Proposed Collection; Comment Request;, 78321-78322 [2011-32221]

Download as PDF Federal Register / Vol. 76, No. 242 / Friday, December 16, 2011 / Notices Additional filings in this case and participant’s submissions also will be posted on the 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 prcdockets@prc.gov or via telephone at (202) 789–6846. https://www.prc.gov, or by contacting the Commission’s docket section at prcdockets@prc.gov or via telephone at (202) 789–6846. Commission reserves the right to redact personal information which may infringe on an individual’s privacy rights from documents filed in this proceeding. Filing of Documents Intervention Persons, other than the Petitioners and respondents, 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 January 3, 2011. A notice of intervention shall be filed using the Internet (Filing Online) at the Commission’s Web site, https://www.prc.gov, unless a waiver is obtained for hardcopy filing. See 39 CFR 3001.9(a) and 3001.10(a). 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, Further Procedures By statute, the Commission is required to issue its decision within 120 days from the date 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 78321 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 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 December 13, 2011. 2. Any responsive pleading by the Postal Service to this notice is due no later than December 13, 2011. 3. The procedural schedule listed below is hereby adopted. 4. Pursuant to 39 U.S.C. 505, Tracy Ferguson 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. Ruth Ann Abrams, Acting Secretary. PROCEDURAL SCHEDULE November 28, 2011 .................................. December 13, 2011 .................................. December 13, 2011 .................................. January 3, 2012 ........................................ January 3, 2012 ........................................ January 23, 2012 ...................................... February 7, 2012 ...................................... February 14, 2012 .................................... March 9, 2012 ........................................... 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 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. 2011–32245 Filed 12–15–11; 8:45 am] BILLING CODE 7710–FW–P SECURITIES AND EXCHANGE COMMISSION jlentini on DSK4TPTVN1PROD with NOTICES Proposed Collection; Comment Request; Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rule 489 and Form F–N; SEC File No. 270– 361; OMB Control No. 3235–0411. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities VerDate Mar<15>2010 16:42 Dec 15, 2011 Jkt 226001 and Exchange Commission (the ‘‘Commission’’) is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Rule 489 (17 CFR 230.489) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) requires foreign banks and foreign insurance companies and holding companies and finance subsidiaries of foreign banks and foreign insurance companies that are exempted from the definition of ‘‘investment company’’ by virtue of rules 3a–1 (17 CFR 270.3a–1), 3a–5 (17 CFR 270.3a–5), and 3a–6 (17 CFR 270.3a–6) under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) to file Form F–N (17 CFR PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 239.43) to appoint an agent for service of process when making a public offering of securities in the United States. During calendar year 2010, approximately 13 entities were required by rule 489 to make 15 Form F–N submissions. The Commission has previously estimated that the total annual burden associated with information collection and Form F–N preparation and submission is one hour per filing. Based on the Commission’s experience with disclosure documents generally, the Commission continues to believe that this estimate is appropriate. Estimates of average burden hours are made solely for the purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even representative survey or study of the E:\FR\FM\16DEN1.SGM 16DEN1 78322 Federal Register / Vol. 76, No. 242 / Friday, December 16, 2011 / Notices costs of Commission rules and forms. The collection of information under rule 489 and Form F–N is mandatory. The information provided under rule 489 and Form F–N will not be kept confidential. 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. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency’s estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information 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. 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. December 12, 2011. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2011–32221 Filed 12–15–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–65940; File No. SR–Phlx– 2011–162] and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend the single contra-side order Rebates and Fees for Adding and Removing Liquidity in Select Symbols in Section I, Part A of the Exchange’s Fee Schedule. The Exchange also proposes to amend the rebates and fees applicable to electronic auctions and the opening process. The text of the proposed rule change is available on the Exchange’s Web site at https://nasdaqtrader.com/ micro.aspx?id=PHLXfilings, at the principal office of the Exchange, on the Commission’s Web site at https:// www.sec.gov and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change 1. Purpose Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols jlentini on DSK4TPTVN1PROD with NOTICES December 12, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1, and Rule 19b–4 thereunder,2 notice is hereby given that on December 1, 2011, NASDAQ OMX PHLX LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, 1 15 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Mar<15>2010 16:42 Dec 15, 2011 Jkt 226001 The purpose of the proposed rule change is to amend Section I of the Fee Schedule, entitled ‘‘Rebates and Fees for Adding and Removing Liquidity in Select Symbols,’’ at Part A, entitled ‘‘Single contra-side orders,’’ to amend certain Rebates for Adding Liquidity and Fees for Removing Liquidity to both attract additional order flow to the Exchange and recoup costs for offering certain rebates to attract liquidity. Currently, Section I of the Fee Schedule applies to certain select symbols.3 Section I is comprised of a 3 Select symbols shall be defined as options overlying the following symbols: AA, AAPL, ABX, AIG, ALL, AMD, AMR, AMZN, AXP, BAC, BRCD, C, CAT, CIEN, CSCO, DELL, DIA, DRYS, EBAY, EK, F, FAS, FAZ, FXI, GDX, GE, GLD, GLW, GS, HAL, PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 Part A, single contra-side order fees, and a Part B, Complex Order fees.4 By way of example of the application of Parts A and B, if one component of a Complex Order is a buy order that trades with a sell order, the sell order is a ‘‘simple’’ or non-Complex Order subject to the fees in Part A of Section I of the Fee Schedule and the buy order is a Complex Order subject to the fees in Part B of Section I of the Fee Schedule. The Exchange is also proposing to amend the rebates and fees for electronic auctions and the opening process by defining the electronic auctions and the opening process as either Complex or non-Complex and applying Part B rebates and fees to the Complex electronic auctions and Part A rebates and fees to the non-Complex electronic auctions, including the opening process. The Exchange proposes these amendments to align the fees for electronic auctions and the opening process with other rebates and fees, as either Complex or non-Complex. The Exchange is not proposing to amend the Complex Order fees in Part B, but does propose a technical amendment to Part B as described below. There are currently several categories of market participants: Customers, Directed Participants,5 Specialists,6 Registered Options Traders,7 SQTs,8 RSQTs,9 Broker-Dealers, Firms and IBM, INTC, IWM, JPM, LVS, MGM, MSFT, MU, NEM, NOK, NVDA, ORCL, PFE, PG, POT, QCOM, QQQ, RIG, RIMM, RMBS, SBUX, SDS, SIRI, SKF, SLV, SLW, SMH, SNDK, SPY, T, TBT, TZA, UAL, UNG, USO, UUP, UYG, V, VALE, VXX, VZ, WYNN, X, XLF, XOM, XOP, XRX and YHOO (‘‘Select Symbols’’). These symbols are Multiply-Listed. 4 The Rebates and Fees for Adding and Removing Liquidity in Select Symbols will continue to apply only to electronic orders. 5 A Directed Participant is a Specialist, SQT, or RSQT that executes a customer order that is directed to them by an Order Flow Provider and is executed electronically on PHLX XL II. 6 A Specialist is an Exchange member who is registered as an options specialist pursuant to Rule 1020(a). 7 A Registered Options Trader (‘‘ROT’’) includes a Streaming Quote Trader (‘‘SQT’’), a Remote Streaming Quote Trader (‘‘RSQT’’) and a Non-SQT ROT, which by definition is neither a SQT or a RSQT. A ROT is defined in Exchange Rule 1014(b) as a regular member or a foreign currency options participant of the Exchange located on the trading floor who has received permission from the Exchange to trade in options for his own account. See Exchange Rule 1014 (b)(i) and (ii). 8 An SQT is defined in Exchange Rule 1014(b)(ii)(A) as an ROT who has received permission from the Exchange to generate and submit option quotations electronically in options to which such SQT is assigned. 9 An RSQT is defined Exchange Rule in 1014(b)(ii)(B) as an ROT that is a member or member organization with no physical trading floor presence who has received permission from the Exchange to generate and submit option quotations electronically in options to which such RSQT has been assigned. An RSQT may only submit such E:\FR\FM\16DEN1.SGM 16DEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 76, Number 242 (Friday, December 16, 2011)]
[Notices]
[Pages 78321-78322]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-32221]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request;

