Submission for OMB Review; Comment Request, 2429-2430 [2011-674]
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srobinson on DSKHWCL6B1PROD with NOTICES
Federal Register / Vol. 76, No. 9 / Thursday, January 13, 2011 / Notices
approximately one page or less in length
(4,000 characters) are requested. This
request will be active through January
21, 11:59 pm EST.
DATES: Comments were previously
invited through 11:59 p.m. EST on
January 6, 2011. This notice extends the
period for public comment through
January 21, 11:59 pm EST.
ADDRESSES: Respondents are
encouraged to register online at the NNI
Strategy Portal at https://
strategy.nano.gov to post their
comments (4,000 characters or less) as a
response to the request for public
comment. Alternatively, comments of
one page in length or less may be
submitted via e-mail to:
nnistrategy@ostp.gov. Any information
you provide to us may be posted online.
Therefore, do not send any information
that might be considered proprietary,
personal, sensitive, or confidential.
Overview: The National
Nanotechnology Initiative Strategy for
Nanotechnology-Related Environmental,
Health, and Safety Research or ‘‘NNI
EHS Strategy’’ helps to facilitate
achievement of the National
Nanotechnology Initiative vision by
laying out guidance for agency leaders,
program managers, and the research
community regarding planning and
implementation of nanotechnology EHS
R&D investments and activities.
The NNI is a U.S. Government R&D
program of 25 agencies working together
toward the common challenging vision
of a future in which the ability to
understand and control matter at the
nanoscale leads to a revolution in
technology and industry that benefits
society. The combined, coordinated
efforts of these agencies have
accelerated discovery, development,
and deployment of nanotechnology
towards agency missions and the
broader national interest. Established in
2001, the NNI involves nanotechnologyrelated activities by the 25 member
agencies, 15 of which have requested
budgets for nanotechnology R&D for
Fiscal Year (FY) 2011.
The NNI is managed within the
framework of the National Science and
Technology Council (NSTC), the
Cabinet-level council that coordinates
science and technology across the
Federal government and interfaces with
other sectors. The Nanoscale Science,
Engineering, and Technology (NSET)
Subcommittee of the NSTC coordinates
planning, budgeting, program
implementation, and review of the NNI.
The NSET Subcommittee is composed
of senior representatives from agencies
participating in the NNI (https://
www.nano.gov). The NSET
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16:15 Jan 12, 2011
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Subcommittee and its Nanotechnology
Environmental and Health Implications
(NEHI) Working Group provide
leadership in establishing the NNI
environmental, health, and safety
research agenda and in communicating
data and information related to the
environmental and health aspects of
nanotechnology between NNI agencies
and with the public. NNI activities
support the development of the new
tools and methods required for the
research that will enable risk analysis
and assist in regulatory decisionmaking.
The NSET Subcommittee has solicited
multiple streams of input to inform the
development of this latest NNI EHS
Strategy. Independent reviews of the
NNI by the President’s Council of
Advisors on Science and Technology
and the National Research Council of
the National Academies have made
specific recommendations for improving
the NNI EHS strategy. A series of four
NNI workshops took place in 2009–2010
to solicit input for this strategy: 1.
Human & Environmental Exposure
Assessment of Nanomaterials (details at
https://www.nano.gov/html/meetings/
exposure/), 2. Nanomaterials and the
Environment & Instrumentation,
Metrology, and Analytical Methods
(details at https://www.nano.gov/html/
meetings/environment/), 3.
Nanomaterials and Human Health &
Instrumentation, Metrology, and
Analytical Methods (details at https://
www.nano.gov/html/meetings/
humanhealth/), and 4. Capstone: Risk
Management Methods & Ethical, Legal,
and Societal Implications of
Nanotechnology (details at https://
www.nano.gov/html/meetings/
capstone/). Additional input has come
from the NNI Strategic Planning
Stakeholders Workshop (details at
https://www.nano.gov/html/meetings/
NNISPWorkshop/) as well as in
responses to a Request for Information
published in the Federal Register on
July 6, 2010, and comments posted
online in response to challenge
questions from July 13–August 15, 2010,
at the NNI Strategy Portal (https://
strategy.nano.gov).
The draft NNI EHS Strategy
complements the 2010 NNI Strategic
Plan by setting forth the NNI strategy for
nanotechnology-related environmental,
health, and safety (EHS) research. It
describes the NNI vision and goals for
Federal EHS research and presents the
current NNI EHS research portfolio. The
EHS strategy includes a description of
the NNI EHS research investment by
research need, the state of the science,
and an analysis of the gaps and barriers
to achieving that research as part of the
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2429
NNI’s adaptive management of this
strategy. This strategy updates and
replaces the NNI EHS Strategy of
February 2008. The NNI EHS Strategy
aims to ensure the responsible
development of nanotechnology by
providing guidance to the Federal
agencies that produce the scientific
information for risk management,
regulatory decision-making, product
use, research planning, and public
outreach. The core research areas
providing this critical information are
measurement, human exposure
assessment, human health, and the
environment in order to inform risk
assessment and risk management.
