Submission for OMB Review; Comment Request, 38430-38431 [2011-16426]

Download as PDF 38430 Federal Register / Vol. 76, No. 126 / Thursday, June 30, 2011 / Notices and local agencies, organizations, and individuals. DATES: NSF will issue a record of decision (ROD) for the proposed marine geophysical scientific research using seismic surveys that are funded by NSF or conducted by the USGS following consideration of the entire administrative record for the proposed action, including the Final PEIS. The ROD will be issued in Fall 2011, or at least 30 days after the date of publication in the Federal Register of the U.S. Environmental Protection Agency’s Notice of Availability of the Final PEIS. The Final PEIS is available on NSF’s Web site at: http:// www.nsf.gov/geo/oce/envcomp/ index.jsp. Electronic copies of the Final PEIS are also available upon request from: Holly Smith, National Science Foundation, Division of Ocean Sciences, 4201 Wilson Blvd., Suite 725, Arlington, VA 22230. Telephone: (703) 292–8583. E-mail: nepacomments@nsf.gov. FOR FURTHER INFORMATION CONTACT: For further information regarding the Final PEIS contact: Holly Smith, National Science Foundation, Division of Ocean Sciences, 4201 Wilson Blvd., Suite 725, Arlington, VA 22230; telephone: (703) 292–8583; e-mail: nepacomments@nsf.gov. Dated: June 24, 2011. Suzanne H. Plimpton, Reports Clearance Officer, National Science Foundation. Educational Conference. The role of the SoFS is to coordinate Federal activities and advise the Executive Office of the President on national efforts to improve forensic science and its application in America’s justice system. This special session will serve to provide the public with the opportunity to ask questions and provide comments on issues related to Automated Fingerprint Identification System (AFIS) latent print interoperability. DATES AND ADDRESSES: The session will be held in conjunction with the IAI 96th International Educational Conference, held at the Frontier Airlines Center, 400 W. Wisconsin Avenue, Milwaukee, Wisconsin 53203. The session will be held on Friday, August 12, 2011, from 11 a.m. to 12 p.m. Check the meeting registration desk for room location. Information regarding the IAI Annual Conference is available at http:// theiai.org/conference/2011/index.php. Note: Persons solely attending this SoFS public session do not need to register for the IAI 96th International Educational Conference to attend. There will be no admission charge for persons solely attending the public meeting. Seating will be on a first come, first served basis. For those who cannot attend but wish to provide written comments or questions, please do so by sending an email to the Subcommittee’s Executive Secretary, Robin Jones, at: Robin.W.Jones@usdoj.gov, no later than Friday, July 29, 2011. FOR FURTHER INFORMATION CONTACT: Additional information and links to the Subcommittee on Forensic Science can be obtained through the Office of Science and Technology Policy’s NSTC Web site at: http://www.ostp.gov/nstc or by calling 202–456–6012. [FR Doc. 2011–16337 Filed 6–29–11; 8:45 am] BILLING CODE 7555–01–P OFFICE OF SCIENCE AND TECHNOLOGY POLICY Kenneth E. Melson, Co-Chair, Subcommittee on Forensic Science. Subcommittee on Forensic Science; Committee on Science; National Science and Technology Council [FR Doc. 2011–16404 Filed 6–29–11; 8:45 am] BILLING CODE 4410–FY–P Notice of Panel Session. Public input is requested concerning Automated Fingerprint Identification System (AFIS) interoperability and the appropriate Federal Executive Branch responses to the AFIS interoperability issues identified in the National Academy of Sciences 2009 report: ‘‘Strengthening Forensic Science in the United States: A Path Forward’’ (http://www.nap.edu/ catalog.php?record_id=12589#toc). srobinson on DSK4SPTVN1PROD with NOTICES ACTION: The Subcommittee on Forensic Science (SoFS) of the National Science and Technology Council’s (NSTC’s) Committee on Science will host a public forum in collaboration with the International Association for Identification (IAI) 96th International SUMMARY: VerDate Mar<15>2010 16:24 Jun 29, 2011 Jkt 223001 SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; 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 15c2–5; SEC File No. 270–195; OMB Control No. 3235–0198. 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 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of an extension of the previously approved collection of information provided for in Rule 15c2–5 (17 CFR 240.15c2–5), under the Securities Exchange Act of 1934 (15 U.S.C. 78 et seq.) (‘‘Exchange Act’’). Rule 15c2–5 prohibits a broker-dealer from arranging or extending certain loans to persons in connection with the offer or sale of securities unless, before any element of the transaction is entered into, the broker-dealer: (1) Delivers to the person a written statement containing the exact nature and extent of the person’s obligations under the loan arrangement; the risks and disadvantages of the loan arrangement; and all commissions, discounts, and other remuneration received and to be received in connection with the transaction by the broker-dealer or certain related persons (unless the person receives certain materials from the lender or broker-dealer which contain the required information); and (2) obtains from the person information on the person’s financial situation and needs, reasonably determines that the transaction is suitable for the person, and retains on file and makes available to the person on request a written statement setting forth the brokerdealer’s basis for determining that the transaction was suitable. The collection of information required by Rule 15c2–5 is necessary to execute the Commission’s mandate under the Exchange Act to prevent fraudulent, manipulative, and deceptive acts and practices