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Rule 489 and Form F-N; SEC File No. 270-361; OMB Control No. 
3235-0411.

    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 (the ``Commission'') is soliciting comments on the 
collection of information summarized below. The Commission plans to 
submit this existing collection of information to the Office of 
Management and Budget for extension and approval.
    Rule 489 (17 CFR 230.489) under the Securities Act of 1933 (15 
U.S.C. 77a et seq.) requires foreign banks and foreign insurance 
companies and holding companies and finance subsidiaries of foreign 
banks and foreign insurance companies that are exempted from the 
definition of ``investment company'' by virtue of rules 3a-1 (17 CFR 
270.3a-1), 3a-5 (17 CFR 270.3a-5), and 3a-6 (17 CFR 270.3a-6) under the 
Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) to file Form 
F-N (17 CFR 239.43) to appoint an agent for service of process when 
making a public offering of securities in the United States.
    During calendar year 2010, approximately 13 entities were required 
by rule 489 to make 15 Form F-N submissions. The Commission has 
previously estimated that the total annual burden associated with 
information collection and Form F-N preparation and submission is one 
hour per filing. Based on the Commission's experience with disclosure 
documents generally, the Commission continues to believe that this 
estimate is appropriate.
    Estimates of average burden hours are made solely for the purposes 
of the Paperwork Reduction Act and are not derived from a comprehensive 
or even representative survey or study of the

[[Page 78322]]

costs of Commission rules and forms. The collection of information 
under rule 489 and Form F-N is mandatory. The information provided 
under rule 489 and Form F-N will not be kept confidential. 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.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the collection of information; (c) ways to enhance the 
quality, utility, and clarity of the information 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.
    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, VA 22312; or send an 
email to: PRA_Mailbox@sec.gov.

     December 12, 2011.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2011-32221 Filed 12-15-11; 8:45 am]
BILLING CODE 8011-01-P

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