Submission for OMB Review; Comment Request, 22615-22616 [2012-9012]

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 22616 Federal Register / Vol. 77, No. 73 / Monday, April 16, 2012 / Notices 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. 2012–9012 Filed 4–13–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30032; 812–13785] Huntington Asset Advisors, Inc., et al.; Notice of Application April 10, 2012. Securities and Exchange Commission (‘‘Commission’’). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (‘‘Act’’) for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of the Act and rule 22c–1 under the Act, and 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 12(d)(1)(J) for an exemption from sections 12(d)(1)(A) and (B) of the Act. emcdonald on DSK29S0YB1PROD with NOTICES AGENCY: Applicants: Huntington Asset Advisors, Inc. (‘‘Adviser’’), Huntington Strategy Shares (‘‘Trust’’), and SEI Investments Distribution Co. Summary of Application: Applicants request an order that permits: (a) Actively-managed series of the Trust to issue shares (‘‘Shares’’) redeemable in large aggregations only (‘‘Creation Units’’); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. Filing Dates: The application was filed on June 17, 2010, and amended on October 10, 2010, June 10, 2011, February 24, 2012, and April 3, 2012. VerDate Mar<15>2010 14:39 Apr 13, 2012 Jkt 226001 Applicants have agreed to file an amendment during the notice period, the substance of which is reflected in this notice. Hearing or Notification of Hearing: An order granting the requested relief 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 May 7, 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. ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. Applicants, c/o Leslie K. Klenk, Bernstein Shur, 100 Middle Street, P.O. Box 9729, Portland, ME 04104–5029. FOR FURTHER INFORMATION CONTACT: Deepak T. Pai, Senior Counsel, at (202) 551–6876 or Dalia Osman Blass, Assistant Director, at (202) 551–6821 (Division of Investment Management, Office of Investment Company Regulation). SUPPLEMENTARY INFORMATION: 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 an applicant using the Company name box, at https:// www.sec.gov/search/search.htm or by calling (202) 551–8090. Applicants’ Representations 1. The Trust is registered as an openend management investment company under the Act and is organized as a Delaware statutory trust. The Trust will initially offer two series, Huntington U.S. Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF (together, the ‘‘Initial Funds’’). The investment objective of both Initial Funds will be to seek capital appreciation. 2. The Adviser, an Ohio corporation, is registered as an investment adviser under the Investment Advisers Act of 1940 (‘‘Advisers Act’’), and will serve as investment adviser to the Initial Funds. A Fund may engage one or more subadvisers (‘‘Sub-Advisers’’) to manage specific strategies suited to their expertise. Any Sub-Adviser will be PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 registered under the Advisers Act. SEI Investments Distribution Co., a Pennsylvania corporation, is registered as a broker-dealer (‘‘Broker’’) under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) and will serve as the principal underwriter and distributor for each of the Funds (‘‘Distributor’’). 3. Applicants request that the order apply to the Initial Funds, any future series of the Trust and to any other open-end investment company or series thereof that is an actively managed exchange-traded fund (‘‘ETF’’) and (a) is advised by the Adviser or any entity controlling, controlled by, or under common control with the Adviser 1 and (b) complies with the terms and conditions of the application (collectively, ‘‘Future Funds,’’ and together with the Initial Funds, the ‘‘Funds’’).2 The Funds may invest in equity securities (‘‘Equity Funds’’) or fixed income securities (‘‘Fixed Income Funds’’) traded in the U.S. or non-U.S. markets. The Equity Funds that invest in equity securities traded in the U.S. market (‘‘Domestic Equity Funds’’), Fixed Income Funds that invest in fixed income securities traded in the U.S. market (‘‘Domestic Fixed Income Funds’’) and Funds that invest in equity and fixed income securities traded in the U.S. market (‘‘Domestic Blend Funds’’) together are ‘‘Domestic Funds.’’ Funds that invest in foreign and domestic equity securities are ‘‘Global Equity Funds.’’ Funds that invest in foreign and domestic fixed income securities are ‘‘Global Fixed Income Funds.’’ Funds that invest in equity securities and fixed income securities traded in the U.S. or non-U.S. markets are ‘‘Global Blend Funds’’ (and collectively with the Global Equity Funds and Global Fixed Income Funds, ‘‘Global Funds’’). Funds that invest solely in foreign equity securities are ‘‘Foreign Equity Funds’’, Funds that invest solely in foreign fixed income securities are ‘‘Foreign Fixed Income Funds’’ and Funds that invest solely in foreign equity and foreign fixed income securities are ‘‘Foreign Blend Funds’’ (and collectively with Foreign Equity Funds and Foreign Fixed Income Funds, ‘‘Foreign Funds’’). The Funds may also invest in ‘‘Depositary Receipts.’’ 3 No 1 Any such advisory entity will be registered as an investment adviser under the Advisers Act. 2 All entities that currently intend to rely on the order are named as applicants. Any entity that relies on the order in the future will comply with the terms and conditions of the application. 3 Depositary Receipts are typically issued by a financial institution (a ‘‘Depositary’’) and evidence ownership in a security or pool of securities that have been deposited by the Depositary. A Fund will not invest in any Depositary Receipts that the Adviser deems to be illiquid or for which pricing E:\FR\FM\16APN1.SGM 16APN1

Agencies

[Federal Register Volume 77, Number 73 (Monday, April 16, 2012)]
[Notices]
[Pages 22615-22616]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-9012]


-----------------------------------------------------------------------

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:

[[Page 22616]]

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. 2012-9012 Filed 4-13-12; 8:45 am]
BILLING CODE 8011-01-P
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