Submission for OMB Review; Comment Request, 39447 [2011-16765]
Download as PDF
Federal Register / Vol. 76, No. 129 / Wednesday, July 6, 2011 / Notices
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, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way,
Alexandria, Virginia 22312 or send an email to: PRA_Mailbox@sec.gov.
Dated: June 29, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011–16764 Filed 7–5–11; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Rule 15b6–1 and Form BDW; OMB Control
No. 3235–0018; SEC File No. 270–17]
sroberts on DSK5SPTVN1PROD with NOTICES
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.
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 to revise the collection of
information discussed below. The Code
of Federal Regulations citation to this
collection of information is the
following rule: 17 CFR 240.15b6–1.
Registered broker-dealers use Form
BDW (17 CFR 249.501a) to withdraw
from registration with the Commission,
the self-regulatory organizations, and
the states. On average, the Commission
estimates that it would take a brokerdealer approximately one hour to
complete and file a Form BDW to
withdraw from Commission registration
as required by Rule 15b6–1. The
Commission estimates that
approximately 515 broker-dealers
withdraw from Commission registration
annually 1 and, therefore, file a Form
BDW via the Internet with Web CRD, a
computer system operated by the
Financial Industry Regulatory
Authority, Inc. that maintains
information regarding registered broker1 This estimate is based on Form BDW data
collected over the past three years. In fiscal year
(from 10/1 through 9/30) 2008, 503 broker-dealers
withdrew from registration. In fiscal year 2009, 533
broker-dealers withdrew from registration. In fiscal
year 2010, 510 broker-dealers withdrew from
registration. (503 + 533 + 510)/3 = 515.
VerDate Mar<15>2010
18:17 Jul 05, 2011
Jkt 223001
dealers and their registered personnel.
Therefore, the 515 broker-dealers that
withdraw from registration by filing
Form BDW would incur an aggregate
annual reporting burden of
approximately 515 hours.2
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.
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 to OMB within 30 days of
this notice.
Dated: June 29, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011–16765 Filed 7–5–11; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. IC–29711; File No. 812–13914]
J.P. Morgan Securities LLC, et al.;
Notice of Application and Temporary
Order
June 29, 2011.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Temporary order and notice of
application for a permanent order under
section 9(c) of the Investment Company
Act of 1940 (‘‘Act’’).
AGENCY:
Summary of Application: Applicants
have received a temporary order
exempting them from section 9(a) of the
Act, with respect to an injunction
entered against J.P. Morgan Securities
LLC (‘‘J.P. Morgan Securities’’) on June
29, 2011 by the United States District
Court for the Southern District of New
York (‘‘Injunction’’), until the
Commission takes final action on an
application for a permanent order.
PO 00000
2 (515
× 1 hour) = 515 hours.
Frm 00072
Fmt 4703
Sfmt 4703
39447
Applicants also have applied for a
permanent order.
Applicants: J.P. Morgan Securities;
Bear Stearns Asset Management Inc.
(‘‘BSAM’’); Bear Stearns Health
Innoventures Management, L.L.C.
(‘‘BSHIM’’); BSCGP Inc. (‘‘BSCGP’’);
Constellation Growth Capital LLC
(‘‘Constellation’’); Constellation
Ventures Management II, LLC
(‘‘Constellation II’’); Highbridge Capital
Management, LLC (‘‘Highbridge’’); JF
International Management Inc.
(‘‘JFIMI’’); JPMorgan Asset Management
(UK) Limited (‘‘JPMAMUK’’); JPMorgan
Distribution Services, Inc. (‘‘JPMDS’’);
J.P. Morgan Institutional Investments,
Inc. (‘‘JPMII’’); J.P. Morgan Investment
Management Inc. (‘‘JPMIM’’); J.P.
Morgan Latin America Management
Company, LLC (‘‘JPMLAM’’); J.P.
Morgan Partners, LLC (‘‘JPMP’’); J.P.
Morgan Private Investments Inc.
(‘‘JPMPI’’); OEP Co-Investors
Management II, Ltd. (‘‘OEP II’’); OEP CoInvestors Management III, Ltd. (‘‘OEP
III’’, and together with OEP II, the ‘‘OEP
Entities’’); Security Capital Research &
Management Incorporated (‘‘Security
Capital’’); Sixty Wall Street GP
Corporation (‘‘Sixty Wall GP’’); Sixty
Wall Street Management Company, LLC
(‘‘Sixty Wall Management’’); and
Technology Coinvestors Management,
LLC (‘‘TCM’’) (collectively, the
‘‘Applicants’’).1
Filing Date: The application was filed
on June 21, 2011 and amended on June
29, 2011.
Hearing or Notification of Hearing: An
order granting the application will be
issued unless the Commission orders a
hearing. Interested persons may request
a hearing by writing to the
Commission’s Secretary and serving
Applicants with a copy of the request,
personally or by mail. Hearing requests
should be received by the Commission
by 5:30 p.m. on July 25, 2011, and
should be accompanied by proof of
service on Applicants, in the form of an
affidavit, or for lawyers, a certificate of
service. Hearing requests should state
the nature of the writer’s interest, the
reason for the request, and the issues
contested. Persons who wish to be
notified of a hearing may request
notification by writing to the
Commission’s Secretary.
ADDRESSES: Secretary, U.S. Securities
and Exchange Commission, 100 F
Street, NE., Washington, DC 20549–
1090; Applicants: J.P. Morgan
1 Applicants request that any relief granted
pursuant to the application also apply to any other
company of which J.P. Morgan Securities is or may
become an affiliated person within the meaning of
Section 2(a)(3) of the Act (together with the
Applicants, the ‘‘Covered Persons’’).
E:\FR\FM\06JYN1.SGM
06JYN1
Agencies
[Federal Register Volume 76, Number 129 (Wednesday, July 6, 2011)]
[Notices]
[Page 39447]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-16765]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Rule 15b6-1 and Form BDW; OMB Control No. 3235-0018; SEC File No. 270-
17]
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.
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 to revise the collection of information discussed
below. The Code of Federal Regulations citation to this collection of
information is the following rule: 17 CFR 240.15b6-1.
Registered broker-dealers use Form BDW (17 CFR 249.501a) to
withdraw from registration with the Commission, the self-regulatory
organizations, and the states. On average, the Commission estimates
that it would take a broker-dealer approximately one hour to complete
and file a Form BDW to withdraw from Commission registration as
required by Rule 15b6-1. The Commission estimates that approximately
515 broker-dealers withdraw from Commission registration annually \1\
and, therefore, file a Form BDW via the Internet with Web CRD, a
computer system operated by the Financial Industry Regulatory
Authority, Inc. that maintains information regarding registered broker-
dealers and their registered personnel. Therefore, the 515 broker-
dealers that withdraw from registration by filing Form BDW would incur
an aggregate annual reporting burden of approximately 515 hours.\2\
---------------------------------------------------------------------------
\1\ This estimate is based on Form BDW data collected over the
past three years. In fiscal year (from 10/1 through 9/30) 2008, 503
broker-dealers withdrew from registration. In fiscal year 2009, 533
broker-dealers withdrew from registration. In fiscal year 2010, 510
broker-dealers withdrew from registration. (503 + 533 + 510)/3 =
515.
\2\ (515 x 1 hour) = 515 hours.
---------------------------------------------------------------------------
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.
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 to OMB within 30 days of
this notice.
Dated: June 29, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-16765 Filed 7-5-11; 8:45 am]
BILLING CODE 8011-01-P