Proposed Collection; Comment Request, 68796-68797 [2011-28719]
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68796
Federal Register / Vol. 76, No. 215 / Monday, November 7, 2011 / Notices
1. The Postal Service shall file the
applicable administrative record
regarding this appeal no later than
November 9, 2011.
2. Any responsive pleading by the
Postal Service to this notice is due no
later than November 9, 2011.
3. The procedural schedule listed
below is hereby adopted.
4. Pursuant to 39 U.S.C. 505, Pamela
Thompson 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 and
Procedural Schedule in the Federal
Register.
By the Commission.
Shoshana M. Grove,
Secretary.
PROCEDURAL SCHEDULE
November 9, 2011 ..............
November 9, 2011 ..............
November 28, 2011 ............
November 29, 2011 ............
December 19, 2011 ............
January 3, 2011 .................
January 10, 2011 ...............
February 3, 2012 ................
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 Petitioners’ 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)).
[FR Doc. 2011–28736 Filed 11–4–11; 8:45 am]
BILLING CODE 7710–FW–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: U.S. Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
mstockstill on DSK4VPTVN1PROD with NOTICES
Extension:
Rule 15c1–5, SEC File No. 270–422, OMB
Control No. 3235–0471.
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’’) is soliciting comments
on the existing collection of information
provided for in Rule 15c1–5 (17 CFR
240.15c1–5) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.). The Commission plans to submit
this existing collection of information to
the Office of Management and Budget
for extension and approval.
Rule 15c1–5 states that any brokerdealer controlled by, controlling, or
under common control with the issuer
of a security that the broker-dealer is
trying to sell to or buy from a customer
must give the customer written
notification disclosing the control
relationship at or before completion of
the transaction. The Commission
estimates that 241 respondents collect
information annually under Rule 15c1–
5 and that each respondent would
spend approximately 10 hours per year
collecting this information (2,410 hours
in aggregate). There is no retention
period requirement under Rule 15c1–5.
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17:50 Nov 04, 2011
Jkt 226001
This Rule does not involve the
collection of confidential information.
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.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
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 display a
valid Office of Management (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, VA 22312 or send an email
to: PRA_Mailbox@sec.gov.
Dated: November 1, 2011.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2011–28721 Filed 11–4–11; 8:45 am]
BILLING CODE 8011–01–P
PO 00000
Frm 00080
Fmt 4703
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SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
from: U.S. Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 12f–1; OMB Control No. 3235–0128;
SEC File No. 270–139.
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’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit the existing collection
of information to the Office of
Management and Budget for extension
and approval. For Rule 12f–1 (17 CFR
240.12f–1)—Applications for
permission to reinstate unlisted trading
privileges.
Rule 12f–1 (the ‘‘Rule’’), originally
adopted in 1934 pursuant to Sections
12(f) and 23(a) of the Securities
Exchange Act of 1934 (15 U.S.C. 78a
et seq.) (‘‘Act’’), as modified in 1995 and
2005, sets forth the information which
an exchange must include in an
application to reinstate its ability to
extend unlisted trading privileges to any
security for which such unlisted trading
privileges have been suspended by the
Commission, pursuant to Section
12(f)(2)(A) of the Act. An application
must provide the name of the issuer, the
title of the security, the name of each
national securities exchange, if any, on
which the security is listed or admitted
to unlisted trading privileges, whether
transaction information concerning the
security is reported pursuant to an
E:\FR\FM\07NON1.SGM
07NON1
mstockstill on DSK4VPTVN1PROD with NOTICES
Federal Register / Vol. 76, No. 215 / Monday, November 7, 2011 / Notices
effective transaction reporting plan
contemplated by Rule 601 of Regulation
NMS, the date of the Commission’s
suspension of unlisted trading
privileges in the security on the
exchange, and any other pertinent
information. Rule 12f–1 further requires
a national securities exchange seeking to
reinstate its ability to extend unlisted
trading privileges to a security to
indicate that it has provided a copy of
such application to the issuer of the
security, as well as to any other national
securities exchange on which the
security is listed or admitted to unlisted
trading privileges.
