Proposed Collection; Comment Request, 72893-72894 [2012-29457]

Download as PDF Federal Register / Vol. 77, No. 235 / Thursday, December 6, 2012 / Notices Dated at Rockville, Maryland, this 30th day of Nov., 2012. 72893 For the Nuclear Regulatory Commission. Annette L. Vietti-Cook, Secretary of the Commission. Attachment 1—General Target Schedule for Processing and Resolving Requests for Access to Sensitive Unclassified Non-Safeguards Information in This Proceeding Day Event/activity 0 ............... Publication of FEDERAL REGISTER notice of hearing and opportunity to petition for leave to intervene, including order with instructions for access requests. Deadline for submitting requests for access to Sensitive Unclassified Non-Safeguards Information (SUNSI) with information: supporting the standing of a potential party identified by name and address; describing the need for the information in order for the potential party to participate meaningfully in an adjudicatory proceeding. Deadline for submitting petition for intervention containing: (i) demonstration of standing; and (ii) all contentions whose formulation does not require access to SUNSI (+25 Answers to petition for intervention; +7 petitioner/requestor reply). Nuclear Regulatory Commission (NRC) staff informs the requester of the staff’s determination whether the request for access provides a reasonable basis to believe standing can be established and shows need for SUNSI. (NRC staff also informs any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information.) If NRC staff makes the finding of need for SUNSI and likelihood of standing, NRC staff begins document processing (preparation of redactions or review of redacted documents). If NRC staff finds no ‘‘need’’ or no likelihood of standing, the deadline for petitioner/requester to file a motion seeking a ruling to reverse the NRC staff’s denial of access; NRC staff files copy of access determination with the presiding officer (or Chief Administrative Judge or other designated officer, as appropriate). If NRC staff finds ‘‘need’’ for SUNSI, the deadline for any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information to file a motion seeking a ruling to reverse the NRC staff’s grant of access. Deadline for NRC staff reply to motions to reverse NRC staff determination(s). (Receipt +30) If NRC staff finds standing and need for SUNSI, deadline for NRC staff to complete information processing and file motion for Protective Order and draft Non-Disclosure Affidavit. Deadline for applicant/licensee to file Non-Disclosure Agreement for SUNSI. If access granted: issuance of presiding officer or other designated officer decision on motion for protective order for access to sensitive information (including schedule for providing access and submission of contentions) or decision reversing a final adverse determination by the NRC staff. Deadline for filing executed Non-Disclosure Affidavits. Access provided to SUNSI consistent with decision issuing the protective order. Deadline for submission of contentions whose development depends upon access to SUNSI. However, if more than 25 days remain between the petitioner’s receipt of (or access to) the information and the deadline for filing all other contentions (as established in the notice of hearing or opportunity for hearing), the petitioner may file its SUNSI contentions by that later deadline. (Contention receipt +25) Answers to contentions whose development depends upon access to SUNSI. (Answer receipt +7) Petitioner/Intervenor reply to answers. Decision on contention admission. 10 ............. 60 ............. 20 ............. 25 ............. 30 ............. 40 ............. A ............... A + 3 ........ A + 28 ...... A + 53 ...... A + 60 ...... >A + 60 .... [FR Doc. 2012–29523 Filed 12–5–12; 8:45 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. mstockstill on DSK4VPTVN1PROD with Extension: Rule 17Ad–2(c), (d), and (h), OMB Control No. 3235–0130, SEC File No. 270–149. 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’’) is soliciting comments on the existing collection of information provided for in Rule 17Ad–2(c), (d), and (h), (17 CFR 240.17Ad–2(c), (d), and VerDate Mar<15>2010 16:42 Dec 05, 2012 Jkt 229001 (h)), 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–2(c),(d), and (h) enumerates the requirements with which registered transfer agents must comply to inform the Commission or the appropriate regulator of a transfer agent’s failure to meet the minimum performance standards set by the Commission rule by filing a notice. While it is estimated there are 477 registered transfer agents, approximately 116 of this number qualify as small transfer agents under Exchange Act Rule 0.10, 17 CFR 240.010(h) and are therefore exempted from Rule 17Ad– 2(c),(d) and (h), leaving 361 transfer agents subject to the rule. Each of these transfer agents annually files approximately five notices pursuant to Rule 17Ad–2(c), (d), and (h) for an industry-wide total of 1,805 notices per PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 year (361 x 5). In view of: (a) The readily available nature of most of the information required to be included in the notice (since that information must be compiled and retained pursuant to other Commission rules); (b) the summary fashion in which such information must be presented in the notice (most notices are one page or less in length); and (c) the past experience of the staff regarding the notices, the Commission staff estimates that, on the average, most notices require approximately one-half hour to prepare. Thus, the Commission staff estimates that each of the transfer agents subject to the rule spends an average of two and a half hours per year complying with the rule for an industry-wide total of 902.5 hours per year (361 x 2.5). 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; E:\FR\FM\06DEN1.SGM 06DEN1 72894 Federal Register / Vol. 77, No. 235 / Thursday, December 6, 2012 / Notices (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 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. 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: November 30, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–29457 Filed 12–5–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: [77 FR 71845, December 4, 2012]. Closed meeting. PLACE: 100 F Street NW., Washington, DC. STATUS: DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: December 6, 2012. Deletion of Item. The following item will not be considered during the Closed Meeting on Thursday, December 6, 2012: Adjudicatory matter At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551–5400. mstockstill on DSK4VPTVN1PROD with CHANGE IN THE MEETING: Dated: December 4, 2012. Kevin M. O’Neill, Deputy Secretary. BILLING CODE 8011–01–P 16:42 Dec 05, 2012 [Release No. 34–68330; File No. SR–BATS– 2012–045] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools November 30, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on November 19, 2012, BATS Exchange, Inc. (the ‘‘Exchange’’ or ‘‘BATS’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of the Substance of the Proposed Rule Change The Exchange is filing with the Commission a proposal to expand the availability of the Exchange’s Risk Management Tool (the ‘‘Tool’’) to all Exchange Members.3 The Tool is currently available only to Members that provide sponsored access to other market participants, as described below. The text of the proposed rule change is available at the Exchange’s Web site at https://www.batstrading.com, at the principal office of the Exchange, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant parts of such statements. 1 15 [FR Doc. 2012–29617 Filed 12–4–12; 4:15 pm] VerDate Mar<15>2010 SECURITIES AND EXCHANGE COMMISSION Jkt 229001 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 A Member is any registered broker or dealer that has been admitted to membership in the Exchange. 2 17 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange defines a ‘‘Sponsored Participant’’ as a person who has entered into a sponsorship arrangement with a Sponsoring Member.4 A ‘‘Sponsoring Member’’ is defined as a broker-dealer that is a Member of the Exchange and has been designated by a Sponsored Participant to execute, clear and settle transactions occurring on the Exchange.5 Under BATS Rule 11.3(b), a Sponsoring Member may allow its customers to enter orders directly into the trading systems of the Exchange as Sponsored Participants, without the Sponsoring Member acting as an intermediary. To facilitate the ability of a Sponsoring Member to monitor and oversee the sponsored access activity of its Sponsored Participants, the Exchange offers the Sponsored Access Risk Management Tool.6 This optional service acts as a risk filter by causing the orders of Sponsored Participants to be evaluated by the Tool prior to entering the Exchange’s matching engine for execution. When a Sponsored Participant’s order is evaluated by the Tool, it determines whether the order complies with the order criteria established by the Sponsoring Member for that Sponsored Participant. The order criteria pertain to such matters as the size of the order (e.g., maximum notional value per order and maximum shares per order), the order type (e.g., pre-market, post-market, short sales and ISOs), restricted securities, easy to borrow securities, and order cut-off (e.g., block new orders and cancel all open orders). Given recent market events, the Exchange proposes to expand the availability of the Tool to all Members. As amended, the Tool can be configured by a Member to provide an Exchange offered risk management solution. Just as the use of the Tool by a Sponsoring Member does not automatically constitute compliance with Exchange Rules, the Exchange does not believe that use of the Tool can replace Member-managed risk management solutions. However, the Exchange does believe that the Tool can be a valuable 4 See BATS Rule 1.5(w). BATS Rule 1.5(x). 6 See Securities Exchange Act Release No. 60236 (July 2, 2009), 74 FR 34068 (July 14, 2009) (SR– BATS–2009–019) (notice of filing and immediate effectiveness of proposed rule change to establish a Sponsored Access Risk Management Tool). 5 See E:\FR\FM\06DEN1.SGM 06DEN1

