Proposed Collection; Comment Request, 18263-18264 [2011-7690]

Download as PDF mstockstill on DSKH9S0YB1PROD with NOTICES Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Notices professional (ST) rate range remains at $119,554 in 2011. The applicable maximum rate of the SL/ST rate range continues to be $179,700 (level II of the Executive Schedule) for SL or ST employees covered by a certified SL/ST performance appraisal system and $165,300 (level III of the Executive Schedule) for SL or ST employees covered by an SL/ST performance appraisal system that has not been certified. Agencies with certified performance appraisal systems in 2011 for SES members and employees in SL and ST positions also must apply a higher aggregate limitation on pay—up to the Vice President’s salary ($230,700 in 2011, the same level as in 2010). By law, SES members and employees in SL and ST positions are not authorized to receive locality payments. Note: An exception applies to SES, SL, and ST employees stationed in a nonforeign area on January 2, 2010, which is explained in an OPM memorandum, CPM 2009–27. (See http://www.opm.gov/oca/compmemo/ index.asp.) Executive Order 13561 provides that the rates of basic pay for administrative law judges (ALJs) under 5 U.S.C. 5372 are not increased in 2011. The rate of basic pay for AL–1 remains at $155,500 (equivalent to the rate for EX–IV). The rate of basic pay for AL–2 remains at $151,800. The rates of basic pay for AL– 3/A through 3/F continue to range from $103,900 to $143,700. The rates of basic pay for members of Contract Appeals Boards are calculated as a percentage of the rate for level IV of the Executive Schedule. (See 5 U.S.C. 5372a.) Therefore, these rates of basic pay are not increased in 2011. On December 13, 2010, the President’s Pay Agent extended localitybased comparability payments to certain categories of non-GS employees again in 2011. The Governmentwide categories include ALJs and Contract Appeals Board members. The maximum locality rate of pay for these employees is the rate for level III of the Executive Schedule ($165,300 in 2011, the same level as in 2010). On December 27, 2010, OPM issued a memorandum (CPM 2010–20) on the Executive order for the 2011 pay schedules. (See http://www.opm.gov/ oca/compmemo/index.asp.) The memorandum transmitted Executive Order 13561 and provided the 2011 salary tables, locality pay areas and percentages, and information on general pay administration matters and other related information. The ‘‘2011 Salary Tables’’ posted on OPM’s Web site at http://www.opm.gov/oca/11tables/ index.asp are the official rates of pay for VerDate Mar<15>2010 20:09 Mar 31, 2011 Jkt 223001 affected employees and are hereby incorporated as part of this notice. SECURITIES AND EXCHANGE COMMISSION U.S. Office of Personnel Management. John Berry, Director. 18263 Proposed Collection; Comment Request [FR Doc. 2011–7672 Filed 3–31–11; 8:45 am] BILLING CODE 6325–39–P OFFICE OF PERSONNEL MANAGEMENT Extension: Rule 17Ac3–1(a); SEC File No. 270–96; OMB Control No. 3235–0151. Form TA–W(1669); SEC File No. 270–96; OMB Control No. 3235–0151. Hispanic Council on Federal Employment Office of Personnel Management. AGENCY: ACTION: Scheduling of council meeting. The Hispanic Council on Federal Employment will hold its second meeting on April 15, 2011, at the time and location shown below. The Council is an advisory committee composed of representatives from Hispanic organizations and senior government officials. Along with its other responsibilities, the Council shall advise the Director of the Office of Personnel Management on matters involving the recruitment, hiring, and advancement of Hispanics in the Federal workforce. The Council is cochaired by the Chief of Staff of the Office of Personnel Management and the Assistant Secretary for Human Resources and Administration at the Department of Veterans Affairs. The meeting is open to the public. Please contact the Office of Personnel Management at the address shown below if you wish to present material to the Council at the meeting. The manner and time prescribed for presentations may be limited, depending upon the number of parties that express interest in presenting information. SUMMARY: April 15, 2011 from 2–4 p.m. Location: U.S. Office of Personnel Management, Room 1416, 1st Floor, Theodore Roosevelt Building, 1900 E St., NW., Washington, DC 20415. DATES: FOR FURTHER INFORMATION CONTACT: Veronica E. Villalobos, Director for the Office of Diversity and Inclusion, Office of Personnel Management, 1900 E St., NW., Suite 5305, Washington, DC 20415. Phone (202) 606–2984 FAX (202) 606–2183 or e-mail at Edgar.Gonzalez@opm.gov. U.S. Office of Personnel Management. John Berry, Director. [FR Doc. 2011–7830 Filed 3–31–11; 8:45 am] BILLING CODE 6325–46–P PO 00000 Frm 00120 Fmt 4703 Sfmt 4703 Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. 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 existing collection of information provided for in the following rule: Rule 17Ac3–1(a) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Section 17A(c)(4)(B) of the Exchange Act authorizes transfer agents registered with an appropriate regulatory agency (‘‘ARA’’) to withdraw from registration by filing with the ARA a written notice of withdrawal and by agreeing to such terms and conditions as the ARA deems necessary or appropriate in the public interest, for the protection of investors, or in the furtherance of the purposes of Section 17A. In order to implement Section 17A(c)(4)(B) of the Exchange Act the Commission, on September 1, 1977, promulgated Rule 17Ac3–1(a) (17 CFR 240.17Ac3–1(a)) and accompanying Form TA–W (17 CFR 249b.101). Rule 17Ac3–1(a) provides that notice of withdrawal from registration as a transfer agent with the Commission shall be filed on Form TA–W. Form TA–W requires the withdrawing transfer agent to provide the Commission with certain information, including: (1) The locations where transfer agent activities are or were performed; (2) the reasons for ceasing the performance