Proposed Collection; Comment Request, 44698-44699 [2012-18395]
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44698
Federal Register / Vol. 77, No. 146 / Monday, July 30, 2012 / Notices
RAILROAD RETIREMENT BOARD
Agency Forms Submitted for OMB
Review, Request for Comments
Summary: In accordance with the
Paperwork Reduction Act of 1995
(44 U.S.C. chapter 35), the Railroad
Retirement Board (RRB) is forwarding
an Information Collection Request (ICR)
to the Office of Information and
Regulatory Affairs (OIRA), Office of
Management and Budget (OMB). Our
ICR describes the information we seek
to collect from the public. Review and
approval by OIRA ensures that we
impose appropriate paperwork burdens.
The RRB invites comments on the
proposed collection of information to
determine (1) the practical utility of the
collection; (2) the accuracy of the
estimated burden of the collection; (3)
ways to enhance the quality, utility, and
clarity of the information that is the
subject of collection; and (4) ways to
minimize the burden of collections on
respondents, including the use of
automated collection techniques or
other forms of information technology.
Comments to the RRB or OIRA must
contain the OMB control number of the
ICR. For proper consideration of your
comments, it is best if the RRB and
OIRA receive them within 30 days of
the publication date.
Under Section 6 of the Railroad
Retirement Act (RRA), lump-sum death
benefits are payable to surviving
widow(er)s, children, and certain other
dependents. Lump-sum death benefits
are payable after the death of a railroad
employee only if there are no qualified
survivors of the employee immediately
eligible for annuities. With the
exception of the residual death benefit,
eligibility for survivor benefits depends
on whether the deceased employee was
‘‘insured’’ under the RRA at the time of
death. If the deceased employee was not
insured, jurisdiction of any survivor
benefits payable is transferred to the
Social Security Administration and
survivor benefits are paid by that agency
instead of the RRB. The requirements
for applying for benefits are prescribed
in 20 CFR 217, 219, and 234.
The collection obtains the information
required by the RRB to determine
entitlement to and amount of the
survivor death benefits applied for. To
collect the information, the RRB uses
Forms AA–11a, Designation for Change
of Beneficiary for Residual Lump-Sum;
AA–21, Application for Lump-Sum
Death Payment and Annuities Unpaid
at Death; AA–21cert, Application
Summary and Certification; G–131,
Authorization of Payment and Release
of All Claims to a Death Benefit or
Accrued Annuity Payment; and G–273a,
Funeral Director’s Statement of Burial
Charges. One response is requested of
each respondent. Completion is
required to obtain benefits.
Previous Requests for Comments: The
RRB has already published the initial
60-day notice (76 FR 31898 on May 30,
2012) required by 44 U.S.C. 3506(c)(2).
That request elicited no comments.
Information Collection Request (ICR)
Title: Application for Survivor Death
Benefits.
OMB Control Number: 3220–0031.
Form(s) submitted: AA–11a, AA–
21cert, AA–21, G–131, G–273a.
Type of request: Extension without
change of a currently approved
collection.
Affected public: Individuals or
Households.
Abstract: The collection obtains the
information needed to pay death
benefits and annuities due but unpaid at
death under the Railroad Retirement
Act. Benefits are paid to designated
beneficiaries or to survivors in a priority
designated law.
Changes proposed: The RRB proposes
no changes to the forms in the
collection.
The burden estimate for the ICR is as
follows:
Annual
responses
Form No.
Time
(minutes)
Burden
(hours)
100
4,500
300
600
5,000
10
20
40
5
10
17
1,500
200
50
833
Total ......................................................................................................................................
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AA–11a ........................................................................................................................................
AA–21cert (with assistance) ........................................................................................................
AA–21 (without assistance) .........................................................................................................
G–131 ..........................................................................................................................................
G–273a ........................................................................................................................................
10,500
........................
2,600
Additional Information or Comments:
Copies of the forms and supporting
documents can be obtained from Dana
Hickman at (312) 751–4981 or
Dana.Hickman@RRB.GOV.
Comments regarding the information
collection should be addressed to
Charles Mierzwa, Railroad Retirement
Board, 844 North Rush Street, Chicago,
Illinois, 60611–2092 or
Charles.Mierzwa@RRB.GOV and to the
OMB Desk Officer for the RRB, Fax:
202–395–6974, email address:
OIRA_Submission@omb.eop.gov.
Charles Mierzwa,
Chief of Information Resources Management.
[FR Doc. 2012–18339 Filed 7–27–12; 8:45 am]
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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:
Form 11–K, OMB Control No. 3235–0082,
SEC File No. 270–101.
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 collection of information
summarized below. The Commission
plans to submit this existing collection
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of information to the Office of
Management Budget for extension and
approval.
Form 11–K (17 CFR 249.311) is the
annual report designed for use by
employee stock purchase, savings and
similar plans to comply with the
reporting requirements under Section
15(d) of the Securities and Exchange Act
of 1934 (the ‘‘Exchange Act’’) (15 U.S.C.
78o(d)). Section 15(d) establishes a
periodic reporting obligation for every
issuer of a class of securities registered
under the Securities Act of 1933 (the
‘‘Securities Act’’) (15 U.S.C. 77a et seq.).
