Proposed Collection; Comment Request, 65233-65234 [2012-26254]

Download as PDF Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices contribution toward the requisite 5.5 percent of the Postal Service’s total institutional costs. Id. Attachment D at 1. Mr. Nicoski contends that there will be no issue of market dominant products subsidizing competitive products as a result of this contract. Id. Related contract. The Postal Service included a redacted version of the related contract with the Request. Id. Attachment B. The contract is scheduled to become effective on the day after the date that the Commission issues all regulatory approvals. Id. at 4. The contract will expire 3 years from the effective date unless, among other things, either party terminates the agreement upon 30 days’ written notice to the other party. Id. The Postal Service represents that the contract is consistent with 39 U.S.C. 3633(a). Id. Attachment D. The Postal Service filed much of the supporting materials, including the related contract, under seal. Id. Attachment F. It maintains that the redacted portions of the contract, customer-identifying information, and related financial information, should remain confidential. Id. at 3. This information includes the price structure, underlying costs and assumptions, pricing formulas, information relevant to the customer’s mailing profile, and cost coverage projections. Id. The Postal Service asks the Commission to protect customer-identifying information from public disclosure indefinitely. Id. at 7. erowe on DSK2VPTVN1PROD with II. Notice of Filings The Commission establishes Docket Nos. MC2013–7 and CP2013–7 to consider the Request pertaining to the proposed Priority Mail Contract 47 product and the related contract, respectively. Interested persons may submit comments on whether the Postal Service’s filings in the captioned dockets are consistent with the policies of 39 U.S.C. 3632, 3633, or 3642, 39 CFR 3015.5, and 39 CFR part 3020, subpart B. Comments are due no later than October 30, 2012. The public portions of these filings can be accessed via the Commission’s Web site (https:// www.prc.gov). The Commission appoints James F. Callow to serve as Public Representative in these dockets. III. Ordering Paragraphs It is ordered: 1. The Commission establishes Docket Nos. MC2013–7 and CP2013–7 to consider the matters raised in each docket. 2. Pursuant to 39 U.S.C. 505, James F. Callow is appointed to serve as an VerDate Mar<15>2010 12:06 Oct 24, 2012 Jkt 229001 officer of the Commission (Public Representative) to represent the interests of the general public in these proceedings. 3. Comments by interested persons in these proceedings are due no later than October 30, 2012. 4. The Secretary shall arrange for publication of this order in the Federal Register. By the Commission. Ruth Ann Abrams, Acting Secretary. [FR Doc. 2012–26252 Filed 10–24–12; 8:45 am] BILLING CODE 7710–FW–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copy Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Form N–8A; OMB Control No. 3235–0175, File No. 270– 135. 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’’) 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 and Budget for extension and approval. The Investment Company Act of 1940, as amended (‘‘1940 Act’’) (15 U.S.C. 80a–1 et seq.), requires investment companies to register with the Commission before they conduct any business in interstate commerce. Section 8(a) of the 1940 Act provides that an investment company shall be deemed to be registered upon receipt by the Commission of a notification of registration in such form as the Commission prescribes. Form N–8A (17 CFR 274.10) is the form for notification of registration that the Commission has adopted under section 8(a). The purpose of such notification of registration provided on Form N–8A is to notify the Commission of the existence of investment companies required to be registered under the 1940 Act and to enable the Commission to administer the provisions of the 1940 Act with respect to those companies. After an investment company has filed its notification of registration under section 8(a), the company is then subject to the PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 65233 provisions of the 1940 Act which govern certain aspects of its organization and activities, such as the composition of its board of directors and the issuance of senior securities. Form N–8A requires an investment company to provide its name, state of organization, form of organization, classification, the name and address of each investment adviser of the investment company, the current value of its total assets and certain other information readily available to the investment company. If the investment company is filing a registration statement as required by Section 8(b) of the 1940 Act concurrently with its notification of registration, Form N–8A requires only that the registrant file the cover page (giving its name, address and agent for service of process) and sign the form in order to effect registration. Each year approximately 130 investment companies file a notification on Form N–8A, which is required to be filed only once by an investment company. The Commission estimates that preparing Form N–8A requires an investment company to spend approximately 1 hour so that the total burden of preparing Form N–8A for all affected investment companies is 130 hours. Estimates of average 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 Commission rules and forms. The collection of information on Form N–8A is mandatory. The information provided on Form N–8A is not 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. Written comments are invited on: (a) Whether the 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 of 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 collection of information on respondents, including through 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, Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, E:\FR\FM\25OCN1.SGM 25OCN1 65234 Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices 6432 General Green Way, Alexandria, VA 22312; or send an email to: PRA_Mailbox@sec.gov. Dated: October 19, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–26254 Filed 10–24–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IA–3490; October 19, 2012] Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to the Investment Advisers Act of 1940 Notice is given that the Securities and Exchange Commission (the ‘‘Commission’’) intends to issue an order or orders, pursuant to Section 203(h) of the Investment Advisers Act of 1940 (the ‘‘Act’’), cancelling the registrations of the investment advisers whose names appear in the attached Appendix, hereinafter referred to as the registrants. erowe on DSK2VPTVN1PROD with Background On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’) which, among other things, amended certain provisions of the Act.1 These amendments included provisions that delegate generally to the states regulatory responsibility over certain mid-sized advisers—i.e., those that have between $25 million and $100 million of assets under management.2 These provisions and related rule amendments required a significant number of advisers registered with the Commission to withdraw their registrations with the Commission and to switch to registration with one or more state securities authorities.3 To implement the division of regulatory responsibility mandated by the Dodd-Frank Act, the Commission 1 Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111–203, 124 Stat. 1376 (2010). 