Reporting and Recordkeeping Requirements Under OMB Review, 52730-52731 [2011-21491]

Download as PDF 52730 Federal Register / Vol. 76, No. 163 / Tuesday, August 23, 2011 / Notices Exchange also has been informed that the Options Price Reporting Authority (‘‘OPRA’’) has the capacity to support such new series. Customer Protection Exchange rules designed to protect public customers trading in options would apply to the new Alpha Index options. Phlx Rule 1026 is designed to ensure that options, including Alpha Index options, are sold only to customers capable of evaluating and bearing the risks associated with trading in the instruments. Phlx Rule 1024, applicable to the conduct of accounts, Phlx Rule 1025 relating to the supervision of accounts, Phlx Rule 1028 relating to confirmations, and Phlx Rule 1029 relating to the delivery of options disclosure documents also apply to trading in Alpha Index options. mstockstill on DSK4VPTVN1PROD with NOTICES Exchange Rules Applicable All other Exchange rules applicable to Alpha Index options will also apply to the Alpha Index options proposed herein. III. Discussion The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.7 Specifically, the Commission finds that the proposal is consistent with Section 6(b)(5) of the Act,8 which requires, among other things, that the rules of a national securities exchange be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system and, in general, to protect investors and the public interest. As a national securities exchange, Phlx is required, under Section 6(b)(1) of the Act,9 to enforce compliance by its members, and persons associated with its members, with the provisions of the Act, Commission rules and regulations thereunder, and its own rules. In addition, brokers that trade the new Alpha Index options will also be subject to best execution obligations and FINRA rules.10 Applicable Exchange rules also require that customers receive appropriate disclosure before trading 7 In approving this proposed rule change, the Commission has considered the proposed rule’s impact on efficiency, competition, and capital formation. 8 15 U.S.C. 78f(b)(5). 9 15 U.S.C. 78f(b)(1). 10 See NASD Rule 2320. VerDate Mar<15>2010 16:33 Aug 22, 2011 Jkt 223001 any Alpha Index option.11 Furthermore, brokers opening accounts and recommending options transactions must comply with relevant customer suitability standards.12 Exchange rules applicable to Alpha Index options will also apply to the Alpha Index options proposed herein. As stated in the previous approval for the listing and trading of Alpha Index options, the Commission believes that the listing rules for Alpha Index options are consistent with the Act. Further, the Commission notes that Alpha Index options will be listed only on the specific Alpha Indexes approved by the Commission.13 The Exchange has represented that it will not list options on any new Alpha Indexes without filing a proposed rule change seeking Commission approval. The Commission notes that the Exchange has represented that it will have adequate surveillance procedures in place for trading in the new Alpha Index options. Opening price manipulation surveillance will be in place for the launch of the new options on Alpha Indexes and other existing surveillance patterns will be utilized to monitor trading in options on each new Alpha Index. In addition, for surveillance purposes, the Exchange will have complete access to information regarding trading activity in the pertinent underlying securities and options thereon. Further, the Commission believes that the Exchange’s proposed position and exercise limits for the new Alpha Index options are appropriate and consistent with the Act. Lastly, the Commission notes that the Exchange has affirmed that it possesses the necessary systems capacity to support any new series that would result from the introduction of the new Alpha Index options. IV. Conclusion It is therefore ordered, pursuant to Section 19(b)(2) of the Act,14 that the proposed rule change (SR–Phlx–2011– 89) be, and hereby is, approved. 11 See Exchange Rule 1029. Exchange Rule 1026. See also Exchange Rules 1024 and 1025. 13 The Commission has previously approved the listing and trading of options on the following Alpha Indexes: AAPL/SPY, AMZN/SPY, CSCO/ SPY, F/SPY, GE/SPY, GOOG/SPY, HPQ/SPY, IBM/ SPY, INTC/SPY, KO/SPY, MRK/SPY, MSFT/SPY, ORCL/SPY, PFE/SPY, RIMM/SPY, T/SPY, TGT/ SPY, VZ/SPY and WMT/SPY. See supra note 3. The Commission is now approving the listing and trading of options on the following Alpha Indexes only: DIA/SPY, EEM/SPY, EWJ/SPY, EWZ/SPY, FXI/SPY, GLD/SPY, IWM/SPY, QQQ/SPY, SLV/ SPY, TLT/SPY, XLE/SPY and XLF/SPY. 14 15 U.S.C. 78s(b)(2). 12 See PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.15 Elizabeth M. Murphy, Secretary. [FR Doc. 2011–21486 Filed 8–22–11; 8:45 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION Reporting and Recordkeeping Requirements Under OMB Review Small Business Administration. Notice of Reporting Requirements Submitted for OMB Review. AGENCY: ACTION: Under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35), agencies are required to submit proposed reporting and recordkeeping requirements to OMB for review and approval, and to publish a notice in the Federal Register notifying the public that the agency has made such a submission. DATES: Submit comments on or before September 22, 2011. If you intend to comment but cannot prepare comments promptly, please advise the OMB Reviewer and the Agency Clearance Officer before the deadline. Copies: Request for clearance (OMB 83–1), supporting statement, and other documents submitted to OMB for review may be obtained from the Agency Clearance Officer. ADDRESSES: Address all comments concerning this notice to: Agency Clearance Officer, Jacqueline White, Small Business Administration, 409 3rd Street, SW., 5th Floor, Washington, D.C. 20416; and OMB Reviewer, Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Washington, DC 20503. FOR FURTHER INFORMATION CONTACT: Jacqueline White, Agency Clearance Officer, (202) 205–7044. SUPPLEMENTARY INFORMATION: Title: ‘‘Personal Financial Statement’’. Frequency: On Occasion. SBA Form Number: 413. Description of Respondents: Participating Lenders. Responses: 44,588. Annual Burden: 66,882. Title: Quarterly Reports file by Grantees of the Drug Free Workplace Program. Frequency: On Occasion. SBA Form Number: N/A. SUMMARY: 15 17 E:\FR\FM\23AUN1.SGM CFR 200.30–3(a)(12). 