of such activities; (3) disclosure of unsatisfied judgments or liens; and (4) information regarding successor transfer agents. The Commission uses the information disclosed on Form TA–W to determine whether the registered transfer agent applying for withdrawal from registration as a transfer agent should be allowed to deregister and, if so, whether the Commission should attach to the granting of the application any terms or conditions necessary or appropriate in E:\FR\FM\01APN1.SGM 01APN1 mstockstill on DSKH9S0YB1PROD with NOTICES 18264 Federal Register / Vol. 76, No. 63 / Friday, April 1, 2011 / Notices the public interest, for the protection of investors, or in furtherance of the purposes of Section 17A of the Exchange Act. Without Rule 17Ac3–1(a) and Form TA–W, transfer agents registered with the Commission would not have a means to voluntarily deregister when necessary or appropriate to do so. Respondents file approximately 50 TA–Ws with the Commission annually. A Form TA–W filing occurs only once, when a transfer agent is seeing deregistration. Approximately 80 percent of Form TA–Ws are completed by the transfer agent or its employees and approximately 20 percent of Forms TA–W are completed by an outside filing agent that is hired by the registrant to prepare the form and file it electronically. In view of the readilyavailable information requested by Form TA–W, its short and simple presentation, and the Commission’s experience with the filers, we estimate that approximately 30 minutes is required to complete and file Form TA–W, which consists primarily of external labor costs plus a nominal and unquantifiable amount of computer operations/maintenance cost (because the Form must be filed electronically through the Commission’s EDGAR system). For transfer agents that complete Form TA–W themselves, we estimate the cost per filing is $25 (.5 hours times $50 average hourly rate for clerical staff time), which is an internal labor cost. We estimate that outside filing agents charge $100 to complete and file a TA–W on behalf of a registrant, reflecting an external cost to respondents. 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 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 VerDate Mar<15>2010 20:09 Mar 31, 2011 Jkt 223001 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, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Dated: March 28, 2011. Cathy H. Ahn, Deputy Secretary. [FR Doc. 2011–7690 Filed 3–31–11; 8:45 am] BILLING CODE 8011–01–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: Rule 15c2–11; SEC File No. 270–196; OMB Control No. 3235–0202. 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 existing collection of information provided for in Rule 15c2–11, (17 CFR 240.15c2–11), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. On September 13, 1971, effective December 13, 1971 (see 36 FR 18641, September 18, 1971), the Commission adopted Rule 15c2–11 (‘‘Rule 15c2–11’’ or ‘‘Rule’’) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) to regulate the initiation or resumption of quotations in a quotation medium by a broker-dealer for over-thecounter (‘‘OTC’’) securities. The Rule was designed primarily to prevent certain manipulative and fraudulent trading schemes that had arisen in connection with the distribution and trading of unregistered securities issued by shell companies or other companies having outstanding but infrequently traded securities. Subject to certain exceptions, the Rule prohibits brokersdealers from publishing a quotation for a security, or submitting a quotation for publication, in a quotation medium unless they have reviewed specified PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 information concerning the security and the issuer. Based on information provided by Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’), in the 2010 calendar year, FINRA received approximately 1,798 applications from broker-dealers to initiate or resume publication of covered OTC securities in the OTC Bulletin Board and/or the Pink Sheets or other quotation mediums. We estimate that (i) 41% of the covered OTC securities were issued by reporting issuers, while the other 59% were issued by non-reporting issuers, and (ii) it will take a broker-dealer about 4 hours to review, record and retain the information pertaining to a reporting issuer, and about 8 hours to review, record and retain the information pertaining to a non-reporting issuer. We therefore estimate that brokerdealers who initiate or resume publication of quotations for covered OTC securities of reporting issuers will require 2,949 hours (1,798 × 41% × 4) to review, record and retain the information required by the Rule. We estimate that broker-dealers who initiate or resume publication of quotations for covered OTC securities of non-reporting issuers will require 8,487 hours (1,798 × 59% × 8) to review, record and retain the information required by the Rule. Thus, we estimate the total annual burden hours for broker-dealers to initiate or resume publication of quotations of covered OTC securities to be 11,436 hours (2,949 + 8,487). The Commission believes that these 11,436 hours would be completed by staff working at a rate of $40 per hour.1 Subject to certain exceptions, the Rule prohibits brokers-dealers from publishing a quotation for a security, or submitting a quotation for publication, in a quotation medium unless they have reviewed specified information concerning the security and the issuer. The broker-dealer must also make the information reasonably available upon request to any person expressing an interest in a proposed transaction in the security with such broker or dealer. The collection of information that is submitted to FINRA for review and approval is currently not available to the public from FINRA. 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 shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed 1 See Appendix C, SIFMA Office Salaries Data— Sept. 2007 for General Clerk national hourly rate. E:\FR\FM\01APN1.SGM 01APN1

