Submission for OMB Review; Comment Request, 62272-62273 [2012-25091]

Download as PDF 62272 Federal Register / Vol. 77, No. 198 / Friday, October 12, 2012 / Notices 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: October 5, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–25089 Filed 10–11–12; 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. wreier-aviles on DSK5TPTVN1PROD with NOTICES Extension: Form N–5, SEC File No. 270–172, OMB Control No. 3235–0169. 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 (‘‘OMB’’) a request for extension of the previously approved collection of information discussed below. Form N–5 (17 CFR 239.24 and 274.5)—Registration Statement of Small Business Investment Companies Under the Securities Act of 1933 (15 U.S.C. 77a et seq.) and the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) Form N–5 is the integrated registration statement form adopted by the Commission for use by a small business investment company which has been licensed as such under the Small Business Investment Act of 1958 and has been notified by the Small Business Administration that the company may submit a license application, to register its securities under the Securities Act of 1933 (‘‘Securities Act’’), and to register as an investment company under section 8 of the Investment Company Act of 1940 (‘‘Investment Company Act’’). The purpose of registration under the Securities Act is to ensure that investors are provided with material VerDate Mar<15>2010 13:59 Oct 11, 2012 Jkt 229001 information concerning securities offered for public sale that will permit investors to make informed decisions regarding such securities. The Commission staff reviews the registration statements for the adequacy and accuracy of the disclosure contained therein. Without Form N–5, the Commission would be unable to carry out the requirements to the Securities Act and Investment Company Act for registration of small business investment companies. The respondents to the collection of information are small business investment companies seeking to register under the Investment Company Act and to register their securities for sale to the public under the Securities Act. Based on discussions with fund representatives and the Commission’s experience with the filing of Form N–5 and with disclosure documents generally, we estimate that the reporting burden of compliance with Form N–5 is approximately 352 hours per respondent. The Commission has received one Form N–5 filing in the last three years, for an average annual hourly burden of 117 hours. The cost of compliance varies considerably depending on factors such as whether a filing is a new registration statement or an update to a previously effective registration statement; whether the fund being registered presents novel or complex legal issues or is similar to other funds; whether amendments are required in response to staff comments; and whether outside counsel and accountants are necessary for preparation of the filing. Based on discussions with fund representatives and the Commission’s experience with the filing of Form N–5 and with comparable disclosure documents, we estimate that the cost of compliance may range from less than $15,000 (for a routine filing) to over $60,000 (for a registration statement presenting significant legal issues per response) with an average cost per filing of $30,000. There has been one Form N– 5 filing in the last three years. We therefore estimate that the average annual cost burden to the industry is $10,000. Providing the information on Form N–5 is mandatory. Responses will not be kept confidential. Estimates of the burden hours are made solely for the purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even a representative survey or study of the costs of SEC rules and forms. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 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 to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: October 5, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–25090 Filed 10–11–12; 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: Form N–8B–2. SEC File No. 270–186, OMB Control No. 3235–0186. 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 (‘‘OMB’’) a request for extension of the previously approved collection of information discussed below. Form N–8B–2 (17 CFR 274.12) is the form used by unit investment trusts (‘‘UITs’’) other than separate accounts that are currently issuing securities, including UITs that are issuers of periodic payment plan certificates and UITs of which a management investment company is the sponsor or depositor, to comply with the filing and disclosure requirements imposed by section 8(b) of the Investment Company Act of 1940 (15 U.S.C. 80a–8(b)). Form N–8B–2 requires disclosure about the organization of a UIT, its securities, the personnel and affiliated persons of the depositor, the distribution and E:\FR\FM\12OCN1.SGM 12OCN1 wreier-aviles on DSK5TPTVN1PROD with NOTICES Federal Register / Vol. 77, No. 198 / Friday, October 12, 2012 / Notices redemption of securities, the trustee or custodian, and financial statements. The Commission uses the information provided in the collection of information to determine compliance with section 8(b) of the Investment Company Act. Based on the Commission’s industry statistics, the Commission estimates that there would be approximately two initial filings on Form N–8B–2 and 6 post-effective amendment filings to the Form annually. The Commission estimates that each registrant filing an initial Form N–8B–2 would spend 10 hours in preparing and filing the Form and that the total hour burden for all initial Form N–8B–2 filings would be 20 hours. Also, the Commission estimates that each UIT filing a post-effective amendment to Form N–8B–2 would spend 6 hours in preparing and filing the amendment and that the total hour burden for all post-effective amendments to the Form would be 36 hours. By combining the total hour burdens estimated for initial Form N– 8B–2 filings and post-effective amendments filings to the Form, the Commission estimates that the total annual burden hours for all registrants on Form N–8B–2 would be 56. Estimates of the burden hours are made solely for the purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even a representative survey or study of the costs of SEC rules and forms. The information provided on Form N–8B–2 is mandatory. The information provided on Form N–8B–2 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 to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. VerDate Mar<15>2010 13:59 Oct 11, 2012 Jkt 229001 Dated: October 5, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–25091 Filed 10–11–12; 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: Interactive Data; SEC File No. 270–330, OMB Control No. 3235–0645. 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’’) this request for extension of the previously approved collection of information discussed below. The ‘‘Interactive Data’’ collection of information requires issuers filing registration statements under the Securities Act of 1933 (15 U.S.C. 77a et seq.) and reports under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) to submit specified financial information to the Commission and post it on their corporate Web sites, if any, in interactive data format using eXtensible Business Reporting Language (XBRL). This collection of information is located primarily in registration statement and report exhibit provisions, which require interactive data, and Rule 405 of Regulation S–T (17 CFR 232.405), which specifies how to submit and post interactive data. The exhibit provisions are in Item 601(b)(101) of Regulation S– K (17 CFR 229.601(b)(101)), Forms F–9 and F–10 under the Securities Act (17 CFR 239.39 and 17 CFR 239.40) and Forms 20–F, 40–F and 6–K under the Exchange Act (17 CFR 249.220f, 17 CFR 249.240f and 17 CFR 249.306). In interactive data format, financial statement information could be downloaded directly into spreedsheets and analyzed in a variety of ways using commercial off-the-shelf software. The specified financial information already is and will continue to be required to be submitted to the Commission in traditional format under existing requirements. The purpose of the interactive data requirement is to make financial information easier for investors to analyze and assist issuers in automating regulatory filings and PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 62273 business information processing. We estimate that 10,229 respondents per year will each submit an average of 4.5 reponses per year for an estimated total of 46,031 responses. We further estimate an internal burden of 59 hours per response for a total annual internal burden of 2,715,829 hours (59 hours per response × 46,031 responses). 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 to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: October 5, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–25092 Filed 10–11–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–67982; File No. SR–CME– 2012–30] Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With CFTC Part 22 Regulations October 4, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on September 21, 2012, Chicago Mercantile Exchange Inc. (‘‘CME’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change described in Items I and II below, which Items have been prepared primarily by CME. The Commission is 1 15 2 17 E:\FR\FM\12OCN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 12OCN1

