Submission for OMB Review; Comment Request, 51438 [2011-21030]

Download as PDF 51438 Federal Register / Vol. 76, No. 160 / Thursday, August 18, 2011 / Notices PROCEDURAL SCHEDULE—Continued October 27, 2011 ..................................................................... December 6, 2011 .................................................................... [FR Doc. 2011–21023 Filed 8–17–11; 8:45 am] BILLING CODE 7710–FW–P 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. mstockstill on DSK4VPTVN1PROD with NOTICES Extension: Rule 17f–2(e); SEC File No. 270–37; OMB Control No. 3235–0031. 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 previously approved collection of information provided for in Rule 17f– 2(e) (17 CFR 240.17f–2(e)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 17f–2(e) requires members of national securities exchanges, brokers, dealers, registered transfer agents, and registered clearing agencies claiming exemption from the fingerprinting requirements of Rule 17f–2 to prepare and maintain a statement supporting their claim exemption. There is no filing requirement. Instead, Rule 17f–2(e)(2) requires covered entities to make and keep current a copy of the notice required by Rule 17f–2(e) in an easily accessible place at the organization’s principal office and at the office employing the persons for whom exemptions are claimed and shall be made available upon request for inspection by the Commission, appropriate regulatory agency (if not the Commission) or other designated examining authority. Notices prepared pursuant to Rule 17f–2(e) must be maintained for as long as the covered entity claims an exemption from the fingerprinting requirements of Rule 17f– 2. The recordkeeping requirement under Rule 17f–2(e) assists the Commission and other regulatory agencies with ensuring compliance with Rule 17f–2. VerDate Mar<15>2010 16:04 Aug 17, 2011 Jkt 223001 Deadline for motions by any party requesting oral argument; the Commission will schedule oral argument only when it is a necessary addition to the written filings (see 39 CFR 3001.116). Expiration of the Commission’s 120-day decisional schedule (see 39 U.S.C. 404(d)(5)). This rule does not involve the collection of confidential information. We estimate that approximately 75 respondents will incur an average burden of 30 minutes per year to comply with this rule, which represents the time it takes for a staff person at a covered entity to properly document a claimed exemption from the fingerprinting requirements of Rule 17f– 2, and properly retain that document according to the entities record retention policies and procedures. The total annual burden for all covered entities is approximately 38 hours (75 entities × .5 hours). 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. The Commission may not conduct or sponsor a collection of information unless it displays a currently valid 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. PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 August 12, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–21030 Filed 8–17–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rule 17a–10; SEC File No. 270–154; OMB Control No. 3235–0122. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of extension of the previously approved collection of information provided for in Rule 17a–10 (17 CFR 240.17a–10) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Paragraph (a)(1) of Rule 17a–10 generally requires broker-dealers that are exempted from the requirement to file monthly and quarterly reports pursuant to paragraph (a) of Exchange Act Rule 17a–5 (17 CFR 240.17a–5) to file with the Commission the Facing Page, a Statement of Income (Loss), and balance sheet from Part IIA of Form X– 17A–5 1 (17 CFR 249.617), and Schedule I of Form X–17A–5 not later than 17 business days after the end of each calendar year. Paragraph (a)(2) of Rule 17a–10 requires a broker-dealer subject to Rule 17a–5(a) to submit Schedule I of Form X–17A–5 with its Form X–17A–5 for the calendar quarter ending December 31 of each year. The burden associated with filing Schedule I of Form X–17A–5 is accounted for in the PRA filing associated with Rule 17a–5. 1 Form X–17A–5 is the Financial and Operational Combined Uniform Single Report (‘‘FOCUS Report’’), which is used by brokers and dealers to provide certain required information to the Commission. E:\FR\FM\18AUN1.SGM 18AUN1

Agencies

[Federal Register Volume 76, Number 160 (Thursday, August 18, 2011)]
[Notices]
[Page 51438]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-21030]


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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 17f-2(e); SEC File No. 270-37; OMB Control No. 3235-0031.

    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 previously 
approved collection of information provided for in Rule 17f-2(e) (17 
CFR 240.17f-2(e)) under the Securities Exchange Act of 1934 (15 U.S.C. 
78a et seq.).
    Rule 17f-2(e) requires members of national securities exchanges, 
brokers, dealers, registered transfer agents, and registered clearing 
agencies claiming exemption from the fingerprinting requirements of 
Rule 17f-2 to prepare and maintain a statement supporting their claim 
exemption. There is no filing requirement. Instead, Rule 17f-2(e)(2) 
requires covered entities to make and keep current a copy of the notice 
required by Rule 17f-2(e) in an easily accessible place at the 
organization's principal office and at the office employing the persons 
for whom exemptions are claimed and shall be made available upon 
request for inspection by the Commission, appropriate regulatory agency 
(if not the Commission) or other designated examining authority. 
Notices prepared pursuant to Rule 17f-2(e) must be maintained for as 
long as the covered entity claims an exemption from the fingerprinting 
requirements of Rule 17f-2. The recordkeeping requirement under Rule 
17f-2(e) assists the Commission and other regulatory agencies with 
ensuring compliance with Rule 17f-2. This rule does not involve the 
collection of confidential information.
    We estimate that approximately 75 respondents will incur an average 
burden of 30 minutes per year to comply with this rule, which 
represents the time it takes for a staff person at a covered entity to 
properly document a claimed exemption from the fingerprinting 
requirements of Rule 17f-2, and properly retain that document according 
to the entities record retention policies and procedures. The total 
annual burden for all covered entities is approximately 38 hours (75 
entities x .5 hours).
    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.
    The Commission may not conduct or sponsor a collection of 
information unless it displays a currently valid 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 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.

    August 12, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-21030 Filed 8-17-11; 8:45 am]
BILLING CODE 8011-01-P
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