23AUN1 Federal Register / Vol. 76, No. 163 / Tuesday, August 23, 2011 / Notices Description of Respondents: Participants for the Drug Free Work Place. Responses: 28. Annual Burden: 112. Jacqueline White, Chief, Administrative Information Branch. [FR Doc. 2011–21491 Filed 8–22–11; 8:45 am] BILLING CODE P DEPARTMENT OF STATE [Public Notice: 7564] Determination on Bilateral Assistance Relating to the Government of the Russian Federation Pursuant to the authority vested in me by the laws of the United States, including Section 7074(b) of the Department of State, Foreign Operations, and Related Programs Appropriations Act, 2010 (Div. F, Pub. L. 111–117), as carried forward by the Full-Year Continuing Appropriations Act, 2011 (Div. B., Pub. L. 112–10) (‘‘the Act’’), I hereby determine that waiving the requirements of subsection (a) of Section 7074 of the Act is important to the national interests of the United States, and I hereby so waive. This Determination shall be published in the Federal Register and transmitted to the Congress. Dated: August 4, 2011. Hillary Rodham Clinton, Secretary of State. The Board serves the Global AIDS Coordinator in a solely advisory capacity concerning scientific, implementation, and policy issues related to the global response to HIV/ AIDS. These issues will be of concern as they influence the priorities and direction of PEPFAR evaluation and research, the content of national and international strategies and implementation, and the role of PEPFAR in the international discourse regarding appropriate and resourced responses. Topics for the September 14– 15th meeting will include an update on PEPFAR-funded evaluations, discussions on the policy relevance of the recent results regarding treatment for prevention, and recommendations to the Ambassador on the future direction of evaluation and research within PEPFAR. The public may attend this meeting as seating capacity allows. Admittance to the meeting will be by means of a prearranged clearance list. In order to be placed on the list, please register at https://www.team-psa.com/pepfar/2011. While the meeting is open to public attendance, the Board will determine procedures for public participation. For further information about the meeting, please contact Charles Holmes, Chief Medical Officer, Office of the U.S. Global AIDS Coordinator at (202) 663– 2440 or HolmesCB@state.gov. Dated: August 15, 2011. Charles B. Holmes, Chief Medical Officer, Office of the U.S. Global AIDS Coordinator, Department of State. [FR Doc. 2011–21537 Filed 8–22–11; 8:45 am] BILLING CODE 4710–23–P [FR Doc. 2011–21532 Filed 8–22–11; 8:45 am] BILLING CODE 4710–10–P DEPARTMENT OF STATE [Public Notice 7548] Notice of Public Meeting of the President’s Emergency Plan for AIDS Relief (PEPFAR) Scientific Advisory Board In accordance with the Federal Advisory Committee Act (FACA), the PEPFAR Scientific Advisory Board (hereinafter referred to as ‘‘the Board’’) will meet on September 14–15, 2011 at the House of Sweden Event Center, 2900 K Street, NW., Washington, DC 20007. The meeting will last from 9 a.m. until approximately 5 p.m. on the 14th and from 9 a.m. until approximately 3 p.m. on the 15th and is open to the public. The meeting will be hosted by the Office of the U.S. Global AIDS Coordinator, Ambassador Eric Goosby, who leads implementation of the President’s Emergency Plan for AIDS Relief (PEPFAR). mstockstill on DSK4VPTVN1PROD with NOTICES SUMMARY: VerDate Mar<15>2010 16:33 Aug 22, 2011 Jkt 223001 DEPARTMENT OF TRANSPORTATION Office of the Secretary [Docket OST–2011–0022] On-Line Complaint Form for ServiceRelated Issues in Air Transportation Office of the Secretary, Department of Transportation. ACTION: Notice and request for comments. AGENCY: In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended) this notice announces the Department of Transportation’s intention to request an OMB control number for the collection of information from the public using an on-line complaint form. The on-line complaint form allows the public to electronically submit aviation servicerelated complaints against air carriers. SUMMARY: PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 52731 Comments on this notice must be received by October 24, 2011. ADDRESSES: To ensure that you do not duplicate your docket submissions, please submit them by only one of the following means: • Federal eRulemaking Portal: Go to https://www.regulations.gov and follow the online instructions for submitting comments. • Mail: Docket Management Facility, U.S. Department of Transportation, 1200 New Jersey Ave., SE., West Building Ground Floor Room W–12/140, Washington, DC 20590–0001; • Hand delivery: West Building Ground Floor, Room W–12/140, 1200 New Jersey Ave., SE., between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The telephone number is 202–366–9329. FOR FURTHER INFORMATION CONTACT: Blane Workie or Daeleen Chesley, Office of the Secretary, Office of the Assistant General Counsel for Aviation Enforcement and Proceedings (C–70), Department of Transportation, 1200 New Jersey Ave., SE., Washington, DC 20590, 202–366–9342 (voice) or 202– 366–7152 (fax) or at Blane.Workie@dot.gov or Daeleen.Chesley@dot.gov. DATES: SUPPLEMENTARY INFORMATION: Title: Submission of Aviation Consumer Protection Division Webpage On-Line Aviation Complaint Form. OMB Control Number: To Be Determined. Type of Request: Request for approval of a new information collection. Abstract: The Department of Transportation’s (Department) Office of the Assistant General Counsel for Aviation Enforcement and Proceedings (Enforcement Office) has broad authority under 49 U.S.C., Subtitle VII, to investigate and enforce consumer protection and civil rights laws and regulations related to air transportation. The Enforcement Office, including its Aviation Consumer Protection Division (ACPD), monitors compliance with and investigates violations of the Department of Transportation’s aviation economic, consumer protection, and civil rights requirements. Among other things, the office is responsible for receiving and investigating service-related consumer complaints filed against air carriers. Once received, the complaints are reviewed by the office to determine the extent to which carriers are in compliance with federal aviation consumer protection and civil rights laws and what, if any, action should be taken. E:\FR\FM\23AUN1.SGM 23AUN1