2 See section 410 of the Dodd-Frank Act; 15 U.S.C. 80b–3a. 3 For example, section 410 of the Dodd-Frank Act required mid-sized advisers to register with the states: (i) if the adviser is required to be registered as an investment adviser with the securities commissioner of the state in which it maintains its principal office and place of business; and (ii) if registered with that state, the adviser would be subject to examination as an investment adviser by that securities commissioner. 15 U.S.C. 80b– 3a(a)(2). The Commission also amended certain exemptions from the prohibition on Commission registration that were previously adopted under section 203A of the Act. See 17 CFR 275.203a–2. VerDate Mar<15>2010 12:06 Oct 24, 2012 Jkt 229001 adopted rule 203A–5 under the Act.4 Rule 203A–5 required each investment adviser registered with the Commission to file an amended Form ADV in the first quarter of 2012 indicating whether it remained eligible for registration by the Commission. The rule also extended until June 28, 2012 the deadline for advisers no longer eligible for Commission registration to register with the states and withdraw registration with the Commission.5 In conjunction with adopting rule 203A–5 and other rules to implement the Dodd-Frank Act, the Commission stated that it expected to cancel the registration of advisers no longer eligible to register with the Commission that failed to file an amendment or withdraw their registrations in accordance with rule 203A–5.6 Discussion Section 203(h) of the Act provides, in pertinent part, that if the Commission finds that any person registered under Section 203, or who has pending an application for registration filed under that section, is no longer in existence, is not engaged in business as an investment adviser, or is prohibited from registering as an investment adviser under section 203A, the Commission shall by order, cancel the registration of such person.7 Commission staff, in coordination with state securities regulators, contacted SEC-registered investment advisers before and after the filing deadlines to remind them of their filing obligations under rule 203A–5 and to withdraw from Commission registration by filing Form ADV–W if no longer eligible. The registrants listed in the Appendix either have not filed a Form ADV amendment with the Commission in 2012, or have indicated on Form ADV that they are no longer eligible to remain registered with the Commission as investment advisers but have not filed Form ADV–W to withdraw their registration. Accordingly, the Commission believes that reasonable grounds exist for a finding that these registrants are no longer in existence, are not engaged in business as investment advisers, or are prohibited from registering as investment advisers under section 203A, and that their registrations should be cancelled pursuant to section 203(h) of the Act. 4 17 CFR 275.203a–5. 17 CFR 275.203a–5(b), (c). 6 Rules Implementing Amendments to the Investment Advisers Act of 1940, Investment Advisers Act Rel. No. 3221, at 15 (Jun. 22, 2012) [76 FR 42950, 42953–42954 (Jul. 19, 2011)]. 7 15 U.S.C. 80b–3(h). 5 See PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 Any registrant listed in the Appendix that wishes to file a Form ADV amendment indicating that it is eligible for registration or a Form ADV–W to withdraw its registration with the Commission may do so by December 17, 2012. The registrations of registrants whose amended Form ADVs are received by the Commission by December 17, 2012 will not be cancelled, and the registrations of registrants that file Form ADV–W will be withdrawn and will not be cancelled by a Commission order or orders. For more information or for questions about the inclusion of a registrant on this list, contact: Jennifer Porter, Senior Counsel or Melissa Roverts, Branch Chief at (202) 551–6787 (Division of Investment Management, Office of Investment Adviser Regulation). Notice is also given that any interested person may, by December 17, 2012, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation of a registrant, accompanied by a statement as to the nature of his interest, the reason for such request, and the issues, if any, of fact or law proposed to be controverted, and he may request that he be notified if the Commission should order a hearing thereon. Any such communication should be addressed: Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. At any time after December 17, 2012, the Commission may issue an order or orders cancelling the registrations of any or all of the registrants listed in the Appendix, upon the basis of the information stated above, unless an order or orders for a hearing on the cancellation shall be issued upon request or upon the Commission’s own motion. Persons who requested a hearing, or to be advised as to whether a hearing is ordered, will receive any notices and orders issued in this matter, including the date of the hearing (if ordered) and any postponements thereof. By the Commission. Elizabeth M. Murphy, Secretary. Appendix 801–68570 12 METER MANAGEMENT, LP 801–72955 3SISTERS SUSTAINABLE MANAGEMENT, LLC 801–71854 ACCESS GLOBAL ADVISORS 801–70973 ADVANCED FINANCIAL SOLUTIONS, INC. 801–71094 AFC ASSET MANAGEMENT SERVICES, INC. 801–67660 ALDUS CAPITAL, LLC 801–71247 ALDWYCH CAPITAL PARTNERS, LLC E:\FR\FM\25OCN1.SGM 25OCN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 77, Number 207 (Thursday, October 25, 2012)]
[Notices]
[Pages 65233-65234]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-26254]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copy Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension: Form N-8A;
    OMB Control No. 3235-0175, File No. 270-135.

