Submission for OMB Review; Comment Request, 27671-27672 [2011-11626]

Download as PDF wwoods2 on DSK1DXX6B1PROD with NOTICES_PART 1 Federal Register / Vol. 76, No. 92 / Thursday, May 12, 2011 / Notices discrimination but also require affirmative action to ensure that equal employment opportunities are available regardless of race, sex, color, national origin, religion, or status as a qualified individual with a disability or protected veteran by Federal contractors. • Executive Order 11246, as amended (EO 11246); • Section 503 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 793; and • The affirmative action provisions of the Vietnam Era Veterans’ Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212. For purposes of this clearance, OFCCP is dividing its responsibilities under these authorities into categories: (1) Construction and (2) non-construction (supply and service). This clearance request covers the EO 11246 nonconstruction supply and service aspects of our program. To view the current supply and service Information Collection, go to https:// www.reginfo.gov/public/do/ PRAViewICR?ref_nbr=200804-1215-003. A separate Information Collection Request (ICR), approved by the Office of Management and Budget (OMB) under OMB No. 1250–0001 (formerly 1215– 0163), covers the construction aspects of these programs. E.O. 11246 prohibits Federal contractors from discriminating against applicants and employees on the basis of race, color, religion, sex, or national origin. The E.O. 11246 applies to Federal contractors and subcontractors and to federally assisted construction contractors holding a Government contract of $10,000 or more, or Government contracts which have, or can reasonably be expected to have, an aggregate total value exceeding $10,000 in a 12-month period. The E.O. 11246 also applies to government bills of lading, depositories of Federal funds in any amount, and to financial institutions that are issuing and paying agents for U.S. Savings Bonds. The ICR discussed below will address EO 11246, non-construction Supply and Service program, that is subject to the Paperwork Reduction Act of 1995 (PRA). II. Review Focus: The Department of Labor is particularly interested in comments which: • Evaluate whether the proposed collection of information is necessary for the compliance and enforcement functions of the agency, including whether the information will have practical utility; • Evaluate the accuracy of the agency’s estimate of the burden of the VerDate Mar<15>2010 14:49 May 11, 2011 Jkt 223001 proposed collection of information, including the validity of the methodology and assumptions used; • Enhance the quality, utility and clarity of the information to be collected; and • Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submissions of responses. III. Current Actions: The DOL seeks the approval of the revision of this information in order to carry out its responsibility to enforce the antidiscrimination and affirmative action provisions of the three legal authorities it administers. Type of Review: Revision. Agency: Office of Federal Contract Compliance Programs. Title: Recordkeeping and Reporting Requirements, Supply and Service. OMB Number: 1250–0003. Agency Number: None. Affected Public: Business or other forprofit, not-for-profit institutions. Total Respondents: 108,288. Total Annual responses: 108,288. Average Time per Response (approximation due to rounding): 103.19 hours. Estimated Total Burden Hours (approximation due to rounding): 11,174,641. Frequency: On occasion. Total Burden Cost (capital/startup): $0. Total Burden Cost (operating/ maintenance): $135,272. Comments submitted in response to this notice will be summarized and/or included in the request for Office of Management and Budget approval of the information collection request; they will also become a matter of public record. Dated: May 4, 2011. Debra A. Carr, Director, Division of Policy, Planning and Program Development, Office of Federal Contract Compliance Programs. [FR Doc. 2011–11570 Filed 5–11–11; 8:45 am] BILLING CODE P 27671 (Pub. L 92–463, as amended), notice is hereby given that the following meeting of the Humanities Panel will be held via telephone conference call from the Old Post Office, 1100 Pennsylvania Avenue, NW., Washington, DC 20506. FOR FURTHER INFORMATION CONTACT: Michael P. McDonald, Advisory Committee Management Officer, National Endowment for the Humanities, Washington, DC 20506; telephone (202) 606–8322. Hearingimpaired individuals are advised that information on this matter may be obtained by contacting the Endowment’s TDD terminal on (202) 606–8282. SUPPLEMENTARY INFORMATION: The proposed meeting is for the purpose of advising the agency, under the National Foundation on the Arts and the Humanities Act of 1965, as amended, on the development of humanities programming and content for an upcoming Bridging Cultures Bookshelf project on the subject of Muslim history and cultures, including discussion of the early planning stages of the project and strategies for shaping and implementing the program. Because the proposed meeting will consider information that is likely to disclose information the premature disclosure of which would be likely to significantly frustrate implementation of a proposed agency action, pursuant to authority granted me by the Chairman’s Delegation of Authority to Close Advisory Committee