Agencies

[Federal Register Volume 76, Number 163 (Tuesday, August 23, 2011)]
[Notices]
[Pages 52730-52731]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-21491]


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

SMALL BUSINESS ADMINISTRATION


Reporting and Recordkeeping Requirements Under OMB Review

AGENCY: Small Business Administration.

ACTION: Notice of Reporting Requirements Submitted for OMB Review.

-----------------------------------------------------------------------

SUMMARY: Under the provisions of the Paperwork Reduction Act (44 U.S.C. 
Chapter 35), agencies are required to submit proposed reporting and 
recordkeeping requirements to OMB for review and approval, and to 
publish a notice in the Federal Register notifying the public that the 
agency has made such a submission.

DATES: Submit comments on or before September 22, 2011. If you intend 
to comment but cannot prepare comments promptly, please advise the OMB 
Reviewer and the Agency Clearance Officer before the deadline.
    Copies: Request for clearance (OMB 83-1), supporting statement, and 
other documents submitted to OMB for review may be obtained from the 
Agency Clearance Officer.

ADDRESSES: Address all comments concerning this notice to: Agency 
Clearance Officer, Jacqueline White, Small Business Administration, 409 
3rd Street, SW., 5th Floor, Washington, D.C. 20416; and OMB Reviewer, 
Office of Information and Regulatory Affairs, Office of Management and 
Budget, New Executive Office Building, Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Jacqueline White, Agency Clearance 
Officer, (202) 205-7044.

SUPPLEMENTARY INFORMATION: 
    Title: ``Personal Financial Statement''.
    Frequency: On Occasion.
    SBA Form Number: 413.
    Description of Respondents: Participating Lenders.
    Responses: 44,588.
    Annual Burden: 66,882.
    Title: Quarterly Reports file by Grantees of the Drug Free 
Workplace Program.
    Frequency: On Occasion.
    SBA Form Number: N/A.

[[Page 52731]]

    Description of Respondents: Participants for the Drug Free Work 
Place.
    Responses: 28.
    Annual Burden: 112.

Jacqueline White,
Chief, Administrative Information Branch.
[FR Doc. 2011-21491 Filed 8-22-11; 8:45 am]
BILLING CODE P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.