code 
of ethics requires the adviser to provide each supervised person with a 
copy of the code and any amendments, and require the supervised persons 
to acknowledge, in writing, their receipt of these copies.
    The purposes of the information collection requirements is: (i) To 
ensure that advisers maintain codes of ethics applicable to their 
supervised persons; (ii) to provide advisers with information about the 
personal securities transactions of their access persons for purposes 
of monitoring such transactions; (iii) to provide advisory clients with 
information with which to evaluate advisers' codes of ethics; and (iv) 
to assist the Commission's examination staff in assessing the adequacy 
of advisers' codes of ethics and assessing personal trading activity by 
advisers' supervised persons.
    The respondents to this information collection are investment 
advisers registered with the Commission. The Commission has estimated 
that compliance with rule 204A-1 imposes a burden of approximately 118 
hours per adviser annually for an estimated total annual burden of 
1,391,456 hours.
    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 proposed 
collection 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 
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 26, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-18896 Filed 7-30-10; 8:45 am]
BILLING CODE 8010-01-P

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