Proposed Collection; Comment Request, 13000-13001 [2011-5280]
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Federal Register / Vol. 76, No. 46 / Wednesday, March 9, 2011 / Notices
Interested persons are
invited to submit written comments on
the proposed information collection to
U.S. Office of Personnel Management,
Linda Bradford (Acting), Deputy
Associate Director, Retirement
Operations, Retirement Services, 1900 E
Street, NW., Room 3305, Washington,
DC 20415–3500 or send via electronic
mail to Martha.Moore@opm.gov.
FOR FURTHER INFORMATION CONTACT: A
copy of this ICR, with applicable
supporting documentation, may be
obtained by contacting the Publications
Team, Office of Personnel Management,
1900 E Street, NW., Room 4332,
Washington, DC 20415, Attention: Cyrus
S. Benson, or sent via electronic mail to
Cyrus.Benson@opm.gov or faxed to
(202) 606–0910.
SUPPLEMENTARY INFORMATION: Court
Orders Affecting Retirement Benefits, 5
CFR 838.221, 838.421, and 838.721
describe how former spouses give us
written notice of a court order requiring
us to pay benefits to the former spouse.
Specific information is needed before
OPM can make court-ordered benefit
payments.
ADDRESSES:
Analysis
Agency: Retirement Operations,
Retirement Services, Office of Personnel
Management.
Title: Court Orders Affecting
Retirement Benefits, 5 CFR 838.221,
838.421, and 838.721.
OMB Number: 3206–0204.
Frequency: On occasion.
Affected Public: Individuals or
Households.
Number of Respondents: 19,000.
Estimated Time Per Respondent: 30
minutes.
Total Burden Hours: 9,500.
U.S. Office of Personnel Management.
John Berry,
Director.
[FR Doc. 2011–5392 Filed 3–8–11; 8:45 am]
BILLING CODE 6325–38–P
POSTAL SERVICE
Transfer of Commercial First-Class
Mail Parcels to Competitive Product
List
Postal Service.TM
ACTION: Notice.
Emcdonald on DSK2BSOYB1PROD with NOTICES
AGENCY:
The Postal Service hereby
provides notice that it has filed a
request with the Postal Regulatory
Commission to transfer commercial
First-Class Mail Parcels from the Mail
Classification Schedule’s MarketDominant Product List to its
Competitive Product List.
SUMMARY:
VerDate Mar<15>2010
19:29 Mar 08, 2011
Jkt 223001
DATES:
March 9, 2011.
FOR FURTHER INFORMATION CONTACT:
Nabeel Cheema, 202–268–7178.
On
February 24, 2011, the United States
Postal Service® filed with the Postal
Regulatory Commission a Request of the
United States Postal Service to transfer
commercial First-Class Mail Parcels
from the Mail Classification Schedule’s
Market-Dominant Product List to its
Competitive Product List, pursuant to
39 U.S.C. 3642. The transfer would take
place in two steps: First, commercial
First-Class Mail Parcels would be
removed from the market-dominant
product list; then, a new product,
provisionally titled Lightweight
Commercial Parcels, would be added to
the competitive product list.
Lightweight Commercial Parcels would
be identical to commercial First-Class
Mail Parcels, except that Lightweight
Commercial Parcels would have a
content restriction prohibiting the
inclusion of any item classified as a
‘‘letter’’ under the Private Express
Statutes. Documents pertinent to this
request are available at https://
www.prc.gov, Docket No. MC2011–22.
SUPPLEMENTARY INFORMATION:
Neva R. Watson,
Attorney, Legislative.
[FR Doc. 2011–5272 Filed 3–8–11; 8:45 am]
BILLING CODE 7710–12–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; 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:
Rule 17a–13; SEC File No. 270–27; OMB
Control No. 3235–0035.
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 collection of information
provided for in the following rule: Rule
17a–13 (17 CFR 240.17a–13) under the
Securities Exchange Act of 1934 (15
U.S.C. 78 et seq.). The Commission
plans to submit a request for approval
of extension of the existing collection of
information to the Office of
Management and Budget.
Rule 17a–13(b) (17 CFR 17a–13(b))
generally requires that at least once each
calendar quarter, all registered brokers
and dealers physically examine and
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count all securities held and account for
all other securities not in their
possession, but subject to the brokerdealer’s control or direction. Any
discrepancies between the brokerdealer’s securities count and the firm’s
records must be noted and, within seven
days, the unaccounted for difference
must be recorded in the firm’s records.
