Submission for OMB Review; Comment Request, 58547-58548 [2011-24177]
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Federal Register / Vol. 76, No. 183 / Wednesday, September 21, 2011 / Notices
Commission reviews it, the Commission
may find that there are more legal issues
than the one set forth above, or that the
Postal Service’s determination disposes
of one or more of those issues. The
deadline for the Postal Service to file the
applicable administrative record with
the Commission is September 28, 2011.
See 39 CFR 3001.113. In addition, the
due date for any responsive pleading by
the Postal Service to this Notice is
September 28, 2011.
Availability; Web site posting. The
Commission has posted the appeal and
supporting material on its Web site at
https://www.prc.gov. Additional filings
in this case and participants’
submissions also will be posted on the
Commission’s Web site, if provided in
electronic format or amenable to
conversion, and not subject to a valid
protective order. Information on how to
use the Commission’s Web site is
available online or by contacting the
Commission’s webmaster via telephone
at 202–789–6873 or via electronic mail
at prc-webmaster@prc.gov.
The appeal and all related documents
are also available for public inspection
in the Commission’s docket section.
Docket section hours are 8 a.m. to 4:30
p.m., eastern time, Monday through
Friday, except on Federal government
holidays. Docket section personnel may
be contacted via electronic mail at prc-
dockets@prc.gov or via telephone at
202–789–6846.
Filing of documents. All filings of
documents in this case shall be made
using the Internet (Filing Online)
pursuant to Commission rules 9(a) and
10(a) at the Commission’s Web site,
https://www.prc.gov, unless a waiver is
obtained. See 39 CFR 3001.9(a) and
3001.10(a). Instructions for obtaining an
account to file documents online may be
found on the Commission’s Web site or
by contacting the Commission’s docket
section at prc-dockets@prc.gov or via
telephone at 202–789–6846.
The Commission reserves the right to
redact personal information which may
infringe on an individual’s privacy
rights from documents filed in this
proceeding.
Intervention. Persons, other than
Petitioner and respondent, wishing to be
heard in this matter are directed to file
a notice of intervention. See 39 CFR
3001.111(b). Notices of intervention in
this case are to be filed on or before
October 11, 2011. A notice of
intervention shall be filed using the
Internet (Filing Online) at the
Commission’s Web site unless a waiver
is obtained for hardcopy filing. See
39 CFR 3001.9(a) and 3001.10(a).
Further procedures. By statute, the
Commission is required to issue its
decision within 120 days from the date
58547
it receives the appeal. See 39 U.S.C.
404(d)(5). A procedural schedule has
been developed to accommodate this
statutory deadline. In the interest of
expedition, in light of the 120-day
decision schedule, the Commission may
request the Postal Service or other
participants to submit information or
memoranda of law on any appropriate
issue. As required by the Commission
rules, if any motions are filed, responses
are due 7 days after any such motion is
filed. See 39 CFR 3001.21.
It is ordered:
1. The Postal Service shall file the
applicable administrative record
regarding this appeal no later than
September 28, 2011.
2. Any responsive pleading by the
Postal Service to this notice is due no
later than September 28, 2011.
3. The procedural schedule listed
below is hereby adopted.
4. Pursuant to 39 U.S.C. 505, Jeremy
L. Simmons is designated officer of the
Commission (Public Representative) to
represent the interests of the general
public.
5. The Secretary shall arrange for
publication of this notice and order in
the Federal Register.
By the Commission.
Ruth Ann Abrams,
Acting Secretary.
PROCEDURAL SCHEDULE
September 13, 2011 ..............................................
September 28, 2011 ..............................................
September 28, 2011 ..............................................
October 11, 2011 ...................................................
October 18, 2011 ...................................................
Filing of Appeal.
Deadline for the Postal Service to file the applicable administrative record in this appeal.
Deadline for the Postal Service to file any responsive pleading.
Deadline for notices to intervene (see 39 CFR 3001.111(b)).
Deadline for Petitioner’s Form 61 or initial brief in support of petition (see 39 CFR
3001.115(a) and (b)).
Deadline for answering brief in support of the Postal Service (see 39 CFR 3001.115(c)).
Deadline for reply briefs in response to answering briefs (see 39 CFR 3001.115(d)).
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)).
November 7, 2011 .................................................
November 22, 2011 ...............................................
November 29, 2011 ...............................................
