Submission for OMB Review; Comment Request, 22615 [2012-9011]

Download as PDF Federal Register / Vol. 77, No. 73 / Monday, April 16, 2012 / Notices Respondent’s Obligation: Voluntary. Estimated Annual Number of OSC Form Respondents: 3,950. Estimated Annual Number of Survey Form Respondents: 320. Frequency of Use of OSC Forms: Daily. Frequency of Survey Form Use: Annual. Estimated Average Amount of Time for a Person To Respond Using OSC Forms: 64 minutes. Estimated Average Amount of Time for a Person To Respond to Survey: 12 minutes. Estimated Annual Burden for the OSC Forms: 2,899 hours. Estimated Annual Survey Burden: 109 hours. These forms are used by current and former Federal employees and applicants for Federal employment to submit allegations of possible prohibited personnel practices or other prohibited activity for investigation and possible prosecution by OSC. This survey form is used to survey current and former Federal employees and applicants for Federal employment who have submitted allegations of possible prohibited personnel practices or other prohibited activity for investigation and possible prosecution by OSC, and whose matter has been closed or otherwise resolved during the prior fiscal year, on their experience at OSC. Specifically, the survey asks questions relating to whether the respondent was: (1) Apprised of his or her rights; (2) successful at the OSC or at the Merit Systems Protection Board; and (3) satisfied with the treatment received at the OSC. Dated: April 10, 2012. Carolyn N. Lerner, Special Counsel. [FR Doc. 2012–8999 Filed 4–13–12; 8:45 am] BILLING CODE 7405–01–P SECURITIES AND EXCHANGE COMMISSION emcdonald on DSK29S0YB1PROD with NOTICES 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 15g–3, OMB Control No. 3235–0392, SEC File No. 270–346. 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 VerDate Mar<15>2010 14:39 Apr 13, 2012 Jkt 226001 (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of extension of the existing collection of information provided for in Rule 15g– 3—Broker or dealer disclosure of quotations and other information relating to the penny stock market (17 CFR 240.15g–3) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 15g–3 requires that brokers and dealers disclose to customers current quotation prices or similar market information in connection with transactions in penny stocks. The purpose of the rule is to increase the level of disclosure to investors concerning penny stocks generally and specific penny stock transactions. The Commission estimates that approximately 209 broker-dealers will spend an average of 87 hours annually to comply with this rule. Thus, the total compliance burden is approximately 18,200 burden-hours per year. Rule 15g–3 contains record retention requirements. Compliance with the rule is mandatory. The required records are available only to the examination staff of the Commission and the self regulatory organizations of which the broker-dealer is a member. 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 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: April 10, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–9011 Filed 4–13–12; 8:45 am] BILLING CODE 8011–01–P PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 22615 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 15g–4; OMB Control No. 3235–0393; SEC File No. 270–347. 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 (‘‘OMB’’) a request for extension of the existing collection of information provided for in Rule 15g–4—Disclosure of compensation to brokers or dealers (17 CRF 240.15g–4) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 15g–4 requires brokers and dealers effecting transactions in penny stocks for or with customers to disclose the amount of compensation received by the broker-dealer in connection with the transaction. The purpose of the rule is to increase the level of disclosure to investors concerning penny stocks generally and specific penny stock transactions. The Commission estimates that approximately 209 broker-dealers will spend an average of 87 hours annually to comply with this rule. Thus, the total compliance burden is approximately 18,200 burden-hours per year. Rule 15g–4 contains record retention requirements. Compliance with the rule is mandatory. The required records are available only to the examination staff of the Commission and the self regulatory organizations of which the broker-dealer is a member. 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 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: E:\FR\FM\16APN1.SGM 16APN1

Agencies

[Federal Register Volume 77, Number 73 (Monday, April 16, 2012)]
[Notices]
[Page 22615]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-9011]


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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 15g-3, OMB Control No. 3235-0392, SEC File No. 270-346.

    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 (``OMB'') a request for approval of extension of the 
existing collection of information provided for in Rule 15g-3--Broker 
or dealer disclosure of quotations and other information relating to 
the penny stock market (17 CFR 240.15g-3) under the Securities Exchange 
Act of 1934 (15 U.S.C. 78a et seq.).
    Rule 15g-3 requires that brokers and dealers disclose to customers 
current quotation prices or similar market information in connection 
with transactions in penny stocks. The purpose of the rule is to 
increase the level of disclosure to investors concerning penny stocks 
generally and specific penny stock transactions.
    The Commission estimates that approximately 209 broker-dealers will 
spend an average of 87 hours annually to comply with this rule. Thus, 
the total compliance burden is approximately 18,200 burden-hours per 
year.
    Rule 15g-3 contains record retention requirements. Compliance with 
the rule is mandatory. The required records are available only to the 
examination staff of the Commission and the self regulatory 
organizations of which the broker-dealer is a member. 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 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: April 10, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-9011 Filed 4-13-12; 8:45 am]
BILLING CODE 8011-01-P
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