Your comments on this draft of the
plan must be received by 11:59 p.m.
EST on January 21, 2011. Please
reference page and line numbers as
appropriate, and keep your responses to
4,000 characters or less. You may also
e-mail your responses, no more than one
page in length, to nnistrategy@ostp.gov.
Responses to this notice are not offers
and cannot be accepted by the Federal
government to form a binding contract
or issue a grant. Information obtained as
a result of this notice may be used by
the Federal government for program
planning on a non-attribution basis. Any
information you provide to us may be
posted online. Therefore, do not send
any information that might be
considered proprietary, personal,
sensitive, or confidential.
FOR FURTHER INFORMATION CONTACT: Any
questions about the content of this
notice should be sent to
NNIStrategy@ostp.gov. Questions and
responses may also be sent by mail
(please allow additional time for
processing) to the address: Office of
Science and Technology Policy, ATTN:
NNI EHS Strategy Comments, Executive
Office of the President, 725 17th Street
Room 5228, Washington, DC 20502.
Phone: (202) 456–7116, Fax: (202) 456–
6021.
Ted Wackler,
Deputy Chief of Staff.
[FR Doc. 2011–555 Filed 1–12–11; 8:45 am]
BILLING CODE 3170–W0–P
SECURITIES AND EXCHANGE
COMMISSION
[Rule 17a–4(b)(11), SEC File No. 270–449,
OMB Control No. 3235–0506, Rule 17a–
3(a)(16)]
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
E:\FR\FM\13JAN1.SGM
13JAN1
srobinson on DSKHWCL6B1PROD with NOTICES
2430
Federal Register / Vol. 76, No. 9 / Thursday, January 13, 2011 / Notices
Education and Advocacy,
Washington, DC 20549.
Extension:
Rule 17a–4(b)(11), SEC File No. 270–
449, OMB Control No. 3235–0506,
Rule 17a–3(a)(16).
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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for extension of the
existing collection of information
provided for in the following rule: Rule
17a–4(b)(11) (17 CFR Sec. 240.17a–
4(b)(11)) under the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.).
Rule 17a–4(b)(11) (17 CFR Sec.
240.17a–4(b)(11)) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) describes the record preservation
requirements for those records required
to be kept pursuant to Rule 17a–3(a)(16),
including how such records should be
kept and for how long, 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 respondents will
incur a total burden of 2835 hours per
year (105 respondents multiplied by 27
burden hours to comply with Rule 17a–
3(a)(16). It is estimated that
approximately 105 active broker-dealer
respondents registered with the
Commission will incur a total burden of
315 hours per year to comply with Rule
17a–4(b)(11), (105 respondents
multiplied by 3 burden hours per
respondent equals 315 total burden
hours).
The Commission estimates that an
employee of a broker-dealer charged to
ensure compliance with Rule 17a–
3(a)(16) receives annual compensation
of $238,000. This compensation is the
equivalent of $119 per hour ($238,000
divided by 2,000 payroll hours per
year). Thus, the average cost estimated
for each respondent would be $3,213:
Rule 17a–3(a)(16) Recordkeeping
requirements 27 hours at $119/hr =
$3,213.
The Commission estimates that an
employee of a broker-dealer charged to
ensure compliance with Rule 17a–
4(b)(11) receives annual compensation
of $238,000. This compensation is the
equivalent of $119 per hour ($238,000
divided by 2,000 pay roll hours per
year). Thus, the average cost estimated
for each respondent would be $357.00:
Rule 17a–4(b)(11) Record preservation
requirements 3 hours at $119/hr = $357.
VerDate Mar<15>2010
16:15 Jan 12, 2011
Jkt 223001
Accordingly, the annual aggregated
hour burden for each broker-dealer
required to comply with Rules 17a–
3(a)(16) and 17a–4(b)(11) would be
$3,570: ($3213 + $357 = $3570).
Under Rule 17a–4(a)(11) brokerdealers are required to retain records for
a period of not less than three years.
Compliance with the rule is mandatory.
The required records are available only
to the examination staff of the
Commission and the self-regulatory
organization of which the broker-dealer
is a member.
