Submission for OMB Review; Comment Request, 33008-33009 [2012-13408]
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Federal Register / Vol. 77, No. 107 / Monday, June 4, 2012 / Notices
[FR Doc. 2012–13444 Filed 6–1–12; 8:45 am]
of the agency, including whether the
information will have practical utility;
2. Evaluate the accuracy of the
agency’s estimate of the burden of the
proposed collection of information,
including the validity of the
methodology and assumptions used;
3. Enhance the quality, utility, and
clarity of the information to be
collected; and
4. Minimize the burden of the
collection of information on those who
are to respond, including through the
use of appropriate automated,
electronic, mechanical, or other
technological collection techniques or
other forms of information technology,
e.g., permitting electronic submissions
of responses.
DATES: Comments are encouraged and
will be accepted until August 3, 2012.
This process is conducted in accordance
with 5 CFR 1320.1.
ADDRESSES: Interested persons are
invited to submit written comments on
the proposed information collection to
the U.S. Office of Personnel
Management, Union Square 370, 1900 E
Street NW., Washington, DC 20415–
3500, Attention: Alberta Butler or sent
via electronic mail to
Alberta.Butler@opm.gov.
BILLING CODE 6325–38–P
FOR FURTHER INFORMATION CONTACT:
Personnel Management, 1900 E Street
NW., Room 4332, Washington, DC
20415, Attention: Cyrus S. Benson, or
sent via electronic mail to
Cyrus.Benson@opm.gov or faxed to
(202) 606–0910.
SUPPLEMENTARY INFORMATION: RI 25–41,
Initial Certification of Full-Time School
Attendance, is used to determine
whether a child is unmarried and a fulltime student in a recognized school.
OPM must determine this in order to
pay survivor annuity benefits to
children who are age 18 or older.
Analysis
Agency: Retirement Operations,
Retirement Services, Office of Personnel
Management.
Title: Initial Certification of Full-Time
School Attendance.
OMB Number: 3206–0099.
Frequency: On occasion.
Affected Public: Individuals or
Households.
Number of Respondents: 1,200.
Estimated Time per Respondent: 90
minutes.
Total Burden Hours: 1,800.
U.S. Office of Personnel Management.
John Berry,
Director.
OFFICE OF PERSONNEL
MANAGEMENT
Submission for Review: Reinstatement
of Disability Annuity Previously
Terminated Because of Restoration to
Earning Capacity, RI 30–9
Office of Personnel
Management.
ACTION: 60-Day Notice and request for
comments.
AGENCY:
The Retirement Services,
Office of Personnel Management (OPM)
offers the general public and other
federal agencies the opportunity to
comment on a revised information
collection request (ICR) 3206–0138,
Reinstatement of Disability Annuity
Previously Terminated Because of
Restoration to Earning Capacity. As
required by the Paperwork Reduction
Act of 1995, (Pub. L. 104–13, 44 U.S.C.
chapter 35) as amended by the ClingerCohen Act (Pub. L. 104–106), OPM is
soliciting comments for this collection.
The Office of Management and Budget
is particularly interested in comments
that:
1. Evaluate whether the proposed
collection of information is necessary
for the proper performance of functions
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SUMMARY:
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A
copy of this ICR with applicable
supporting documentation, may be
obtained by contacting the Retirement
Services Publications Team, U.S. Office
of Personnel Management, 1900 E Street
NW., Room 4332, Washington, DC
20415, Attention: Cyrus S. Benson, or
sent via electronic mail to
Cyrus.Benson@opm.gov or faxed to
(202) 606–0910.
SUPPLEMENTARY INFORMATION: RI 30–9
informs former disability annuitants of
their right to request restoration under
title 5, U.S.C. 8337 and 8455. It also
specifies the conditions to be met and
the documentation required for a person
to request reinstatement.
Analysis
Agency: Retirement Operations,
Retirement Services, Office of Personnel
Management.
Title: Reinstatement of Disability
Annuity Previously Terminated Because
of Restoration to Earning Capacity.
OMB Number: 3206–0138.
Frequency: On occasion.
Affected Public: Individuals or
Households.
Number of Respondents: 200.
Estimated Time per Respondent: 60
minutes.
Total Burden Hours: 200.
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U.S. Office of Personnel Management.
John Berry,
Director.
[FR Doc. 2012–13445 Filed 6–1–12; 8:45 am]
BILLING CODE 6325–38–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.
Extension:
Rule 206(3)–2, SEC File No. 270–216, OMB
Control No. 3235–0243.