Rule 17a–13(c) (17 CFR 17a–13(c))
provides that under specified
conditions, the securities counts,
examination, and verification of the
broker-dealer’s entire list of securities
may be conducted on a cyclical basis
rather than on a certain date. Although
Rule 17a–13 does not require filing a
report with the Commission,
discrepancies between a broker-dealer’s
records and the securities counts may be
required to be reported, for example, as
a loss on Form X–17a–5 (17 CFR
248.617), which must be filed with the
Commission under Rule 17a–5 (17 CFR
17a–5). Rule 17a–13 exempts brokerdealers that limit their business to the
sale and redemption of securities of
registered investment companies and
interests or participation in an
insurance company separate account
and those who solicit accounts for
federally insured savings and loan
associations, provided that such persons
promptly transmit all funds and
securities and hold no customer funds
and securities. The Rule also does not
apply to certain broker-dealers required
to register only because they effect
transactions in securities futures
products.
The information obtained from Rule
17a–13 is used as an inventory control
device to monitor a broker-dealer’s
ability to account for all securities held,
in transfer, in transit, pledged, loaned,
borrowed, deposited, or otherwise
subject to the firm’s control or direction.
Discrepancies between the securities
counts and the broker-dealer’s records
alert the Commission and the Self
Regulatory Organizations (‘‘SROs’’) to
those firms having problems in their
back offices.
Currently, there are approximately
5,030 broker-dealers registered with the
Commission. However, given the
variability in their businesses, it is
difficult to quantify how many hours
per year each broker-dealer spends
complying with the Rule. As noted, the
Rule requires a respondent to account
for all securities in its possession. Many
respondents hold few, if any, securities;
while others hold large quantities.
Therefore, the time burden of complying
with the Rule will depend on
respondent-specific factors, including
size, number of customers, and
E:\FR\FM\09MRN1.SGM
09MRN1
Federal Register / Vol. 76, No. 46 / Wednesday, March 9, 2011 / Notices
proprietary trading activity. The staff
estimates that the average time spent per
respondent is 100 hours per year on an
ongoing basis to maintain the records
required under the Rule. This estimate
takes into account the fact that more
than half the 5,030 respondents—
according to financial reports filed with
the Commission—may spend little or no
time in complying with the rule, given
that they do not do a public securities
business or do not hold inventories of
securities. For these reasons, the staff
estimates that the total compliance
burden per year is 503,000 hours (5,030
respondents × 100 hours/respondent).
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information has practical utility; (b) the
accuracy of the Commission’s estimates
of the burden of the proposed 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.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid Office of Management and
Budget (OMB) control number.
Comments should be directed to:
Thomas Bayer, Chief Information
Officer, Securities and Exchange
Commission, c/o Remi Pavlik-Simon,
6432 General Green Way, Alexandria,
Virginia 22312; or comments may be
sent by e-mail to:
PRA_Mailbox@sec.gov.
Dated: March 2, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011–5280 Filed 3–8–11; 8:45 am]
Emcdonald on DSK2BSOYB1PROD with NOTICES
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: U.S. Securities and Exchange
Commission, Office of Investor
VerDate Mar<15>2010
18:04 Mar 08, 2011
Jkt 223001
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 17a–2; SEC File No. 270–189; OMB
Control No. 3235–0201.
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 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–2 (17 CFR 240.17a–2)—
Recordkeeping Requirements Relating
to Stabilizing Activities
Rule 17a–2 requires underwriters to
maintain information regarding
stabilizing activities conducted in
accordance with Rule 104. The
collections of information under
Regulation M and Rule 17a–2 are
necessary for covered persons to obtain
certain benefits or to comply with
certain requirements. The collections of
information are necessary to provide the
Commission with information regarding
syndicate covering transactions and
penalty bids. The Commission may
review this information during periodic
examinations or with respect to
investigations. Except for the
information required to be kept under
Rule 104(i) (17 CFR 242.104(i)) and Rule
17a–2(c), none of the information
required to be collected or disclosed for
PRA purposes will be kept confidential.
The recordkeeping requirement of Rule
17a–2 requires the information be
maintained in a separate file, or in a
separately retrievable format, for a
period of three years, the first two years
in an easily accessible place, consistent
with the requirements of Exchange Act
Rule 17a–4(f) (17 CFR 240.17a–4(f)).
There are approximately 745
respondents per year that require an
aggregate total of 3,725 hours to comply
with this rule. Each respondent makes
an estimated 1 annual response. Each
response takes approximately 5 hours to
complete. Thus, the total compliance
burden per year is 3,725 burden hours.
The total compliance cost for the
respondents is approximately
$212,213.25, resulting in a cost of
compliance for the respondent per
response of approximately $284.85 (i.e.,
$212,213.25/745 responses).
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
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13001
information shall have practical utility;
(b) the accuracy of the Commission’s
estimates 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
writing within 60 days of this
publication.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid Office of Management and
Budget (OMB) control number.