Agencies

[Federal Register Volume 77, Number 198 (Friday, October 12, 2012)]
[Notices]
[Pages 62272-62273]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-25091]


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

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: Form N-8B-2.
    SEC File No. 270-186, OMB Control No. 3235-0186.

    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 (``OMB'') a request for extension of the 
previously approved collection of information discussed below.
    Form N-8B-2 (17 CFR 274.12) is the form used by unit investment 
trusts (``UITs'') other than separate accounts that are currently 
issuing securities, including UITs that are issuers of periodic payment 
plan certificates and UITs of which a management investment company is 
the sponsor or depositor, to comply with the filing and disclosure 
requirements imposed by section 8(b) of the Investment Company Act of 
1940 (15 U.S.C. 80a-8(b)). Form N-8B-2 requires disclosure about the 
organization of a UIT, its securities, the personnel and affiliated 
persons of the depositor, the distribution and

[[Page 62273]]

redemption of securities, the trustee or custodian, and financial 
statements. The Commission uses the information provided in the 
collection of information to determine compliance with section 8(b) of 
the Investment Company Act.
    Based on the Commission's industry statistics, the Commission 
estimates that there would be approximately two initial filings on Form 
N-8B-2 and 6 post-effective amendment filings to the Form annually. The 
Commission estimates that each registrant filing an initial Form N-8B-2 
would spend 10 hours in preparing and filing the Form and that the 
total hour burden for all initial Form N-8B-2 filings would be 20 
hours. Also, the Commission estimates that each UIT filing a post-
effective amendment to Form N-8B-2 would spend 6 hours in preparing and 
filing the amendment and that the total hour burden for all post-
effective amendments to the Form would be 36 hours. By combining the 
total hour burdens estimated for initial Form N-8B-2 filings and post-
effective amendments filings to the Form, the Commission estimates that 
the total annual burden hours for all registrants on Form N-8B-2 would 
be 56. Estimates of the burden hours are made solely for the purposes 
of the Paperwork Reduction Act, and are not derived from a 
comprehensive or even a representative survey or study of the costs of 
SEC rules and forms.
    The information provided on Form N-8B-2 is mandatory. The 
information provided on Form N-8B-2 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 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: October 5, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-25091 Filed 10-11-12; 8:45 am]
BILLING CODE 8011-01-P
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