    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'') 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 and Budget for extension and approval.
    The Investment Company Act of 1940, as amended (``1940 Act'') (15 
U.S.C. 80a-1 et seq.), requires investment companies to register with 
the Commission before they conduct any business in interstate commerce. 
Section 8(a) of the 1940 Act provides that an investment company shall 
be deemed to be registered upon receipt by the Commission of a 
notification of registration in such form as the Commission prescribes. 
Form N-8A (17 CFR 274.10) is the form for notification of registration 
that the Commission has adopted under section 8(a). The purpose of such 
notification of registration provided on Form N-8A is to notify the 
Commission of the existence of investment companies required to be 
registered under the 1940 Act and to enable the Commission to 
administer the provisions of the 1940 Act with respect to those 
companies. After an investment company has filed its notification of 
registration under section 8(a), the company is then subject to the 
provisions of the 1940 Act which govern certain aspects of its 
organization and activities, such as the composition of its board of 
directors and the issuance of senior securities. Form N-8A requires an 
investment company to provide its name, state of organization, form of 
organization, classification, the name and address of each investment 
adviser of the investment company, the current value of its total 
assets and certain other information readily available to the 
investment company. If the investment company is filing a registration 
statement as required by Section 8(b) of the 1940 Act concurrently with 
its notification of registration, Form N-8A requires only that the 
registrant file the cover page (giving its name, address and agent for 
service of process) and sign the form in order to effect registration.
    Each year approximately 130 investment companies file a 
notification on Form N-8A, which is required to be filed only once by 
an investment company. The Commission estimates that preparing Form N-
8A requires an investment company to spend approximately 1 hour so that 
the total burden of preparing Form N-8A for all affected investment 
companies is 130 hours. Estimates of average 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 Commission rules and forms.
    The collection of information on Form N-8A is mandatory. The 
information provided on Form N-8A is not 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.
    Written comments are invited on: (a) Whether the 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 of 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 collection of information on 
respondents, including through 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, Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon,

[[Page 65234]]

6432 General Green Way, Alexandria, VA 22312; or send an email to: 
PRA_Mailbox@sec.gov.

    Dated: October 19, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-26254 Filed 10-24-12; 8:45 am]
BILLING CODE 8011-01-P

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