by broker-dealers. The Commission estimates that there are approximately 50 respondents that require an aggregate total of 600 hours to comply with Rule 15c2–5. Each of these approximately 50 registered broker-dealers makes an estimated six annual responses, for an aggregate total of 300 responses per year. Each response takes approximately two hours to complete. Thus, the total compliance burden per year is 600 burden hours. The approximate cost per hour is $50.00 for clerical labor, resulting in a total compliance cost of $30,000 (600 hours @ $50.00 per hour). These reflect internal labor costs; there are no external labor, capital, or start-up costs. Although Rule 15c2–5 does not specify a retention period or recordkeeping requirement under the rule, broker-dealers are required to preserve the records for a period no less than six years pursuant to Rule 17a-4(c). The information required under Rule 15c2– 5 is necessary for broker-dealers to engage in the lending activities E:\FR\FM\30JNN1.SGM 30JNN1 Federal Register / Vol. 76, No. 126 / Thursday, June 30, 2011 / Notices prescribed in the Rule. Rule 15c2–5 does not assure confidentiality for the information retained under the rule.1 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 Paperwork Reduction Act that does not display a valid OMB control number. Background documentation for this information collection may be viewed at the following link, http:// 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, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi PavlikSimon, 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: June 26, 2011. Cathy H. Ahn, Deputy Secretary. [FR Doc. 2011–16426 Filed 6–29–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request srobinson on DSK4SPTVN1PROD with NOTICES Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549. Extension: Rule 17Ad–3(b); SEC File No. 270– 424; OMB Control No. 3235–0473. 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 1 The records required by Rule 15c2–5 would be available only for examination purposes of the Commission staff, state securities authorities, and the self-regulatory organizations. Subject to the provisions of the Freedom of Information Act, 5 U.S.C. 552, 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. VerDate Mar<15>2010 16:24 Jun 29, 2011 Jkt 223001 (‘‘Commission’’) has submitted to the Office of Management and Budget a request for approval of extension of the following previously approved collection of information as discussed below for Rule 17Ad–3(b) (17 CFR 240.17Ad–3(b)). Rule 17Ad–3(b) requires registered transfer agents that for each of two consecutive months have failed to turnaround at least 75% of all routine items in accordance with the requirements of Rule 17Ad–2(a) or to process at least 75% of all routine items in accordance with the requirements of Rule 17Ad–2(a) to send to the chief executive officer of each issuer for which such registered transfer agent acts a copy of the written notice required under Rule 17Ad–2(c), (d), and (h). The issuer may use the information contained in the notices in several ways: (1) To provide an early warning to the issuer of the transfer agent’s noncompliance with the Commission’s minimum performance standards regarding registered transfer agents, and (2) to assure that issuers are aware of certain problems and poor performances with respect to the transfer agents that are servicing the issuer’s securities. If the issuer does not receive notice of a registered transfer agent’s failure to comply with the Commission’s minimum performance standards then the issuer will be unable to take remedial action to correct the problem or to find another registered transfer agent. Pursuant to Rule 17Ad–3(b), a transfer agent that has already filed a Notice of Non-Compliance with the Commission pursuant to Rule 17Ad–2 will only be required to send a copy of that notice to issuers when that transfer agent fails to turnaround 75% of all routine items or to process 75% of all items. The Commission estimates that only two transfer agents will meet the requirements of Rule 17Ad–3(b). If a transfer agent fails to meet the minimum requirements under 17Ad–3(b), such transfer agent is simply sending a copy of a form that had already been produced for the Commission. The Commission estimates a requirement will take each respondent approximately one hour to complete, for a total annual estimate burden of two hours at cost of approximately $60.00 for each hour, which reflect internal labor costs. There are no external costs associated with sending the notice to issuers. Please note that 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. No PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 38431 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, http:// www.reginfo.gov. General comments regarding the estimated burden hours 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, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way, Alexandria, Virginia 22312; or by sending an e-mail to: PRA_Mailbox@sec.gov . Comments must be submitted to OMB within 30 days of this notice. Dated: June 26, 2011. Cathy H. Ahn, Deputy Secretary. [FR Doc. 2011–16427 Filed 6–29–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IC–29708] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 June 24, 2011. The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of June 2011. A copy of each application may be obtained via the Commission’s website by searching for the file number, or an applicant using the Company name box, at http://www.sec.gov/search/ search.htm or by calling (202)551–8090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC’s Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on July 19, 2011, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certificate of service. E:\FR\FM\30JNN1.SGM 30JNN1

