Submission for OMB Review; Comment Request, 79426-79427 [2010-31819]

Download as PDF 79426 Federal Register / Vol. 75, No. 243 / Monday, December 20, 2010 / Notices (‘‘Commission’’) has submitted to the Office of Management and Budget this request for extension of the previously approved collections of information discussed below. Form 144 (17 CFR 239.144) is used to report the sale of securities during any three-month period that exceeds 5,000 shares or other units or has an aggregate sales price that does not exceed $50,000. Under Sections 2(11), 4(1), 4(2), 4(4) and 19(a) of the Securities Act of 1933 (15 U.S.C. 77b, 77d(1)(2)(4) and 77s(a)) and Rule 144 (17 CFR 230.144) there under, the Commission is authorize to solicit the information required to be supplied by Form 144. The objectives of the rule could not be met, if the information collection was not required. The information collected must be filed with the Commission and is publicly available. Form 144 takes approximately 1 burden hour per response and is filed by 23,361 respondents for a total of 23,361 total burden 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. The public may view the background documentation for this information collection at the following Web site, https://www.reginfo.gov. 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) Thomas Bayer, Chief Information Officer, 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: December 12, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–31821 Filed 12–17–10; 8:45 am] BILLING CODE 8011–01–P jlentini on DSKJ8SOYB1PROD with NOTICES SECURITIES AND EXCHANGE COMMISSION [Form 6–K; OMB Control No. 3235–0116; SEC File No. 270–107] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange VerDate Mar<15>2010 17:18 Dec 17, 2010 Jkt 223001 Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Form 6–K; OMB Control No. 3235–0116; SEC File No. 270–107. 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. Form 6–K (17 CFR 249.306) is a disclosure document under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) that must be filed by a foreign private issuer to report material information promptly after the occurrence of specified or other important corporate events that are disclosed in the foreign private issuer’s home country. The purpose of Form 6–K is to ensure that U.S. investors have access to the same information that foreign investors do when making investment decisions. Form 6–K is a public document and all information provided is mandatory. Form 6–K takes approximately 8.7 hours per response and is filed by approximately 12,022 issuers annually. We estimate 75% of the 8.7 hours per response (6.525 hours) is prepared by the issuer for a total annual reporting burden of 78,444 hours (6.525 hours per response × 12,022 responses). The remaining burden hours are reflected as a cost to the foreign private issuers. 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. The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on October 14, 2010 (75 FR 63215). No comments were received. The public may view the background documentation for this information collection at the following Web site, https://www.reginfo.gov. 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) Thomas Bayer, Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green Way, Alexandria, PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 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: December 14, 2010. Florence E. Harmon, Deputy Secretary. [FR Doc. 2010–31820 Filed 12–17–10; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Form BD–N/Rule 15b11–1; SEC File No. 270–498; OMB Control No. 3235–0556] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Form BD–N/Rule 15b11–1; SEC File No. 270–498; OMB Control No. 3235–0556. 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 extension of the previously approved collection of information discussed below. Rule 15b11–1 (17 CFR 240.15b11–1) requires that futures commission merchants and introducing brokers registered with the Commodity Futures Trading Commission that conduct a business in security futures products must notice-register as broker-dealers pursuant to Section 15(b)(11)(A) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Form BD–N (17 CFR 249.501b) is the Form by which these entities must notice register with the Commission. The total annual burden imposed by Rule 15b11–1 and Form BD–N is approximately 8 hours, based on approximately 21 responses (10 initial filings + 11 amendments). Each initial filing requires approximately 30 minutes to complete and each amendment requires approximately 15 minutes to complete. There is no annual cost burden. The Commission will use the information collected pursuant to Rule 15b11–1 to understand the market for securities futures product and fulfill its regulatory obligations. Completing and filing Form BD–N is mandatory in order for an eligible futures commission merchant or introducing broker to conduct a E:\FR\FM\20DEN1.SGM 20DEN1 Federal Register / Vol. 75, No. 243 / Monday, December 20, 2010 / Notices business in security futures products. Compliance with Rule 15b11–1 does not involve the collection of confidential information. Please note that 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. The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on October 12, 2010 (75 FR 62612). No comments were received. The public may view the background documentation for this information collection at the following Web site, https://www.reginfo.gov. 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) Thomas Bayer, Chief Information Officer, 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: December 12, 2010. Florence E. Harmon, Deputy Secretary. BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(9)(a)(1) To Extend the Operation of a Pilot Operating Pursuant to the Rule Until June 1, 2011 jlentini on DSKJ8SOYB1PROD with NOTICES December 14, 2010. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that on November 30, 2010, NYSE Amex LLC (the ‘‘Exchange’’ or ‘‘NYSE Amex’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. VerDate Mar<15>2010 17:18 Dec 17, 2010 Jkt 223001 The Exchange proposes to amend NYSE Amex Equities Rule 123C(9)(a)(1) to extend the operation of a pilot operating pursuant to the Rule until June 1, 2011. The text of the proposed rule change is available at the Exchange, the Commission’s Public Reference Room, https://www.sec.gov, and https:// www.nyse.com. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements. 1. Purpose [Release No. 34–63541; File No. SR– NYSEAmex-2010–113] 2 15 I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change [FR Doc. 2010–31819 Filed 12–17–10; 8:45 am] 1 15 proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. The Exchange proposes to amend NYSE Amex Equities Rule 123C(9)(a)(1) to extend the operation of a pilot that allows the Exchange to temporarily suspend certain rule requirements at the close when extreme order imbalances may cause significant dislocation to the closing price (‘‘Extreme Order Imbalances Pilot’’ or ‘‘Pilot’’) 4 until June 4 See Securities Exchange Act Release Nos. 59755 (April 13, 2009), 74 FR 18009 (April 20, 2009) (SR– NYSEAltr–2009–15) (order granting approval of the Pilot); 60808 (October 9, 2009), 74 FR 53539 (October 19, 2009) (SR–NYSEAmex–2009–70) (extending the operation of the Pilot to December 31, 2009); 61265 (December 31, 2009), 75 FR 1094 (January 8, 2010) (SR–NYSEAmex–2009–96) (extending the operation of the Pilot from December 31, 2009 to March 1, 2010); 61611 (March 1, 2010), 75 FR 10530 (March 8, 2010) (SR–NYSEAmex– 2010–15) (extending the operation of the Pilot from March 1, 2010 to June 1, 2010); 62293 (June 15, 2010), 75 FR 35862 (June 23, 2010) (SR– NYSEAmex–2010–50) (extending the operation of the Pilot from June 1, 2010 to December 1, 2010). PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 79427 1, 2011.5 The Pilot is currently scheduled to expire on December 1, 2010.6 Background Pursuant to NYSE Amex Equities Rule 123C(9)(a)(1), the Exchange may suspend NYSE Amex Equities Rule 52 (Hours of Operation) to resolve an extreme order imbalance that may result in a price dislocation at the close as a result of an order entered into Exchange systems, or represented to a Designated Market Maker (‘‘DMM’’) orally at or near the close. The provisions of NYSE Amex Equities Rule 123C(9)(a)(1) operate as the Extreme Order Imbalance Pilot. As a condition of the approval to operate the Pilot, the Exchange committed to provide the Commission with information regarding: (i) How often an NYSE Amex Equities Rule 52 temporary suspension pursuant to the Pilot was invoked during the six months following its approval; and (ii) the Exchange’s determination as to how to proceed with technical modifications to reconfigure Exchange systems to accept orders electronically after 4 p.m. During the operation of the Pilot, the Exchange believed that the systems modifications to allow Exchange systems to accept orders electronically after 4 p.m. would not be as onerous as previously believed when the Pilot was initially commenced. The Exchange completed the system modifications necessary to accept orders electronically after 4 p.m. and began the process of testing the modifications. The Exchange therefore filed to extend the Extreme Order Imbalance Pilot until the earlier of SEC approval to make such Pilot permanent or December 1, 2010.7 At the time, the Exchange anticipated that its quality assurance review process would be completed by December 1, 2010 and it would be able to operate under the new system. The quality assurance review determined that additional testing was required in order to assure the optimal functioning of the system modifications. Proposal To Extend the Operation of the Extreme Order Imbalance Pilot The Exchange established the Extreme Order Imbalance Pilot to create a mechanism for ensuring a fair and orderly close when interest is received 5 The Exchange notes that parallel changes are proposed to be made to the rules of New York Stock Exchange LLC. See SR–NYSE–2010–79. 6 See Securities Exchange Act Release No. 62293 (June 15, 2010), 75 FR 35862 (June 23, 2010) (SR– NYSEAmex–2010–50) at note 6. Due to a technical deficiency in a prior filing, the Exchange did not invoke the Pilot between June 1, 2010 and June 7, 2010. 7 Id. E:\FR\FM\20DEN1.SGM 20DEN1

