Submission for OMB Review; Comment Request, 60831-60832 [2010-24651]

Download as PDF Federal Register / Vol. 75, No. 190 / Friday, October 1, 2010 / Notices Section 309 of the Act and Section 107.1900 of the Small Business Administration Rules and Regulations (13 CFR 107.1900) to function as a small business investment company under the Small business Investment Company License No. 02/72–0616 issued to Rock Maple Ventures, L.P., and said license is hereby declared null and void as of August 4, 2010. United States Small Business Administration. Sean J. Greene, AA/Investment, United States Small Business Administration. New Executive Office Building, Washington, DC 20503; or send an email to: Shagufta_Ahmed@omb.eop.gov; and (ii) Jeffrey Heslop, Director/CIO, Securities and Exchange Commission, C/O Remi Pavlik-Simon, 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: September 27, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–24613 Filed 9–30–10; 8:45 am] BILLING CODE 8010–01–P [FR Doc. 2010–24650 Filed 9–30–10; 8:45 am] BILLING CODE P SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request 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. emcdonald on DSK2BSOYB1PROD with NOTICES Extension: Regulation C; OMB Control No. 3235–0074; SEC File No. 270–68. 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 the request for extension of the previously approved collection of information discussed below. Regulation C (17 CFR 230.400 through 230.498) provides standard instructions to guide persons when filing registration statements under the Securities Act of 1933 (15 U.S.C. 77a et seq.). The information collected is intended to ensure the adequacy of information available to investors in the registration of securities. The information provided is mandatory. Regulation C is assigned one burden hour for administrative convenience because it does not directly impose information collection requirements. 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, VerDate Mar<15>2010 17:34 Sep 30, 2010 Jkt 220001 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’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. 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. 80b–1 et seq.) Rule 204A–1, the Code of Ethics Rule, requires investment advisers registered with the SEC 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 (‘‘IPO’’) 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 PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 60831 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 based on an average adviser having 84 access persons. Our latest data indicate that there were 11,797 advisers registered with the Commission. Based on this figure, the Commission estimates a total annual burden of 1,391,456 hours for this collection of information. Rule 204A–1 does not require recordkeeping or record retention. The collection of information requirements under the rule are mandatory. The information collected pursuant to the rule are not filed with the Commission, but rather take the form of communications between advisers and their supervised persons. Investment advisers use the information collected to control and assess the personal trading activities of their supervised persons. Responses to the reporting requirements will be kept confidential to the extent each investment adviser provides confidentiality under its particular practices and procedures. 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) Jeffrey Heslop, Director/Acting CIO, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312; or E:\FR\FM\01OCN1.SGM 01OCN1 60832 Federal Register / Vol. 75, No. 190 / Friday, October 1, 2010 / Notices send an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: September 24, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–24651 Filed 9–30–10; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IC–29440] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 September 24, 2010. emcdonald on DSK2BSOYB1PROD with NOTICES The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of September, 2010. A copy of each 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. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC’s Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on October 19, 2010, and should be accompanied by proof of service on the applicant, 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 Secretary, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549– 1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus at (202) 551–6810, SEC, Division of Investment Management, Office of Investment Company Regulation, 100 F Street, NE., Washington, DC 20549–4041. Ashport Mutual Fund Trust [File No. 811–10301] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On August 15, 2008, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $2,231 VerDate Mar<15>2010 17:34 Sep 30, 2010 Jkt 220001 incurred in connection with the liquidation were paid by State Trust Capital, applicant’s investment adviser. Filing Dates: The application was filed on August 24, 2009, and amended on September 1, 2010. Applicant’s Address: 800 Brickell Ave., Suite 100, Miami, FL 33131. First Trust Value Line R & Ibbotson Equity Allocation Fund [File No. 811– 21517] Summary: Applicant, a closed-end investment management, seeks an order declaring that it has ceased to be an investment company. On December 8, 2006, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of approximately $259,859 incurred in connection with the liquidation were paid by applicant and First Trust Advisors L.P., applicant’s investment adviser. Filing Dates: The application was filed on May 28, 2009, and amended on September 17, 2010. Applicant’s Address: 120 East Liberty Dr., Suite 400, Wheaton, IL 60187. First Trust Value Line R 100 Fund [File No. 811–21336] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On June 15, 2007, applicant transferred its assets to a corresponding series of First Trust Exchange-Traded Fund, based on net asset value. Expenses of approximately $99,040 incurred in connection with the reorganization were paid by First Trust Advisors L.P., applicant’s investment adviser. Filing Dates: The application was filed on May 28, 2009, and amended on September 15, 2010. Applicant’s Address: 120 East Liberty Dr., Suite 400, Wheaton, IL 60187. First Trust Value Line Dividend Fund [File No. 811–21381] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On December 15, 2006, applicant transferred its assets to a corresponding series of First Trust Exchange-Traded Fund, based on net asset value. Expenses of approximately $199,034 incurred in connection with the reorganization were paid by applicant and First Trust Advisors L.P., applicant’s investment adviser. Filing Dates: The application was filed on May 28, 2009, and amended on September 15, 2010. Applicant’s Address: 120 East Liberty Dr., Suite 400, Wheaton, IL 60187. PO 00000 Frm 00122 Fmt 4703 Sfmt 4703 M&I Special Institutional Funds, Inc. [File No. 811–22232] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on August 24, 2010, and amended on September 22, 2010. Applicant’s Address: 111 East Kilbourn Ave., Suite 200, Milwaukee, WI 53202. DWS Advisor Funds III [File No. 811– 6576] DWS Investments Trust [File No. 811– 8006] DWS RREEF Securities Trust [File No. 811–9589] Summary: Each applicant seeks an order declaring that it has ceased to be an investment company. On July 10, 2006, August 21, 2006, and July 10, 2006, respectively, applicants transferred their assets to corresponding series of DWS Advisor Funds, based on net asset value. Applicants incurred no expenses in connection with the reorganizations. Filing Dates: The applications were filed on August 11, 2010, and amended on September 23, 2010. Applicants’ Address: 345 Park Ave., New York, NY 10154. DWS Advisor Funds II [File No. 811– 7347] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On July 10, 2006, applicant transferred its assets to DWS U.S. Bond Index Fund and DWS EAFE Equity Index Fund, each a series of DWS Institutional Funds, based on net asset value. Applicant incurred no expenses in connection with the reorganization. Filing Dates: The application was filed on August 11, 2010, and amended on September 23, 2010. Applicant’s Address: 345 Park Ave., New York, NY 10154. OFI Tremont Core Strategies Hedge Fund [File No. 811–21110] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On August 1, 2010, applicant made a final liquidating distribution to its shareholders, based on net asset value. Applicant incurred no expenses in connection with the liquidation. E:\FR\FM\01OCN1.SGM 01OCN1