meetings, dated July 19, 1993, I have determined that the meeting will be closed to the public pursuant to subsection (c)(9)(B) of section 552b of Title 5, United States Code. 1. Date: May 24, 2011. Time: 11 a.m. to 4 p.m. Place: National Endowment for the Humanities, 1100 Pennsylvania Avenue, NW., Washington, DC 20506 (Telephone Conference Call). Program: This meeting will provide advice about the Bridging Cultures Bookshelf project on the subject of Muslim history and cultures. Michael P. McDonald, Management Officer, Advisory Committee. [FR Doc. 2011–11597 Filed 5–11–11; 8:45 am] THE NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES BILLING CODE 7536–01–P Meetings of Humanities Panel SECURITIES AND EXCHANGE COMMISSION The National Endowment for the Humanities. ACTION: Notice of additional meeting. AGENCY: Pursuant to the provisions of the Federal Advisory Committee Act SUMMARY: PO 00000 Frm 00039 Fmt 4703 Sfmt 4703 Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange E:\FR\FM\12MYN1.SGM 12MYN1 27672 Federal Register / Vol. 76, No. 92 / Thursday, May 12, 2011 / Notices Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. wwoods2 on DSK1DXX6B1PROD with NOTICES_PART 1 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’’) has submitted to the Office of Management and Budget a request for approval of the extension of the previously approved collection of information on the following rule: Rule 17a–13 (17 CFR 240.17a–13) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). 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 that they account for all other securities not in their possession, but subject to the broker-dealer’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 240.17a–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. VerDate Mar<15>2010 17:20 May 11, 2011 Jkt 223001 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 broker-dealer to account for all securities in its possession. Many broker-dealers 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 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). The records required to be made by Rule 17a–13 are available only to Commission examination staff, state securities authorities, and the SROs. Subject to the provisions of the Freedom of Information Act, 5 U.S.C. 522, and the Commission’s rules thereunder (17 CFR 200.80(b)(4)(iii)), the Commission does not generally publish or make available information contained in any reports, summaries, analyses, letters, or memoranda arising out of, in anticipation of, or in connection with an examination or inspection of the books and records of any person or any other investigation. 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. Background documentation for this information collection may be viewed at the following link, 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 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 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 within 30 days of this notice. Dated: May 8, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–11626 Filed 5–11–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: US Securities and Exchange Commission, Office of Investor 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’’) 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 the following rule: Rule 17a–2 (17 CFR 240.17a–2). 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 E:\FR\FM\12MYN1.SGM 12MYN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 76, Number 92 (Thursday, May 12, 2011)]
[Notices]
[Pages 27671-27672]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-11626]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange

[[Page 27672]]

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'') has submitted to the Office of Management 
and Budget a request for approval of the extension of the previously 
approved collection of information on the following rule: Rule 17a-13 
(17 CFR 240.17a-13) under the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.).
    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 that they 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 240.17a-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 broker-dealer to account for all securities in its 
possession. Many broker-dealers 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 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).
    The records required to be made by Rule 17a-13 are available only 
to Commission examination staff, state securities authorities, and the 
SROs. Subject to the provisions of the Freedom of Information Act, 5 
U.S.C. 522, and the Commission's rules thereunder (17 CFR 
200.80(b)(4)(iii)), the Commission does not generally publish or make 
available information contained in any reports, summaries, analyses, 
letters, or memoranda arising out of, in anticipation of, or in 
connection with an examination or inspection of the books and records 
of any person or any other investigation.
    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.
    Background documentation for this information collection may be 
viewed at the following link, 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 within 30 days of this 
notice.

    Dated: May 8, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-11626 Filed 5-11-11; 8:45 am]
BILLING CODE 8011-01-P

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