Proposed Collection; Comment Request, 39529 [2012-16224]
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Federal Register / Vol. 77, No. 128 / Tuesday, July 3, 2012 / Notices
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Dated: June 28, 2012.
Rochelle C. Bavol,
Policy Coordinator, Office of the Secretary.
[FR Doc. 2012–16405 Filed 6–29–12; 11:15 am]
BILLING CODE 7590–01–P
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.
srobinson on DSK4SPTVN1PROD with NOTICES
Extension:
Rule 17Ad–15; OMB Control No. 3235–
0122; SEC File No. 270–154.
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’’) is soliciting comments
on the existing collection of information
provided for in the following rule: Rule
17Ad–15 (17 CFR 240.17Ad–15) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.). The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Rule 17Ad–15 (17 CFR 240.17Ad–15)
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) (the ‘‘Act’’)
requires approximately 477 transfer
agents to establish written standards for
the acceptance or rejection of guarantees
of securities transfers from eligible
guarantor institutions. Transfer agents
VerDate Mar<15>2010
16:27 Jul 02, 2012
Jkt 226001
are required to establish procedures to
ensure that those standards are used by
the transfer agent to determine whether
to accept or reject guarantees from
eligible guarantor institutions. Transfer
agents must maintain, for a period of
three years following the date of a
rejection of transfer, a record of all
transfers rejected, along with the reason
for the rejection, identification of the
guarantor, and whether the guarantor
failed to meet the transfer agent’s
guarantee standard. These
recordkeeping requirements assist the
Commission and other regulatory
agencies with monitoring transfer agents
and ensuring compliance with the rule.
There are approximately 477
registered transfer agents. The staff
estimates that every transfer agent will
spend about 40 hours annually to
comply with Rule 17Ad–15. The total
annual burden for all transfer agents is
19,080 hours (477 times 40 hours). The
average cost per hour is approximately
$50. Therefore, the total cost of
compliance for all transfer agents is
$954,000 (19,080 hours times $50).
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information on respondents; 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.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
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 Office of Management and
Budget (OMB) control number.
Please direct your 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.
PO 00000
Frm 00067
Fmt 4703
Sfmt 4703
39529
Dated: June 27, 2012.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–16224 Filed 7–2–12; 8:45 am]
BILLING CODE 8011–01–P
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:
Regulation S–P; SEC File No. 270–480;
OMB Control No. 3235–0537.
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’’) is soliciting comments
on the existing collection of information
provided for in the privacy notice and
opt out notice provisions of Regulation
S–P—Privacy of Consumer Financial
Information (17 CFR part 248) under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
The Commission plans to submit this
existing collection of information to the
Office of Management and Budget for
extension and approval.
The privacy notice and opt out notice
provisions of Regulation S–P (the
‘‘Rule’’) implement the privacy notice
and opt out notice requirements of Title
V of the Gramm-Leach-Bliley Act
(‘‘GLBA’’), which include the
requirement that at the time of
establishing a customer relationship
with a consumer and not less than
annually during the continuation of
such relationship, a financial institution
shall provide a clear and conspicuous
disclosure to such consumer of such
financial institution’s policies and
practices with respect to disclosing
nonpublic personal information to
affiliates and nonaffiliated third parties
(‘‘privacy notice’’). Title V of the GLBA
also provides that, unless an exception
applies, a financial institution may not
disclose nonpublic personal information
of a consumer to a nonaffiliated third
party unless the financial institution
clearly and conspicuously discloses to
the consumer that such information may
be disclosed to such third party; the
consumer is given the opportunity,
before the time that such information is
initially disclosed, to direct that such
information not be disclosed to such
third party; and the consumer is given
an explanation of how the consumer can
E:\FR\FM\03JYN1.SGM
03JYN1
]]>Agencies
[Federal Register Volume 77, Number 128 (Tuesday, July 3, 2012)]
[Notices]
[Page 39529]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-16224]
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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 17Ad-15; OMB Control No. 3235-0122; SEC File No. 270-154.
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'') is soliciting comments on the existing collection of
information provided for in the following rule: Rule 17Ad-15 (17 CFR
240.17Ad-15) under the Securities Exchange Act of 1934 (15 U.S.C. 78a
et seq.). The Commission plans to submit this existing collection of
information to the Office of Management and Budget (``OMB'') for
extension and approval.
Rule 17Ad-15 (17 CFR 240.17Ad-15) under the Securities Exchange Act
of 1934 (15 U.S.C. 78a et seq.) (the ``Act'') requires approximately
477 transfer agents to establish written standards for the acceptance
or rejection of guarantees of securities transfers from eligible
guarantor institutions. Transfer agents are required to establish
procedures to ensure that those standards are used by the transfer
agent to determine whether to accept or reject guarantees from eligible
guarantor institutions. Transfer agents must maintain, for a period of
three years following the date of a rejection of transfer, a record of
all transfers rejected, along with the reason for the rejection,
identification of the guarantor, and whether the guarantor failed to
meet the transfer agent's guarantee standard. These recordkeeping
requirements assist the Commission and other regulatory agencies with
monitoring transfer agents and ensuring compliance with the rule.
There are approximately 477 registered transfer agents. The staff
estimates that every transfer agent will spend about 40 hours annually
to comply with Rule 17Ad-15. The total annual burden for all transfer
agents is 19,080 hours (477 times 40 hours). The average cost per hour
is approximately $50. Therefore, the total cost of compliance for all
transfer agents is $954,000 (19,080 hours times $50).
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the Commission, including whether the information
shall have practical utility; (b) the accuracy of the Commission's
estimates of the burden of the proposed collection of information; (c)
ways to enhance the quality, utility, and clarity of the information on
respondents; 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.
The Commission may not conduct or sponsor a collection of
information unless it displays a currently valid 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 Office of Management and Budget (OMB) control number.
Please direct your 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.
Dated: June 27, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-16224 Filed 7-2-12; 8:45 am]
BILLING CODE 8011-01-P