Agencies

[Federal Register Volume 75, Number 190 (Friday, October 1, 2010)]
[Notices]
[Pages 60831-60832]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-24651]


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

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 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'') has submitted to the Office of 
Management and Budget a request for extension of the previously 
approved collection of information discussed below.
    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. 
80b-1 et seq.) Rule 204A-1, the Code of Ethics Rule, requires 
investment advisers registered with the SEC 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 (``IPO'') 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 based on an average adviser having 84 access 
persons. Our latest data indicate that there were 11,797 advisers 
registered with the Commission. Based on this figure, the Commission 
estimates a total annual burden of 1,391,456 hours for this collection 
of information.
    Rule 204A-1 does not require recordkeeping or record retention. The 
collection of information requirements under the rule are mandatory. 
The information collected pursuant to the rule are not filed with the 
Commission, but rather take the form of communications between advisers 
and their supervised persons. Investment advisers use the information 
collected to control and assess the personal trading activities of 
their supervised persons. Responses to the reporting requirements will 
be kept confidential to the extent each investment adviser provides 
confidentiality under its particular practices and procedures. 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) Jeffrey Heslop, 
Director/Acting CIO, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312; or

[[Page 60832]]

send an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted to 
OMB within 30 days of this notice.

    Dated: September 24, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-24651 Filed 9-30-10; 8:45 am]
BILLING CODE 8010-01-P
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