Form 11–K provides employees of an
issuer with financial information so that
they can assess the performance of the
investment vehicle or stock plan. Form
11–K takes approximately 30 burden
hours per response and is filed by 2,000
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Federal Register / Vol. 77, No. 146 / Monday, July 30, 2012 / Notices
respondents for total of 60,000 burden
hours.
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collections
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.
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, Virginia 22312; or send an
email to: PRA_Mailbox@sec.gov.
Dated: July 24, 2012.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–18395 Filed 7–27–12; 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.
mstockstill on DSK4VPTVN1PROD with NOTICES
Extension:
Rules 17h–1T and 17h–2T, SEC File No.
270–359, OMB Control No. 3235–0410.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), 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 provided for in Rules 17h–
1T and 17h–2T (17 CFR 240.17h–1T and
17 CFR 240.17h–2T), under the
Securities and Exchange Act of 1934 (17
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
Rule 17h–1T requires a broker-dealer
to maintain and preserve records and
other information concerning certain
entities that are associated with the
broker-dealer. This requirement extends
to the financial and securities activities
of the holding company, affiliates and
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subsidiaries of the broker-dealer that are
reasonably likely to have a material
impact on the financial or operational
condition of the broker-dealer. Rule
17h–2T requires a broker-dealer to file
with the Commission quarterly reports
and a cumulative year-end report
concerning the information required to
be maintained and preserved under
Rule 17h–1T.
The collection of information required
by Rules 17h–1T and 17h–2T,
collectively referred to as the ‘‘risk
assessment rules,’’ is necessary to
enable the Commission to monitor the
activities of a broker-dealer affiliate
whose business activities are reasonably
likely to have a material impact on the
financial or operational condition of the
broker-dealer. Without this information,
the Commission would be unable to
assess the potentially damaging impact
of the affiliate’s activities on the brokerdealer.
There are currently 275 respondents
that must comply with Rules 17h–1T
and 17h–2T. Each of these 275
respondents requires approximately 10
hours per year, or 2.5 hours per quarter,
to maintain the records required under
Rule 17h–1T, for an aggregate annual
burden of 2,750 hours (275 respondents
× 10 hours). In addition, each of these
275 respondents must make five annual
responses under Rule 17h–2T. These
five responses require approximately 14
hours per respondent per year, or 3.5
hours per quarter, for an aggregate
annual burden of 3,850 hours (275
respondents × 14 hours).
In addition, there are approximately
twenty-five new respondents per year
that must draft an organizational chart
required under Rule 17h–1T and
establish a system for complying with
the risk assessment rules. The staff
estimates that drafting the required
organizational chart requires one hour
and establishing a system for complying
with the risk assessment rules requires
three hours, thus requiring an aggregate
of 100 hours (25 new respondents × 4
hours). Thus, the total compliance
burden per year is approximately 6,700
burden hours (2,750 + 3,850 + 100).
Rule 17h–1T specifies that the records
required to be maintained under the
Rule must be preserved for a period of
not less than three years. There is no
specific retention period or record
keeping requirement for Rule 17h–2T.
The collection of information is
mandatory and the information required
to be provided to the Commission
pursuant to the risk assessment rules is
deemed confidential, notwithstanding
any other provision of law under
Section 17(h)(5) of the Exchange Act (15
U.S.C. 78q(h)(5)) and Section
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44699
552(b)(3)(B) of the Freedom of
Information Act (5 U.S.C. 552(b)(3)(B)).
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: July 24, 2012.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–18446 Filed 7–27–12; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: U.S. Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 17g–5, SEC File No. 270–581, OMB
Control No. 3235–0649.
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 previously approved
collection of information provided for in
Rule 17g–5 (17 CFR 240.17g–5) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
The Credit Rating Agency Reform Act
of 2006 (Pub. L. 109–291) (‘‘Rating
Agency Act’’), enacted on September 29,
2006, defines the term ‘‘nationally
recognized statistical rating
organization,’’ or ‘‘NRSRO’’ and
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]]>Agencies
[Federal Register Volume 77, Number 146 (Monday, July 30, 2012)]
[Notices]
[Pages 44698-44699]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-18395]
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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:
Form 11-K, OMB Control No. 3235-0082, SEC File No. 270-101.
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 collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management Budget
for extension and approval.
Form 11-K (17 CFR 249.311) is the annual report designed for use by
employee stock purchase, savings and similar plans to comply with the
reporting requirements under Section 15(d) of the Securities and
Exchange Act of 1934 (the ``Exchange Act'') (15 U.S.C. 78o(d)). Section
15(d) establishes a periodic reporting obligation for every issuer of a
class of securities registered under the Securities Act of 1933 (the
``Securities Act'') (15 U.S.C. 77a et seq.). Form 11-K provides
employees of an issuer with financial information so that they can
assess the performance of the investment vehicle or stock plan. Form
11-K takes approximately 30 burden hours per response and is filed by
2,000
[[Page 44699]]
respondents for total of 60,000 burden hours.
Written comments are invited on: (a) Whether this proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden imposed by the collection of information; (c) ways to
enhance the quality, utility, and clarity of the information collected;
and (d) ways to minimize the burden of the collections 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.
Please direct your written comments to Thomas Bayer, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312; or
send an email to: PRA_Mailbox@sec.gov.
Dated: July 24, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-18395 Filed 7-27-12; 8:45 am]
BILLING CODE 8011-01-P