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’’) has submitted to the
Office of Management and Budget a
request for extension of the previously
approved collection of information
discussed below.
Rule 206(3)–2 (17 CFR 275.206(3)–2),
which is entitled ‘‘Agency Cross
Transactions for Advisory Clients,’’
permits investment advisers to comply
with section 206(3) of the Investment
Advisers Act of 1940 (the ‘‘Act’’) (15
U.S.C. 80b–6(3)) by obtaining a client’s
blanket consent to enter into agency
cross transactions (i.e., a transaction in
which an adviser acts as a broker to both
the advisory client and the opposite
party to the transaction). Rule 206(3)–2
applies to all registered investment
advisers. In relying on the rule,
investment advisers must provide
certain disclosures to their clients.
Advisory clients can use the disclosures
to monitor agency cross transactions
that affect their advisory account. The
Commission also uses the information
required by Rule 206(3)–2 in connection
with its investment adviser inspection
program to ensure that advisers are in
compliance with the rule. Without the
information collected under the rule,
advisory clients would not have
information necessary for monitoring
their adviser’s handling of their
accounts and the Commission would be
less efficient and effective in its
inspection program.
The information requirements of the
rule consist of the following: (1) Prior to
obtaining the client’s consent,
appropriate disclosure must be made to
the client as to the practice of, and the
conflicts of interest involved in, agency
cross transactions; (2) at or before the
E:\FR\FM\04JNN1.SGM
04JNN1
ebenthall on DSK5SPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 107 / Monday, June 4, 2012 / Notices
completion of any such transaction, the
client must be furnished with a written
confirmation containing specified
information and offering to furnish
upon request certain additional
information; and (3) at least annually,
the client must be furnished with a
written statement or summary as to the
total number of transactions during the
period covered by the consent and the
total amount of commissions received
by the adviser or its affiliated brokerdealer attributable to such transactions.
The Commission estimates that
approximately 550 respondents use the
rule annually, necessitating about 32
responses per respondent each year, for
a total of 17,600 responses. Each
response requires an estimated 0.5
hours, for a total of 8,000 hours. The
estimated average burden hours are
made solely for the purposes of the
Paperwork Reduction Act and are not
derived from a comprehensive or
representative survey or study of the
cost of Commission rules and forms.
This collection of information is
found at 17 CFR 275.206(3)–2 and is
necessary in order for the investment
adviser to obtain the benefits of Rule
206(3)–2. The collection of information
requirements under the rule is
mandatory. Information subject to the
disclosure requirements of Rule 206(3)–
2 does not require submission to the
Commission; and, accordingly, the
disclosure pursuant to the rule is not
kept confidential.
Commission-registered investment
advisers are required to maintain and
preserve certain information required
under Rule 206(3)–2 for five (5) years.
The long-term retention of these records
is necessary for the Commission’s
inspection program to ascertain
compliance with the Advisers Act.
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
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16:10 Jun 01, 2012
Jkt 226001
must be submitted to OMB within 30
days of this notice.
Dated: May 29, 2012.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–13408 Filed 6–1–12; 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.
Extension:
Rules 8b–1 to 8b–33; SEC File No. 270–
135; OMB Control No. 3235–0176.
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
previously approved collection of
information discussed below.
Rules 8b–1 to 8b–33 (17 CFR 270.8b–
1 to 8b–33) under the Investment
Company Act of 1940 (15 U.S.C. 80a–1
et seq.) (‘‘Investment Company Act’’)
were adopted to standardize the
mechanics of registration under the
Investment Company Act and to provide
more specific guidance for persons
registering under the Investment
Company Act than the information
contained in the statute. For the most
part, these procedural rules do not
require the disclosure of information.
Two of the rules, however, require
limited disclosure of information.1 The
information required by the rules is
necessary to ensure that investors have
clear and complete information upon
which to base an investment decision.
The Commission uses the information
that investment companies provide on
registration statements in its regulatory,
disclosure review, inspection and
policy-making roles. The respondents to
the collection of information are
investment companies filing registration
1 Rule 8b–3 (17 CFR 270.8b–3) provides that
whenever a registration form requires the title of
securities to be stated, the registrant must indicate
the type and general character of the securities to
be issued. Rule 8b–22 (17 CFR 270.8b–22) provides
that if the existence of control is open to reasonable
doubt, the registrant may disclaim the existence of
control, but it must state the material facts pertinent
to the possible existence of control.
PO 00000
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33009
statements under the Investment
Company Act.
