Submission for OMB Review; Comment Request, 52379 [2010-21034]
Download as PDF
<![CDATA[
Federal Register / Vol. 75, No. 164 / Wednesday, August 25, 2010 / Notices
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
srobinson on DSKHWCL6B1PROD with NOTICES
Extension:
Rule 17a–3(a)(16); SEC File No. 270–452;
OMB Control No. 3235–0508.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. Sec. 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.
Rule 17a–3(a)(16) (17 CFR Sec.
240.17a–3(a)(16)) under the Securities
Exchange Act of 1934 (the ‘‘Act’’) (15
U.S.C. 78q et seq.) identifies the records
required to be made by broker-dealers
that operate internal broker-dealer
systems. Those records are to be used in
monitoring compliance with the
Commission’s financial responsibility
program and antifraud and
antimanipulative rules, as well as other
rules and regulations of the Commission
and the self-regulatory organizations. It
is estimated that approximately 105
active broker-dealer respondents
registered with the Commission incur
an average burden of 2,835 hours per
year (105 respondents multiplied by 27
burden hours per respondent equals
2,835 total burden hours) to comply
with this rule.1
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 shall have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the proposed collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information to be 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
1 The average cost per hour is $258. Therefore the
total cost of compliance for the respondents is
$731,430.
VerDate Mar<15>2010
17:48 Aug 24, 2010
Jkt 220001
writing within 60 days of this
publication.
Comments should be directed to:
Charles Boucher, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
Alexandria, Virginia 22312 or send an
e-mail to: PRA_Mailbox@sec.gov.
Comments must be submitted within 60
days of this notice.
Dated: August 17, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–21033 Filed 8–24–10; 8:45 am]
BILLING CODE 8010–01–P
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:
Regulation A; OMB Control No. 3235–
0286; SEC File No. 270–110 (Forms 1–A
and 2–A).
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.
Regulation A (17 CFR 230.251
through 230.263) provides an exemption
from registration under the Securities
Act of 1933 (15 U.S.C. 77a et seq.) for
certain limited offerings of securities by
issuers who do not otherwise file
reports with the Commission. Form
1–A is an offering statement filed under
Regulation A. Form 2–A is used to
report sales and use of proceeds in
Regulation A offerings. All information
is provided to the public for review. The
information required is filed on
occasion and is mandatory. We estimate
approximately 100 issuers file Forms
1–A and 2–A annually. We estimate that
Form 1–A takes approximately 608
hours to prepare, Form 2–A takes
approximately 12 hours to prepare, and
Regulation A takes one administrative
hour to review for a total of 621 hours
per response. We estimate that 75% of
621 hours per response (465.75 hours) is
prepared by the company for a total
annual burden of 46,575 hours (465.75
× 100 responses).
PO 00000
Frm 00078
Fmt 4703
Sfmt 4703
52379
An agency may 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 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: August 18, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–21034 Filed 8–24–10; 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 20549–2013.
Revision:
Rule 602; SEC File No. 270–404; OMB
Control No. 3235–0461.
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 existing collection of information
provided for in Rule 602 of Regulation
NMS (17 CFR 240.602), under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.). The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for revision
and approval.
Rule 602 of Regulation NMS,
Dissemination of Quotations in NMS
securities, contains two related
collections. The first collection of
information is found in Rule 602(a).1
This reporting requirement obligates
each national securities exchange and
1 17
E:\FR\FM\25AUN1.SGM
CFR 242.602(a).
25AUN1
]]>Agencies
[Federal Register Volume 75, Number 164 (Wednesday, August 25, 2010)]
[Notices]
[Page 52379]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-21034]
-----------------------------------------------------------------------
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:
Regulation A; OMB Control No. 3235-0286; SEC File No. 270-110
(Forms 1-A and 2-A).
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.
Regulation A (17 CFR 230.251 through 230.263) provides an exemption
from registration under the Securities Act of 1933 (15 U.S.C. 77a et
seq.) for certain limited offerings of securities by issuers who do not
otherwise file reports with the Commission. Form 1-A is an offering
statement filed under Regulation A. Form 2-A is used to report sales
and use of proceeds in Regulation A offerings. All information is
provided to the public for review. The information required is filed on
occasion and is mandatory. We estimate approximately 100 issuers file
Forms 1-A and 2-A annually. We estimate that Form 1-A takes
approximately 608 hours to prepare, Form 2-A takes approximately 12
hours to prepare, and Regulation A takes one administrative hour to
review for a total of 621 hours per response. We estimate that 75% of
621 hours per response (465.75 hours) is prepared by the company for a
total annual burden of 46,575 hours (465.75 x 100 responses).
An agency may 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 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: August 18, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-21034 Filed 8-24-10; 8:45 am]
BILLING CODE 8010-01-P
