Proposed Collection; Comment Request, 16461-16462 [2011-6809]

Download as PDF Federal Register / Vol. 76, No. 56 / Wednesday, March 23, 2011 / Notices On March 16, 2011, the Postal Service filed notice with the Commission of changes in rates of general applicability and concomitant classification changes for a competitive product pursuant to 39 CFR 3015.2.1 The Postal Service seeks to implement new prices for Parcel Select for forwarding and return to sender. The fee would be the applicable Parcel Select Barcoded Nonpresort prices, plus $3.00, for each Parcel Select forward or return. The proposed new prices will allow the Postal Service to more closely align with its competitors’ charges. The Postal Service includes six attachments with its Notice in support of its proposal to add new prices: • Decision of the Governors of the United States Postal Service on Establishment of Rate and Class of General Applicability for Parcel Select Forwarding and Return to Sender (Governors’ Decision No. 11–5); • Management Analysis of Parcel Select Forwarding and Return to Sender; • Certification of Governors’ Vote in the Governors’ Decision No. 11–5; • Cost coverage analysis; • Proposed Mail Classification Schedule language; and • Application of the United States Postal Service for Non-Public Treatment of Materials. An unredacted copy of certain materials also has been filed with the Commission. The Commission establishes Docket No. CP2011–64 for consideration of matters related to the proposed new prices identified in the Notice. Interested persons may submit comments on whether the Postal Service’s Notice is consistent with the policies of 39 U.S.C. 3632, 3633 and 3642 as well as 39 CFR parts 3015 and 3020. Comments are due no later than March 24, 2011. The Postal Service’s Notice can be accessed via the Commission’s Web site (http:// www.prc.gov). The Commission appoints William C. Miller to serve as Public Representative in the captioned proceeding. It is ordered: 1. The Commission establishes Docket No. CP2011–64 for consideration of matters raised by the Postal Service’s Notice. 2. Comments by interested persons in this proceeding are due no later than March 24, 2011. 3. Pursuant to 39 U.S.C. 505, William C. Miller is appointed to serve as the jlentini on DSKJ8SOYB1PROD with NOTICES SUPPLEMENTARY INFORMATION: 1 Notice of the United States Postal Service of Changes in Rates of General Applicability for a Competitive Product, Established in Governors’ Decision No. 11–5, March 16, 2011 (Notice). VerDate Mar<15>2010 16:46 Mar 22, 2011 Jkt 223001 officer of the Commission (Public Representative) to represent the interests of the general public in this proceeding. 4. The Secretary shall arrange for publication of this Order in the Federal Register. By the Commission. Ruth Ann Abrams, Acting Secretary. [FR Doc. 2011–6797 Filed 3–22–11; 8:45 am] BILLING CODE 7710–FW–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 20549–0213. Extension: Regulation S–X, SEC File No. 270–3, OMB Control No. 3235–0009. 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. Information collected and information prepared pursuant to Regulation S–X focus on the form and content of, and requirements for, financial statements filed with periodic reports and in connection with the offer and sale of securities. Investors need reasonably current financial statements to make informed investment and voting decisions. The potential respondents include all entities that file registration statements or reports pursuant to the Securities Act of 1933 (15 U.S.C. 77a, et seq.), the Securities Exchange Act of 1934 (15 U.S.C. 78a, et seq.) or the Investment Company Act of 1940 (15 U.S.C. 80a–1, et seq.). Regulation S–X specifies the form and content of financial statements when those financial statements are required to be filed by other rules and forms under the Federal securities laws. Compliance burdens associated with the financial statements are assigned to the rule or form that directly requires the financial statements to be filed, not to Regulation S–X. Instead, an estimated burden of one hour traditionally has PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 16461 been assigned to Regulation S–X for incidental reading of the regulation. The estimated average burden hours are solely for purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even a representative survey or study of the costs of SEC rules or forms. 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 will have practical utility; (b) the accuracy of the agency’s estimate of the burden of the 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. 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, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Dated: March 17, 2011. Cathy H. Ahn, Deputy Secretary. [FR Doc. 2011–6810 Filed 3–22–11; 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 609 and Form SIP; SEC File No. 270– 23; OMB Control No. 3235–0043. 