Please direct your written comments
to: Thomas Bayer, Chief Information
Officer, Securities and Exchange
Commission, c/o Remi Pavlik-Simon,
6432 General Green Way, Alexandria,
Virginia 22312 or send an e-mail to:
PRA_Mailbox@sec.gov.
Dated: March 2, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011–5281 Filed 3–8–11; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; 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:
Rule 19b–7 and Form 19b–7; OMB Control
No. 3235–0553; SEC File No. 270–495.
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
(‘‘OMB’’) a request for approval of
extension of the existing collection of
information provided for in Rule 19b–7
(17 CFR 240.19b–7) and Form 19b–7—
Filings with respect to proposed rule
changes submitted pursuant to Section
19b(7) under the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.)
(‘‘Exchange Act’’).
E:\FR\FM\09MRN1.SGM
09MRN1
]]>Agencies
[Federal Register Volume 76, Number 46 (Wednesday, March 9, 2011)]
[Notices]
[Pages 13000-13001]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-5280]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; 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:
Rule 17a-13; SEC File No. 270-27; OMB Control No. 3235-0035.
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 collection of
information provided for in the following rule: Rule 17a-13 (17 CFR
240.17a-13) under the Securities Exchange Act of 1934 (15 U.S.C. 78 et
seq.). The Commission plans to submit a request for approval of
extension of the existing collection of information to the Office of
Management and Budget.
Rule 17a-13(b) (17 CFR 17a-13(b)) generally requires that at least
once each calendar quarter, all registered brokers and dealers
physically examine and count all securities held and account for all
other securities not in their possession, but subject to the broker-
dealer's control or direction. Any discrepancies between the broker-
dealer's securities count and the firm's records must be noted and,
within seven days, the unaccounted for difference must be recorded in
the firm's records. Rule 17a-13(c) (17 CFR 17a-13(c)) provides that
under specified conditions, the securities counts, examination, and
verification of the broker-dealer's entire list of securities may be
conducted on a cyclical basis rather than on a certain date. Although
Rule 17a-13 does not require filing a report with the Commission,
discrepancies between a broker-dealer's records and the securities
counts may be required to be reported, for example, as a loss on Form
X-17a-5 (17 CFR 248.617), which must be filed with the Commission under
Rule 17a-5 (17 CFR 17a-5). Rule 17a-13 exempts broker-dealers that
limit their business to the sale and redemption of securities of
registered investment companies and interests or participation in an
insurance company separate account and those who solicit accounts for
federally insured savings and loan associations, provided that such
persons promptly transmit all funds and securities and hold no customer
funds and securities. The Rule also does not apply to certain broker-
dealers required to register only because they effect transactions in
securities futures products.
The information obtained from Rule 17a-13 is used as an inventory
control device to monitor a broker-dealer's ability to account for all
securities held, in transfer, in transit, pledged, loaned, borrowed,
deposited, or otherwise subject to the firm's control or direction.
Discrepancies between the securities counts and the broker-dealer's
records alert the Commission and the Self Regulatory Organizations
(``SROs'') to those firms having problems in their back offices.
Currently, there are approximately 5,030 broker-dealers registered
with the Commission. However, given the variability in their
businesses, it is difficult to quantify how many hours per year each
broker-dealer spends complying with the Rule. As noted, the Rule
requires a respondent to account for all securities in its possession.
Many respondents hold few, if any, securities; while others hold large
quantities. Therefore, the time burden of complying with the Rule will
depend on respondent-specific factors, including size, number of
customers, and
[[Page 13001]]
proprietary trading activity. The staff estimates that the average time
spent per respondent is 100 hours per year on an ongoing basis to
maintain the records required under the Rule. This estimate takes into
account the fact that more than half the 5,030 respondents--according
to financial reports filed with the Commission--may spend little or no
time in complying with the rule, given that they do not do a public
securities business or do not hold inventories of securities. For these
reasons, the staff estimates that the total compliance burden per year
is 503,000 hours (5,030 respondents x 100 hours/respondent).
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the Commission, including whether the information has
practical utility; (b) the accuracy of the Commission's estimates of
the burden of the proposed 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.
The Commission may not conduct or sponsor a collection of
information unless it displays a currently valid control number. No
person shall be subject to any penalty for failing to comply with a
collection of information subject to the PRA that does not display a
valid Office of Management and Budget (OMB) control number.
Comments should be directed to: Thomas Bayer, Chief Information
Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon,
6432 General Green Way, Alexandria, Virginia 22312; or comments may be
sent by e-mail to: PRA_Mailbox@sec.gov.
Dated: March 2, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-5280 Filed 3-8-11; 8:45 am]
BILLING CODE 8011-01-P