The Commission does not estimate
separately the total annual reporting and
recordkeeping burden associated with
rules 8b–1 to 8b-33 because the burden
associated with these rules are included
in the burden estimates the Commission
submits for the investment company
registration statement forms (e.g., Form
N–1A (17 CFR 239.15A and 274.11A),
Form N–2 (17 CFR 239.14 and 274.11a–
1), Form N–3 (17 CFR 239.17a and
274.11b), Form N–4 (17 CFR 239.17b
and 274.11c), and Form N–6 (17 CFR
239.17c and 274.11d)). For example, a
mutual fund that prepares a registration
statement on Form N–1A must comply
with the rules under Section 8(b),
including rules on riders, amendments,
the form of the registration statement,
and the number of copies to be
submitted. Because the fund only incurs
a burden from the Section 8(b) rules
when preparing a registration statement,
it would be impractical to measure the
compliance burden of these rules
separately. The Commission believes
that including the burden of the Section
8(b) rules with the burden estimates for
the investment company registration
statement forms provides a more
accurate and complete estimate of the
total burdens associated with the
registration process. For administrative
purposes, however, we are requesting
approval for an information collection
burden of one hour per year. This
estimate of burden hours is not derived
from a comprehensive or necessarily
even representative study of the cost of
the Commission’s rules and forms.
Investment companies seeking to
register under the Investment Company
Act are required to provide the
information specified in rules 8b-1 to
8b-33 if applicable. Responses 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.
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
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]]>Agencies
[Federal Register Volume 77, Number 107 (Monday, June 4, 2012)]
[Notices]
[Pages 33008-33009]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-13408]
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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 206(3)-2, SEC File No. 270-216, OMB Control No. 3235-0243.
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'') has submitted to the Office of
Management and Budget a request for extension of the previously
approved collection of information discussed below.
Rule 206(3)-2 (17 CFR 275.206(3)-2), which is entitled ``Agency
Cross Transactions for Advisory Clients,'' permits investment advisers
to comply with section 206(3) of the Investment Advisers Act of 1940
(the ``Act'') (15 U.S.C. 80b-6(3)) by obtaining a client's blanket
consent to enter into agency cross transactions (i.e., a transaction in
which an adviser acts as a broker to both the advisory client and the
opposite party to the transaction). Rule 206(3)-2 applies to all
registered investment advisers. In relying on the rule, investment
advisers must provide certain disclosures to their clients. Advisory
clients can use the disclosures to monitor agency cross transactions
that affect their advisory account. The Commission also uses the
information required by Rule 206(3)-2 in connection with its investment
adviser inspection program to ensure that advisers are in compliance
with the rule. Without the information collected under the rule,
advisory clients would not have information necessary for monitoring
their adviser's handling of their accounts and the Commission would be
less efficient and effective in its inspection program.
The information requirements of the rule consist of the following:
(1) Prior to obtaining the client's consent, appropriate disclosure
must be made to the client as to the practice of, and the conflicts of
interest involved in, agency cross transactions; (2) at or before the
[[Page 33009]]
completion of any such transaction, the client must be furnished with a
written confirmation containing specified information and offering to
furnish upon request certain additional information; and (3) at least
annually, the client must be furnished with a written statement or
summary as to the total number of transactions during the period
covered by the consent and the total amount of commissions received by
the adviser or its affiliated broker-dealer attributable to such
transactions.
The Commission estimates that approximately 550 respondents use the
rule annually, necessitating about 32 responses per respondent each
year, for a total of 17,600 responses. Each response requires an
estimated 0.5 hours, for a total of 8,000 hours. The estimated average
burden hours are made solely for the purposes of the Paperwork
Reduction Act and are not derived from a comprehensive or
representative survey or study of the cost of Commission rules and
forms.
This collection of information is found at 17 CFR 275.206(3)-2 and
is necessary in order for the investment adviser to obtain the benefits
of Rule 206(3)-2. The collection of information requirements under the
rule is mandatory. Information subject to the disclosure requirements
of Rule 206(3)-2 does not require submission to the Commission; and,
accordingly, the disclosure pursuant to the rule is not kept
confidential.
Commission-registered investment advisers are required to maintain
and preserve certain information required under Rule 206(3)-2 for five
(5) years. The long-term retention of these records is necessary for
the Commission's inspection program to ascertain compliance with the
Advisers Act.
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: May 29, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-13408 Filed 6-1-12; 8:45 am]
BILLING CODE 8011-01-P
