Submission for OMB Review; Comment Request, 38431 [2011-16427]
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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, 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, 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, https://
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 https://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]
[Page 38431]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-16427]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; Comment Request
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 (``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 non-compliance 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 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. 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 Pavlik-Simon, 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