The information required by Rule
12f–1 enables the Commission to make
the necessary findings under the Act
prior to granting applications to
reinstate unlisted trading privileges.
This information is also made available
to members of the public who may wish
to comment upon the applications.
Without the Rule, the Commission
would be unable to fulfill these
statutory responsibilities.
There are currently 15 national
securities exchanges subject to Rule
12f–1. The burden of complying with
Rule 12f–1 arises when a potential
respondent seeks to reinstate its ability
to extend unlisted trading privileges to
any security for which unlisted trading
privileges have been suspended by the
Commission, pursuant to Section
12(f)(2)(A) of the Act. The staff estimates
that each application would require
approximately one hour to complete.
Thus each potential respondent would
incur on average one burden hour in
complying with the Rule.
The Commission staff estimates that
there could be as many as 15 responses
annually and that each respondent’s
related cost of compliance with Rule
12f–1 would be $168.00, or, the cost of
one hour of professional work of a
paralegal needed to complete the
application. The total annual related
reporting cost for all potential
respondents, therefore, is $2,520 (15
responses × $168.00 per response).
Compliance with Rule 12f–1 is
mandatory. Rule 12f–1 does not have a
record retention requirement per se.
However, responses made pursuant to
Rule 12f–1 are subject to the
recordkeeping requirements of Rules
17a–3 and 17a–4 of the Act. Information
received in response to Rule 12f–1 shall
not be kept confidential; the information
collected is public information.
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;
VerDate Mar<15>2010
17:50 Nov 04, 2011
Jkt 226001
(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 on respondents; 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.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
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.
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: November 1, 2011.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2011–28719 Filed 11–4–11; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
from: U.S. Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 12f–3; OMB Control No. 3235–0249;
SEC File No. 270–141.
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’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit the existing collection
of information to the Office of
Management and Budget for extension
and approval for Rule 12f–3 (17 CFR
240.12f–3)—Termination or Suspension
of Unlisted Trading Privileges
Rule 12f–3 (the ‘‘Rule’’), which was
originally adopted in 1934 pursuant to
Sections 12(f) and 23(a) of the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
PO 00000
Frm 00081
Fmt 4703
Sfmt 4703
68797
seq.) (‘‘Act’’), as modified in 1995,
prescribes the information which must
be included in applications for and
notices of termination or suspension of
unlisted trading privileges for a security
as contemplated in Section 12(f)(4) of
the Act. An application must provide,
among other things, the name of the
applicant; a brief statement of the
applicant’s interest in the question of
termination or suspension of such
unlisted trading privileges; the title of
the security; the name of the issuer;
certain information regarding the size of
the class of security and its recent
trading history; and a statement
indicating that the applicant has
provided a copy of such application to
the exchange from which the
suspension or termination of unlisted
trading privileges are sought, and to any
other exchange on which the security is
listed or admitted to unlisted trading
privileges.
The information required to be
included in applications submitted
pursuant to Rule 12f–3, is intended to
provide the Commission with sufficient
information to make the necessary
findings under the Act to terminate or
suspend by order the unlisted trading
privileges granted a security on a
national securities exchange. Without
the Rule, the Commission would be
unable to fulfill these statutory
responsibilities.
The burden of complying with Rule
12f–3 arises when a potential
respondent, having a demonstrable bona
fide interest in the question of
termination or suspension of the
unlisted trading privileges of a security,
determines to seek such termination or
suspension. The staff estimates that
each such application to terminate or
suspend unlisted trading privileges
requires approximately one hour to
complete. Thus each potential
respondent would incur on average one
burden hour in complying with the
Rule.