Agencies

[Federal Register Volume 76, Number 126 (Thursday, June 30, 2011)]
[Notices]
[Pages 38430-38431]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-16426]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; 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 15c2-5; SEC File No. 270-195; OMB Control No. 3235-0198.

    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 an extension of the 
previously approved collection of information provided for in Rule 
15c2-5 (17 CFR 240.15c2-5), under the Securities Exchange Act of 1934 
(15 U.S.C. 78 et seq.) (``Exchange Act'').
    Rule 15c2-5 prohibits a broker-dealer from arranging or extending 
certain loans to persons in connection with the offer or sale of 
securities unless, before any element of the transaction is entered 
into, the broker-dealer: (1) Delivers to the person a written statement 
containing the exact nature and extent of the person's obligations 
under the loan arrangement; the risks and disadvantages of the loan 
arrangement; and all commissions, discounts, and other remuneration 
received and to be received in connection with the transaction by the 
broker-dealer or certain related persons (unless the person receives 
certain materials from the lender or broker-dealer which contain the 
required information); and (2) obtains from the person information on 
the person's financial situation and needs, reasonably determines that 
the transaction is suitable for the person, and retains on file and 
makes available to the person on request a written statement setting 
forth the broker-dealer's basis for determining that the transaction 
was suitable. The collection of information required by Rule 15c2-5 is 
necessary to execute the Commission's mandate under the Exchange Act to 
prevent fraudulent, manipulative, and deceptive acts and practices by 
broker-dealers.
    The Commission estimates that there are approximately 50 
respondents that require an aggregate total of 600 hours to comply with 
Rule 15c2-5. Each of these approximately 50 registered broker-dealers 
makes an estimated six annual responses, for an aggregate total of 300 
responses per year. Each response takes approximately two hours to 
complete. Thus, the total compliance burden per year is 600 burden 
hours. The approximate cost per hour is $50.00 for clerical labor, 
resulting in a total compliance cost of $30,000 (600 hours @ $50.00 per 
hour). These reflect internal labor costs; there are no external labor, 
capital, or start-up costs.
    Although Rule 15c2-5 does not specify a retention period or record-
keeping requirement under the rule, broker-dealers are required to 
preserve the records for a period no less than six years pursuant to 
Rule 17a-4(c). The information required under Rule 15c2-5 is necessary 
for broker-dealers to engage in the lending activities

[[Page 38431]]

prescribed in the Rule. Rule 15c2-5 does not assure confidentiality for 
the information retained under the rule.\1\
---------------------------------------------------------------------------

    \1\ The records required by Rule 15c2-5 would be available only 
for examination purposes of the Commission staff, state securities 
authorities, and the self-regulatory organizations. Subject to the 
provisions of the Freedom of Information Act, 5 U.S.C. 552, 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 Paperwork Reduction Act that 
does not display a valid OMB control number.
    Background documentation for this information collection may be 
viewed at the following link, http://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, Director/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: June 26, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-16426 Filed 6-29-11; 8:45 am]
BILLING CODE 8011-01-P