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 for Rule 609 (17 CFR 242.609) (formerly Rule 11Ab2–1) and Form SIP (17 CFR 249.1001), titled E:\FR\FM\23MRN1.SGM 23MRN1 jlentini on DSKJ8SOYB1PROD with NOTICES 16462 Federal Register / Vol. 76, No. 56 / Wednesday, March 23, 2011 / Notices ‘‘Registration of securities information processors: form of application and amendments’’. On September 23, 1975, the Commission adopted Rule 11Ab2–1 and Form SIP under the Securities Exchange Act of 1934 (‘‘Act’’) (15 U.S.C. 78a et seq.) to establish the procedures by which Securities Information Processor (‘‘SIP’’) files and amends their SIP registration statements.1 Under Regulation NMS Rule 11Ab2–1was redesignated as Rule 609.2 The information filed with the Commission pursuant to Rule 609 and Form SIP is designed to provide the Commission with the information necessary to make the required findings under the Act before granting the SIP’s application for registration. In addition, the requirement that a SIP file an amendment to correct any inaccurate information is designed to assure that the Commission has current, accurate information with respect to the SIP. This information is also made available to members of the public. Only exclusive SIPs are required to register with the Commission. An exclusive SIP is a SIP that engages on an exclusive basis on behalf of any national securities exchange or registered securities association, or any national securities exchange or registered securities association which engages on an exclusive basis on its own behalf, in collecting, processing, or preparing for distribution or publication, any information with respect to (i) transactions or quotations on or effective or made by means of any facility of such exchange or (ii) quotations distributed or published by means of any electronic quotation system operated by such association. The Federal securities laws require that before the commission may approve the registration of an exclusive SIP, it must make certain mandatory findings. It takes a SIP applicant approximately 400 hours to prepare documents which include sufficient information to enable the Commission to make those findings. Currently, there are only two exclusive SIPs registered with the Commission; The Securities Information Automation Corporation (‘‘SIAC’’) and The Nasdaq Stock Market, LLC (‘‘Nasdaq’’). SIAC and Nasdaq are required to keep the information on file with the Commission current, which entails filing a form SIP annually to update information. 1 See Securities Exchange Act Release No. 11673 (September 23, 1975), 40 FR 45422 (October 2, 1975). 2 See Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005). VerDate Mar<15>2010 16:46 Mar 22, 2011 Jkt 223001 Accordingly, the annual reporting and recordkeeping burden for Rule 609 and Form SIP is 400 hours; the burden of information collection is estimated to involve approximately 1 respondent application for registration making 1 response per year. This annual reporting and recordkeeping burden does not include the burden hours or cost of amending a Form SIP because the Commission has already overstated the compliance burdens by assuming that the Commission will receive one initial registration pursuant to Rule 609 on Form SIP a year. 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 will have practical utility; (b) the accuracy of the agency’s estimate of the burden of the 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. 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 17, 2011. Cathy H. Ahn, Deputy Secretary. information contained in HELI’s public filings with the Commission concerning, among other things, the company’s cash balances and accounts receivable. The company has failed to disclose that the company’s independent auditor has resigned due to accounting irregularities involving (a) discrepancies between HELI’s accounting records for cash balances and official bank statements obtained by the auditors from the company’s bank, (b) discrepancies concerning the existence and location of company customers, and (c) the possibility that accounting records could have been falsified. Due to these irregularities, the company’s auditor has resigned from its engagement to audit the company’s consolidated financial statements for the year ended December 31, 2010, and has withdrawn its audit opinion issued June 15, 2010 relating to the audit of the company’s consolidated financial statements as of December 31, 2009 and 2008. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the abovelisted company is suspended for the period from 9:30 a.m. EDT, March 21, 2011, through 11:59 p.m. EDT, on April 1, 2011. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–6943 Filed 3–21–11; 4:15 pm] BILLING CODE 8011–01–P [FR Doc. 2011–6809 Filed 3–22–11; 8:45 am] SECURITIES AND EXCHANGE COMMISSION BILLING CODE 8011–01–P [Release No. 34–64090; File No. SR–BX– 2011–007] SECURITIES AND EXCHANGE COMMISSION In the Matter of Heli Electronics Corp., Order of Suspension of Trading Self-Regulatory Organizations; NASDAQ OMX BX LLC; Order Approving a Proposed Rule Change Relating to Permanent Approval of the BX and NES Inbound Routing Relationship March 21, 2011. March 17, 2011. [File No. 500–1] It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Heli Electronics Corp. (‘‘HELI’’), a Nevada corporation with headquarters and operations in the People’s Republic of China, which trades in the over-thecounter market under the symbol ‘‘HELI.’’ Questions have arisen regarding the accuracy and completeness of PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 I. Introduction On January 28, 2011, NASDAQ OMX BX LLC (‘‘BX’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule 1 15 2 17 E:\FR\FM\23MRN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 23MRN1