January 5, 2012 .....................................................
Rule 31a–1; SEC File No. 270–173; OMB
Control No. 3235–0178.
[FR Doc. 2011–24204 Filed 9–20–11; 8:45 am]
BILLING CODE 7710–FW–P
wreier-aviles on DSK7SPTVN1PROD with NOTICES
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:
VerDate Mar<15>2010
15:20 Sep 20, 2011
Jkt 223001
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501–3520), the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget a
request for extension of the previously
approved collection of information
discussed below.
Rule 31a–1 (17 CFR 270.31a–1) under
the Investment Company Act of 1940
(the ‘‘Act’’) (15 U.S.C. 80a) is entitled
‘‘Records to be maintained by registered
investment companies, certain majorityowned subsidiaries thereof, and other
PO 00000
Frm 00088
Fmt 4703
Sfmt 4703
persons having transactions with
registered investment companies.’’ Rule
31a–1 requires registered investment
companies (‘‘funds’’), and every
underwriter, broker, dealer, or
investment adviser that is a majorityowned subsidiary of a fund, to maintain
and keep current accounts, books, and
other documents which constitute the
record forming the basis for financial
statements required to be filed pursuant
to section 31 of the Act (15 U.S.C. 80a–
30) and of the auditor’s certificates
relating thereto. The rule lists specific
records to be maintained by funds. The
rule also requires certain underwriters,
brokers, dealers, depositors, and
E:\FR\FM\21SEN1.SGM
21SEN1
wreier-aviles on DSK7SPTVN1PROD with NOTICES
58548
Federal Register / Vol. 76, No. 183 / Wednesday, September 21, 2011 / Notices
investment advisers to maintain the
records that they are required to
maintain under federal securities laws.
The Commission periodically inspects
the operations of funds to insure their
compliance with the provisions of the
Act and the rules thereunder. The books
and records required to be maintained
by rule 31a–1 constitute a major focus
of the Commission’s inspection
program.
There are approximately 4218
investment companies registered with
the Commission, all of which are
required to comply with rule 31a–1. For
purposes of determining the burden
imposed by rule 31a–1, the Commission
staff estimates that each fund is divided
into approximately four series, on
average, and that each series is required
to comply with the recordkeeping
requirements of rule 31a–1. Based on
conversations with fund representatives,
it is estimated that rule 31a–1 imposes
an average burden of approximately
1750 hours annually per series for a
total of 7000 annual hours per fund. The
estimated total annual burden for all
4218 investment companies subject to
the rule therefore is approximately
29,526,000 hours. Based on
conversations with fund representatives,
however, the Commission staff
estimates that even absent the
requirements of rule 31a–1, 90 percent
of the records created pursuant to the
rule are the type that generally would be
created as a matter of normal business
practice and to prepare financial
statements, estimated to be
approximately 26,573,400 annual hours.
Thus, the Commission staff estimates
that the total annual burden associated
with rule 31a–1 is 2,952,600 hours.
The estimate of average burden hours
is made solely for the purposes of the
Paperwork Reduction Act, and is not
derived from a comprehensive or even
a representative survey or study. The
collection of information required by
rule 31a–1 is mandatory. Responses will
not be kept confidential. The records
required by rule 31a–1 are required to
be preserved pursuant to rule 31a–2
under the Investment Company Act
(17 CFR 270.31a–2). Rule 31a–2 requires
that certain of these records be
preserved permanently, and that others
be preserved six years from the end of
the fiscal year in which any transaction
occurred. In both cases, the records
should be kept in an easily accessible
place for the first two years. 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 OMB control
number.
VerDate Mar<15>2010
15:20 Sep 20, 2011
Jkt 223001
The public may view the background
documentation for this information
collection at the following Web site,
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.
September 15, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–24177 Filed 9–20–11; 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–19; SEC File No. 270–
148; OMB Control No. 3235–0133.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(‘‘PRA’’) (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
extension of the previously approved
collection of information provided for in
Rule 17a–19 (17 CFR 240.17a–19) and
Form X–17A–19 of the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Rule 17a–19 requires national
securities exchanges and registered
national securities associations to file a
Form X–17A–19 with the Commission
within 5 days of the initiation,
suspension or termination of a member
in order to notify the Commission that
a change in designated examining
authority may be necessary.