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 information discussed in this notice
at 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: January 10, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–674 Filed 1–12–11; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–63659; File No. SR–DTC–
2010–17]
Self-Regulatory Organizations; the
Depository Trust Company; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change Relating to Fee
Revisions
January 6, 2011.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 notice is hereby given that on
December 28, 2010, The Depository
Trust Company (‘‘DTC’’) filed with the
Securities and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I and II,
which Items have been prepared
primarily by DTC. DTC filed the
proposed rule change pursuant to
Section 19(b)(3)(A)(ii) of the Act 2 and
Rule 19b-4(f)(2) 3 thereunder so that the
proposal was effective upon filing with
the Commission. The Commission is
publishing this notice to solicit
comments on the proposed rule change
from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The purpose of this filing is to revise
the fees for certain services provided by
DTC.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
DTC 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 these statements
may be examined at the places specified
in Item IV below. DTC has prepared
summaries, set forth in sections A, B,
and C below, of the most significant
aspects of such statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
The purpose of the proposed rule
change is to revise the fees for certain
services provided by DTC. DTC will
increase fees associated with Custody
and Asset Servicing, Deposits,
Underwriting and Dividend, Book-Entry
Delivery, and MMI services in order to
realign fees with costs incurred in
providing these services and to scale the
fees to reflect processing complexity,
with the objective of fee simplification
and transparency.
DTC will also introduce fees for new
capabilities in Asset Services, including
a fee to recover costs associated with
excluding Treasury Shares of a company
from dividend processing.
In addition, DTC will implement or
increase certain disincentive fees to
discourage behavior that keeps the
industry from achieving peak efficiency,
including fee increases in Asset Services
reject and exception processing relating
to Underwriting and Withdrawal
activities.
DTC states that the proposed fee
revisions are consistent with DTC’s
overall pricing philosophy of aligning
service fees with underlying costs,
2 15
1 15
PO 00000
U.S.C. 78s(b)(1).
Frm 00103
Fmt 4703
3 17
Sfmt 4703
E:\FR\FM\13JAN1.SGM
U.S.C. 78s(b)(3)(A)(ii).
CFR 240.19b-4(f)(2).
13JAN1
]]>Agencies
[Federal Register Volume 76, Number 9 (Thursday, January 13, 2011)]
[Notices]
[Pages 2429-2430]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-674]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Rule 17a-4(b)(11), SEC File No. 270-449, OMB Control No. 3235-0506,
Rule 17a-3(a)(16)]
Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor
[[Page 2430]]
Education and Advocacy, Washington, DC 20549.
Extension:
Rule 17a-4(b)(11), SEC File No. 270-449, OMB Control No. 3235-0506,
Rule 17a-3(a)(16).
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'') has submitted to the Office of Management
and Budget (``OMB'') a request for extension of the existing collection
of information provided for in the following rule: Rule 17a-4(b)(11)
(17 CFR Sec. 240.17a-4(b)(11)) under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 17a-4(b)(11) (17 CFR Sec. 240.17a-4(b)(11)) under the
Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) describes the
record preservation requirements for those records required to be kept
pursuant to Rule 17a-3(a)(16), including how such records should be
kept and for how long, 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 respondents will incur a total burden of 2835
hours per year (105 respondents multiplied by 27 burden hours to comply
with Rule 17a-3(a)(16). It is estimated that approximately 105 active
broker-dealer respondents registered with the Commission will incur a
total burden of 315 hours per year to comply with Rule 17a-4(b)(11),
(105 respondents multiplied by 3 burden hours per respondent equals 315
total burden hours).
The Commission estimates that an employee of a broker-dealer
charged to ensure compliance with Rule 17a-3(a)(16) receives annual
compensation of $238,000. This compensation is the equivalent of $119
per hour ($238,000 divided by 2,000 payroll hours per year). Thus, the
average cost estimated for each respondent would be $3,213: Rule 17a-
3(a)(16) Recordkeeping requirements 27 hours at $119/hr = $3,213.
The Commission estimates that an employee of a broker-dealer
charged to ensure compliance with Rule 17a-4(b)(11) receives annual
compensation of $238,000. This compensation is the equivalent of $119
per hour ($238,000 divided by 2,000 pay roll hours per year). Thus, the
average cost estimated for each respondent would be $357.00: Rule 17a-
4(b)(11) Record preservation requirements 3 hours at $119/hr = $357.
Accordingly, the annual aggregated hour burden for each broker-
dealer required to comply with Rules 17a-3(a)(16) and 17a-4(b)(11)
would be $3,570: ($3213 + $357 = $3570).
Under Rule 17a-4(a)(11) broker-dealers are required to retain
records for a period of not less than three years. Compliance with the
rule is mandatory. The required records are available only to the
examination staff of the Commission and the self-regulatory
organization of which the broker-dealer is a member.
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 information
discussed in this notice at 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: January 10, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-674 Filed 1-12-11; 8:45 am]
BILLING CODE 8011-01-P