Agencies

[Federal Register Volume 76, Number 56 (Wednesday, March 23, 2011)]
[Notices]
[Pages 16461-16462]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-6809]


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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 609 and Form SIP; SEC File No. 270-23; OMB Control No. 
3235-0043.

    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 for Rule 609 (17 CFR 242.609) 
(formerly Rule 11Ab2-1) and Form SIP (17 CFR 249.1001), titled

[[Page 16462]]

``Registration of securities information processors: form of 
application and amendments''.
    On September 23, 1975, the Commission adopted Rule 11Ab2-1 and Form 
SIP under the Securities Exchange Act of 1934 (``Act'') (15 U.S.C. 78a 
et seq.) to establish the procedures by which Securities Information 
Processor (``SIP'') files and amends their SIP registration 
statements.\1\ Under Regulation NMS Rule 11Ab2-1was redesignated as 
Rule 609.\2\ The information filed with the Commission pursuant to Rule 
609 and Form SIP is designed to provide the Commission with the 
information necessary to make the required findings under the Act 
before granting the SIP's application for registration. In addition, 
the requirement that a SIP file an amendment to correct any inaccurate 
information is designed to assure that the Commission has current, 
accurate information with respect to the SIP. This information is also 
made available to members of the public.
---------------------------------------------------------------------------

    \1\ See Securities Exchange Act Release No. 11673 (September 23, 
1975), 40 FR 45422 (October 2, 1975).
    \2\ See Securities Exchange Act Release No. 51808 (June 9, 
2005), 70 FR 37496 (June 29, 2005).
---------------------------------------------------------------------------

    Only exclusive SIPs are required to register with the Commission. 
An exclusive SIP is a SIP that engages on an exclusive basis on behalf 
of any national securities exchange or registered securities 
association, or any national securities exchange or registered 
securities association which engages on an exclusive basis on its own 
behalf, in collecting, processing, or preparing for distribution or 
publication, any information with respect to (i) transactions or 
quotations on or effective or made by means of any facility of such 
exchange or (ii) quotations distributed or published by means of any 
electronic quotation system operated by such association. The Federal 
securities laws require that before the commission may approve the 
registration of an exclusive SIP, it must make certain mandatory 
findings. It takes a SIP applicant approximately 400 hours to prepare 
documents which include sufficient information to enable the Commission 
to make those findings. Currently, there are only two exclusive SIPs 
registered with the Commission; The Securities Information Automation 
Corporation (``SIAC'') and The Nasdaq Stock Market, LLC (``Nasdaq''). 
SIAC and Nasdaq are required to keep the information on file with the 
Commission current, which entails filing a form SIP annually to update 
information.
    Accordingly, the annual reporting and recordkeeping burden for Rule 
609 and Form SIP is 400 hours; the burden of information collection is 
estimated to involve approximately 1 respondent application for 
registration making 1 response per year. This annual reporting and 
recordkeeping burden does not include the burden hours or cost of 
amending a Form SIP because the Commission has already overstated the 
compliance burdens by assuming that the Commission will receive one 
initial registration pursuant to Rule 609 on Form SIP a year.
    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 will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the 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.
    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 17, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-6809 Filed 3-22-11; 8:45 am]
BILLING CODE 8011-01-P