Agencies

[Federal Register Volume 76, Number 63 (Friday, April 1, 2011)]
[Notices]
[Pages 18263-18264]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-7690]


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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 17Ac3-1(a); SEC File No. 270-96; OMB Control No. 3235-0151.
    Form TA-W(1669); SEC File No. 270-96; OMB Control No. 3235-0151.

    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 existing collection of 
information provided for in the following rule: Rule 17Ac3-1(a) under 
the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange 
Act''). The Commission plans to submit this existing collection of 
information to the Office of Management and Budget for extension and 
approval.
    Section 17A(c)(4)(B) of the Exchange Act authorizes transfer agents 
registered with an appropriate regulatory agency (``ARA'') to withdraw 
from registration by filing with the ARA a written notice of withdrawal 
and by agreeing to such terms and conditions as the ARA deems necessary 
or appropriate in the public interest, for the protection of investors, 
or in the furtherance of the purposes of Section 17A.
    In order to implement Section 17A(c)(4)(B) of the Exchange Act the 
Commission, on September 1, 1977, promulgated Rule 17Ac3-1(a) (17 CFR 
240.17Ac3-1(a)) and accompanying Form TA-W (17 CFR 249b.101). Rule 
17Ac3-1(a) provides that notice of withdrawal from registration as a 
transfer agent with the Commission shall be filed on Form TA-W. Form 
TA-W requires the withdrawing transfer agent to provide the Commission 
with certain information, including: (1) The locations where transfer 
agent activities are or were performed; (2) the reasons for ceasing the 
performance of such activities; (3) disclosure of unsatisfied judgments 
or liens; and (4) information regarding successor transfer agents.
    The Commission uses the information disclosed on Form TA-W to 
determine whether the registered transfer agent applying for withdrawal 
from registration as a transfer agent should be allowed to deregister 
and, if so, whether the Commission should attach to the granting of the 
application any terms or conditions necessary or appropriate in

[[Page 18264]]

the public interest, for the protection of investors, or in furtherance 
of the purposes of Section 17A of the Exchange Act. Without Rule 17Ac3-
1(a) and Form TA-W, transfer agents registered with the Commission 
would not have a means to voluntarily deregister when necessary or 
appropriate to do so.
    Respondents file approximately 50 TA-Ws with the Commission 
annually. A Form TA-W filing occurs only once, when a transfer agent is 
seeing deregistration. Approximately 80 percent of Form TA-Ws are 
completed by the transfer agent or its employees and approximately 20 
percent of Forms TA-W are completed by an outside filing agent that is 
hired by the registrant to prepare the form and file it electronically. 
In view of the readily-available information requested by Form TA-W, 
its short and simple presentation, and the Commission's experience with 
the filers, we estimate that approximately 30 minutes is required to 
complete and file Form TA-W, which consists primarily of external labor 
costs plus a nominal and unquantifiable amount of computer operations/
maintenance cost (because the Form must be filed electronically through 
the Commission's EDGAR system). For transfer agents that complete Form 
TA-W themselves, we estimate the cost per filing is $25 (.5 hours times 
$50 average hourly rate for clerical staff time), which is an internal 
labor cost. We estimate that outside filing agents charge $100 to 
complete and file a TA-W on behalf of a registrant, reflecting an 
external cost to respondents.
    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 
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, VA 22312 or send an 
e-mail to: PRA_Mailbox@sec.gov.

    Dated: March 28, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-7690 Filed 3-31-11; 8:45 am]
BILLING CODE 8011-01-P