Agencies

[Federal Register Volume 77, Number 235 (Thursday, December 6, 2012)]
[Notices]
[Pages 72893-72894]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-29457]


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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-2(c), (d), and (h), OMB Control No. 3235-0130, SEC 
File No. 270-149.

    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'') is soliciting comments on the existing 
collection of information provided for in Rule 17Ad-2(c), (d), and (h), 
(17 CFR 240.17Ad-2(c), (d), and (h)), 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-2(c),(d), and (h) enumerates the requirements with which 
registered transfer agents must comply to inform the Commission or the 
appropriate regulator of a transfer agent's failure to meet the minimum 
performance standards set by the Commission rule by filing a notice.
    While it is estimated there are 477 registered transfer agents, 
approximately 116 of this number qualify as small transfer agents under 
Exchange Act Rule 0.10, 17 CFR 240.010(h) and are therefore exempted 
from Rule 17Ad-2(c),(d) and (h), leaving 361 transfer agents subject to 
the rule. Each of these transfer agents annually files approximately 
five notices pursuant to Rule 17Ad-2(c), (d), and (h) for an industry-
wide total of 1,805 notices per year (361 x 5). In view of: (a) The 
readily available nature of most of the information required to be 
included in the notice (since that information must be compiled and 
retained pursuant to other Commission rules); (b) the summary fashion 
in which such information must be presented in the notice (most notices 
are one page or less in length); and (c) the past experience of the 
staff regarding the notices, the Commission staff estimates that, on 
the average, most notices require approximately one-half hour to 
prepare. Thus, the Commission staff estimates that each of the transfer 
agents subject to the rule spends an average of two and a half hours 
per year complying with the rule for an industry-wide total of 902.5 
hours per year (361 x 2.5).
    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;

[[Page 72894]]

(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 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.
    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: November 30, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-29457 Filed 12-5-12; 8:45 am]
BILLING CODE 8011-01-P
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