The Commission staff estimates that
there could be as many as 15 responses
annually and that each respondent’s
related cost of compliance with Rule
12f–3 would be $168.00, or, the cost of
one hour of professional work of a
paralegal needed to complete the
application. The total annual related
reporting cost for all potential
respondents, therefore, is $2,520 (15
responses x $168.00/response).
Compliance with the application
requirements of Rule 12f–3 is
mandatory, though the filing of such
applications is undertaken voluntarily.
Rule 12f–3 does not have a record
retention requirement per se. However,
responses made pursuant to Rule 12f–3
E:\FR\FM\07NON1.SGM
07NON1
Agencies
[Federal Register Volume 76, Number 215 (Monday, November 7, 2011)]
[Notices]
[Pages 68796-68797]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-28719]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available from: U.S. Securities and
Exchange Commission, Office of Investor Education and Advocacy,
Washington, DC 20549-0213.
Extension:
Rule 12f-1; OMB Control No. 3235-0128; SEC File No. 270-139.
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'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit the
existing collection of information to the Office of Management and
Budget for extension and approval. For Rule 12f-1 (17 CFR 240.12f-1)--
Applications for permission to reinstate unlisted trading privileges.
Rule 12f-1 (the ``Rule''), originally adopted in 1934 pursuant to
Sections 12(f) and 23(a) of the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (``Act''), as modified in 1995 and 2005, sets forth
the information which an exchange must include in an application to
reinstate its ability to extend unlisted trading privileges to any
security for which such unlisted trading privileges have been suspended
by the Commission, pursuant to Section 12(f)(2)(A) of the Act. An
application must provide the name of the issuer, the title of the
security, the name of each national securities exchange, if any, on
which the security is listed or admitted to unlisted trading
privileges, whether transaction information concerning the security is
reported pursuant to an
[[Page 68797]]
effective transaction reporting plan contemplated by Rule 601 of
Regulation NMS, the date of the Commission's suspension of unlisted
trading privileges in the security on the exchange, and any other
pertinent information. Rule 12f-1 further requires a national
securities exchange seeking to reinstate its ability to extend unlisted
trading privileges to a security to indicate that it has provided a
copy of such application to the issuer of the security, as well as to
any other national securities exchange on which the security is listed
or admitted to unlisted trading privileges.
The information required by Rule 12f-1 enables the Commission to
make the necessary findings under the Act prior to granting
applications to reinstate unlisted trading privileges. This information
is also made available to members of the public who may wish to comment
upon the applications. Without the Rule, the Commission would be unable
to fulfill these statutory responsibilities.
There are currently 15 national securities exchanges subject to
Rule 12f-1. The burden of complying with Rule 12f-1 arises when a
potential respondent seeks to reinstate its ability to extend unlisted
trading privileges to any security for which unlisted trading
privileges have been suspended by the Commission, pursuant to Section
12(f)(2)(A) of the Act. The staff estimates that each application would
require approximately one hour to complete. Thus each potential
respondent would incur on average one burden hour in complying with the
Rule.
The Commission staff estimates that there could be as many as 15
responses annually and that each respondent's related cost of
compliance with Rule 12f-1 would be $168.00, or, the cost of one hour
of professional work of a paralegal needed to complete the application.
The total annual related reporting cost for all potential respondents,
therefore, is $2,520 (15 responses x $168.00 per response).
Compliance with Rule 12f-1 is mandatory. Rule 12f-1 does not have a
record retention requirement per se. However, responses made pursuant
to Rule 12f-1 are subject to the recordkeeping requirements of Rules
17a-3 and 17a-4 of the Act. Information received in response to Rule
12f-1 shall not be kept confidential; the information collected is
public information.
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 on
respondents; 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.
Consideration will be given to comments and suggestions submitted in
writing within 60 days of this publication.
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.
Please direct your written comments to: Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312 or
send an email to: PRA_Mailbox@sec.gov.
Dated: November 1, 2011.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2011-28719 Filed 11-4-11; 8:45 am]
BILLING CODE 8011-01-P