It is anticipated that ten national
securities exchanges and registered
national securities associations
collectively will make 1,200 total filings
annually pursuant to Rule 17a–19 and
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Frm 00089
Fmt 4703
Sfmt 4703
that each filing will take approximately
15 minutes. The total burden is
estimated to be approximately 300 total
annual hours.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid OMB
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 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.
September 15, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–24176 Filed 9–20–11; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meeting
Federal Register citation of previous
announcement: [76 FR 57772].
STATUS: Open Meeting.
PLACE: 100 F Street, NW., Washington,
DC.
DATE AND TIME OF PREVIOUSLY ANNOUNCED
MEETING: September 19, 2011 at 10 a.m.
Deletion of an
Item.
The following item will not be
considered during the Commission’s
Open Meeting on September 19, 2011 at
10 a.m.
The Commission will consider
whether to propose new rules under
Section 764(a) of the Dodd-Frank Wall
Street Reform and Consumer Protection
Act to provide for the registration of
security-based swap dealers and major
security-based swap participants.
At times, changes in Commission
priorities require alterations in the
scheduling of meeting items. For further
information and to ascertain what, if
CHANGE IN THE MEETING:
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21SEN1
]]>Agencies
[Federal Register Volume 76, Number 183 (Wednesday, September 21, 2011)]
[Notices]
[Pages 58547-58548]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-24177]
=======================================================================
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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
20549-0213.
Extension:
Rule 31a-1; SEC File No. 270-173; OMB Control No. 3235-0178.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501-3520), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget a request for extension of the previously approved
collection of information discussed below.
Rule 31a-1 (17 CFR 270.31a-1) under the Investment Company Act of
1940 (the ``Act'') (15 U.S.C. 80a) is entitled ``Records to be
maintained by registered investment companies, certain majority-owned
subsidiaries thereof, and other persons having transactions with
registered investment companies.'' Rule 31a-1 requires registered
investment companies (``funds''), and every underwriter, broker,
dealer, or investment adviser that is a majority-owned subsidiary of a
fund, to maintain and keep current accounts, books, and other documents
which constitute the record forming the basis for financial statements
required to be filed pursuant to section 31 of the Act (15 U.S.C. 80a-
30) and of the auditor's certificates relating thereto. The rule lists
specific records to be maintained by funds. The rule also requires
certain underwriters, brokers, dealers, depositors, and
[[Page 58548]]
investment advisers to maintain the records that they are required to
maintain under federal securities laws. The Commission periodically
inspects the operations of funds to insure their compliance with the
provisions of the Act and the rules thereunder. The books and records
required to be maintained by rule 31a-1 constitute a major focus of the
Commission's inspection program.
There are approximately 4218 investment companies registered with
the Commission, all of which are required to comply with rule 31a-1.
For purposes of determining the burden imposed by rule 31a-1, the
Commission staff estimates that each fund is divided into approximately
four series, on average, and that each series is required to comply
with the recordkeeping requirements of rule 31a-1. Based on
conversations with fund representatives, it is estimated that rule 31a-
1 imposes an average burden of approximately 1750 hours annually per
series for a total of 7000 annual hours per fund. The estimated total
annual burden for all 4218 investment companies subject to the rule
therefore is approximately 29,526,000 hours. Based on conversations
with fund representatives, however, the Commission staff estimates that
even absent the requirements of rule 31a-1, 90 percent of the records
created pursuant to the rule are the type that generally would be
created as a matter of normal business practice and to prepare
financial statements, estimated to be approximately 26,573,400 annual
hours. Thus, the Commission staff estimates that the total annual
burden associated with rule 31a-1 is 2,952,600 hours.
The estimate of average burden hours is made solely for the
purposes of the Paperwork Reduction Act, and is not derived from a
comprehensive or even a representative survey or study. The collection
of information required by rule 31a-1 is mandatory. Responses will not
be kept confidential. The records required by rule 31a-1 are required
to be preserved pursuant to rule 31a-2 under the Investment Company Act
(17 CFR 270.31a-2). Rule 31a-2 requires that certain of these records
be preserved permanently, and that others be preserved six years from
the end of the fiscal year in which any transaction occurred. In both
cases, the records should be kept in an easily accessible place for the
first two years. 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 OMB control number.
The public may view the background documentation for this
information collection at the following Web site, 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.
September 15, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-24177 Filed 9-20-11; 8:45 am]
BILLING CODE 8011-01-P