Agencies

[Federal Register Volume 75, Number 243 (Monday, December 20, 2010)]
[Notices]
[Pages 79426-79427]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-31819]


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

SECURITIES AND EXCHANGE COMMISSION

[Form BD-N/Rule 15b11-1; SEC File No. 270-498; OMB Control No. 3235-
0556]


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of Investor Education and Advocacy, 
Washington, DC 20549-0213.

Extension:
    Form BD-N/Rule 15b11-1; SEC File No. 270-498; OMB Control No. 
3235-0556.

    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 extension of the previously approved 
collection of information discussed below.
    Rule 15b11-1 (17 CFR 240.15b11-1) requires that futures commission 
merchants and introducing brokers registered with the Commodity Futures 
Trading Commission that conduct a business in security futures products 
must notice-register as broker-dealers pursuant to Section 15(b)(11)(A) 
of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Form 
BD-N (17 CFR 249.501b) is the Form by which these entities must notice 
register with the Commission.
    The total annual burden imposed by Rule 15b11-1 and Form BD-N is 
approximately 8 hours, based on approximately 21 responses (10 initial 
filings + 11 amendments). Each initial filing requires approximately 30 
minutes to complete and each amendment requires approximately 15 
minutes to complete. There is no annual cost burden.
    The Commission will use the information collected pursuant to Rule 
15b11-1 to understand the market for securities futures product and 
fulfill its regulatory obligations.
    Completing and filing Form BD-N is mandatory in order for an 
eligible futures commission merchant or introducing broker to conduct a

[[Page 79427]]

business in security futures products. Compliance with Rule 15b11-1 
does not involve the collection of confidential information. Please 
note that 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. The Federal Register notice with a 
60-day comment period soliciting comments on this collection of 
information was published on October 12, 2010 (75 FR 62612). No 
comments were received.
    The public may view the background documentation for this 
information collection at the following Web site, https://www.reginfo.gov. 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) Thomas Bayer, Chief 
Information Officer, 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: December 12, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-31819 Filed 12-17-10; 8:45 am]
BILLING CODE 8011-01-P
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