Submission for OMB Review; Comment Request, 6152 [2012-2732]
Download as PDF
<![CDATA[
6152
Federal Register / Vol. 77, No. 25 / Tuesday, February 7, 2012 / Notices
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, VA 22312 or send an email
to PRA_Mailbox@sec.gov.
Dated: February 2, 2012.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–2734 Filed 2–6–12; 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.
tkelley on DSK3SPTVN1PROD with NOTICES
Extension:
Regulation BTR, OMB Control No. 3235–
0579, SEC File No. 270–521.
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 extension of the previously
approved collection of information
discussed below.
Regulation Blackout Trade Restriction
(‘‘Regulation BTR’’) (17 CFR 245.100–
245.104) clarifies the scope and
application of Section 306(a) of the
Sarbanes-Oxley Act of 2002 (‘‘Act’’) (15
U.S.C. 7244(a)). Section 306(a)(6) (15
U.S.C.7244(a)(6)) of the Act requires an
issuer to provide timely notice to its
directors and executive officers and to
the Commission of the imposition of a
blackout period that would trigger the
statutory trading prohibition of Section
306(a)(1) (15 U.S.C. 7244(a)(1)). The
information provided under Regulation
BTR is mandatory and is available to the
public. Approximately 1,230 issuers file
Regulation BTR notices annually. We
estimate that it takes 2 hours per
response for an issuer to draft a notice
to directors and executive officers for a
total annual burden of 2,460 hours. The
issuer prepares 75% of the 2,460 annual
burden hours for a total reporting
burden of (1,230 × 2 hrs × 0.75) 1,845
hours. In addition, we estimate that an
issuer distributes a notice to five
VerDate Mar<15>2010
17:34 Feb 06, 2012
Jkt 226001
directors and executive officers at an
estimated 5 minutes per notice (1,230
blackout period × 5 notices × 5 minutes)
for a total reporting burden of 512
hours. The combined annual reporting
burden is (1,845 hours + 512 hours)
2,357 hours.
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
control number.
The public may view the background
documentation for this information
collection at the following Web site,
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 email 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 email
to: PRA_Mailbox@sec.gov. Comments
must be submitted to OMB within 30
days of this notice.
Dated: February 2, 2012.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–2732 Filed 2–6–12; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
29942; File No. 812–13950]
Henderson Global Funds, et al.; Notice
of Application
February 1, 2012.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice of an application for an
order under section 12(d)(1)(J) of the
Investment Company Act of 1940 (the
‘‘Act’’) for an exemption from sections
12(d)(1)(A) and (B) of the Act, under
sections 6(c) and 17(b) of the Act for an
exemption from sections 17(a)(1) and (2)
of the Act, and under section 6(c) of the
Act for an exemption from rule 12d1–
2(a) under the Act.
AGENCY:
Summary of the Application: The
requested order would (a) permit certain
registered open-end management
investment companies that operate as
‘‘funds of funds’’ to acquire shares of
certain registered open-end management
investment companies and unit
PO 00000
Frm 00098
Fmt 4703
Sfmt 4703
investment trusts (‘‘UITs’’) that are
within and outside the same group of
investment companies as the acquiring
investment companies, and (b) permit
funds of funds relying on rule 12d1–2
under the Act to invest in certain
financial instruments.
Applicants: Henderson Global Funds
(‘‘Trust’’), Henderson Global Investors
(North America) Inc. (‘‘Adviser’’), and
Henderson Investment Management
Limited (‘‘HIML’’).
Filing Dates: The application was
filed on August 30, 2011 and amended
on December 21, 2011.
Hearing or Notification of Hearing: An
order granting the application will be
issued unless the Commission orders a
hearing. Interested persons may request
a hearing by writing to the
Commission’s Secretary and serving
applicants with a copy of the request,
personally or by mail. Hearing requests
should be received by the Commission
by 5:30 p.m. on February 27, 2012, and
should be accompanied by proof of
service on applicants, in the form of an
affidavit or, for lawyers, a certificate of
service. Hearing requests should state
the nature of the writer’s interest, the
reason for the request, and the issues
contested. Persons who wish to be
notified of a hearing may request
notification by writing to the
Commission’s Secretary.
DATES:
Elizabeth M. Murphy,
Secretary, U.S. Securities and Exchange
Commission, 100 F Street NE.,
Washington, DC 20549–1090.
Applicants: 737 North Michigan Avenue
Suite 1700, Chicago, Illinois 60611.
ADDRESSES:
FOR FURTHER INFORMATION CONTACT:
Courtney S. Thornton, Senior Counsel,
at (202) 551–6812, or David P. Bartels,
Branch Chief, at (202) 551–6821
(Division of Investment Management,
Office of Investment Company
Regulation).
The
following is a summary of the
application. The complete application
may be obtained via the Commission’s
Web site by searching for the file
number, or for an applicant using the
Company name box, at https://
www.sec.gov/search/search.htm, or by
calling (202) 551–8090.
SUPPLEMENTARY INFORMATION:
Applicants’ Representations
1. The Trust is an open-end
management investment company
registered under the Act and organized
as a Delaware statutory trust. The Trust
currently consists of ten series
(‘‘Funds’’), which pursue different
investment objectives and principal
E:\FR\FM\07FEN1.SGM
07FEN1
]]>Agencies
[Federal Register Volume 77, Number 25 (Tuesday, February 7, 2012)]
[Notices]
[Page 6152]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-2732]
-----------------------------------------------------------------------
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:
Regulation BTR, OMB Control No. 3235-0579, SEC File No. 270-521.
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 extension of the previously approved collection of
information discussed below.
Regulation Blackout Trade Restriction (``Regulation BTR'') (17 CFR
245.100-245.104) clarifies the scope and application of Section 306(a)
of the Sarbanes-Oxley Act of 2002 (``Act'') (15 U.S.C. 7244(a)).
Section 306(a)(6) (15 U.S.C.7244(a)(6)) of the Act requires an issuer
to provide timely notice to its directors and executive officers and to
the Commission of the imposition of a blackout period that would
trigger the statutory trading prohibition of Section 306(a)(1) (15
U.S.C. 7244(a)(1)). The information provided under Regulation BTR is
mandatory and is available to the public. Approximately 1,230 issuers
file Regulation BTR notices annually. We estimate that it takes 2 hours
per response for an issuer to draft a notice to directors and executive
officers for a total annual burden of 2,460 hours. The issuer prepares
75% of the 2,460 annual burden hours for a total reporting burden of
(1,230 x 2 hrs x 0.75) 1,845 hours. In addition, we estimate that an
issuer distributes a notice to five directors and executive officers at
an estimated 5 minutes per notice (1,230 blackout period x 5 notices x
5 minutes) for a total reporting burden of 512 hours. The combined
annual reporting burden is (1,845 hours + 512 hours) 2,357 hours.
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 control number.
The public may view the background documentation for this
information collection at the following Web site, 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 email 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 email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of
this notice.
Dated: February 2, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-2732 Filed 2-6-12; 8:45 am]
BILLING CODE 8011-01-P
