Proposed Collection; Comment Request, 2699-2700 [2013-00520]

Download as PDF Federal Register / Vol. 78, No. 9 / Monday, January 14, 2013 / Notices Compliance with the collection of information requirements of the rule is necessary to obtain the benefit of relying on the rule. 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 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, 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: January 8, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–00518 Filed 1–11–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [OMB Control No. 3235–0307, SEC File No. 270–21] 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 Extension: Form N–1A. 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 extension of the previously approved collection of information discussed below. Form N–1A (17 CFR 239.15A and 274.11A) is the form used by open-end management investment companies (‘‘funds’’) under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) (‘‘Investment Company Act’’) and/or to register their securities under the Securities Act of 1933 (15 U.S.C. 77a et seq.) (‘‘Securities Act’’). Section 5 of VerDate Mar<15>2010 16:53 Jan 11, 2013 Jkt 229001 the Securities Act (15 U.S.C. 77e) requires the filing of a registration statement prior to the offer of securities to the public and that the statement be effective before any securities are sold, and Section 8 of the Investment Company Act (15 U.S.C. 80a–8) requires a fund to register as an investment company. Form N–1A also permits funds to provide investors with a prospectus and a statement of additional information (‘‘SAI’’) covering essential information about the fund when it makes an initial or additional offering of its securities. Section 5(b) of the Securities Act requires that investors be provided with a prospectus containing the information required in a registration statement prior to the sale or at the time of confirmation or delivery of the securities. The form also may be used by the Commission in its regulatory review, inspection, and policy-making roles. The Commission estimates that there are 48 initial registration statements and 5,642 post-effective amendments to initial registration statements filed on Form N–1A annually and that the average number of portfolios referenced in initial registration statements is 7.5, and the average number of portfolios referenced in post-effective amendment is 1.7. The Commission further estimates that the hour burden for preparing and filing a post-effective amendment on Form N–1A is 133.75 hours per portfolio. The total annual hour burden for preparing and filing post-effective amendments is 1,279,720 hours (5,642 post-effective amendments × 133.75 hours per portfolio). The estimated annual hour burden for preparing and filing initial registration statements is 298,969 hours (48 initial registration statements × 830.47 hours per portfolio). The total annual hour burden for Form N–1A, therefore, is estimated to be 1,578,689 hours (1,279,720 hours + 298,969 hours). The information collection requirements imposed by Form N–1A are mandatory. Responses to the collection of information 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 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, PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 2699 or by sending an email to: Shagufta_Ahmed@omb.eop.gov; and (ii) Thomas Bayer, 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: January 8, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–00519 Filed 1–11–13; 8:45 am] BILLING CODE 8011–01–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’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. 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 E:\FR\FM\14JAN1.SGM 14JAN1 mstockstill on DSK4VPTVN1PROD with 2700 Federal Register / Vol. 78, No. 9 / Monday, January 14, 2013 / Notices 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. 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, 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. VerDate Mar<15>2010 16:53 Jan 11, 2013 Jkt 229001 Dated: January 8, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–00520 Filed 1–11–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30345; File No. 812–13895] First Trust Exchange-Traded Fund, et al.; Notice of Application January 8, 2013. Securities and Exchange Commission (‘‘Commission’’). ACTION: Notice of an application for an order under section 12(d)(1)(J) of the Investment Company Act of 1940 (the ‘‘1940 Act’’) for exemptions from sections 12(d)(1)(A), (B), and (C) of the 1940 Act, under sections 6(c) and 17(b) of the 1940 Act for an exemption from section 17(a) of the 1940 Act, and under section 6(c) of the 1940 Act for an exemption from rule 12d1–2(a) under the 1940 Act. AGENCY: SUMMARY OF THE APPLICATION: Applicants request an order that would (a) permit certain registered open-end management investment companies that operate as ‘‘funds of funds’’ to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, ‘‘business development companies,’’ as defined by section 2(a)(48) of the 1940 Act, and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open-end management investment companies relying on rule 12d1–2 under the 1940 Act to invest in certain financial instruments. APPLICANTS: First Trust ExchangeTraded Fund, First Trust ExchangeTraded Fund II, First Trust ExchangeTraded Fund III, First Trust ExchangeTraded Fund IV, First Trust ExchangeTraded Fund V, First Trust ExchangeTraded Fund VI, First Trust ExchangeTraded Fund VII, First Trust ExchangeTraded AlphaDEX Fund and First Trust Exchange-Traded AlphaDEX Fund II (each an ‘‘ETF Trust’’), First Trust Series Fund (the ‘‘Series Trust’’), First Defined Portfolio Fund, LLC (‘‘First Defined’’), First Trust Variable Insurance Trust (‘‘Variable Insurance Trust’’ and, together with First Defined, the Series Trust and the ETF Trusts, the ‘‘Acquiring Companies’’), First Trust PO 00000 Frm 00046 Fmt 4703 Sfmt 4703 Advisors L.P. (the ‘‘Advisor’’) and First Trust Portfolios L.P. (the ‘‘Distributor’’). FILING DATES: The application was filed on April 29, 2011, and amended on October 21, 2011, May 18, 2012, September 14, 2012, and January 3, 2013. HEARING OR NOTIFICATION OF HEARING: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission’s Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on February 4, 2013, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer’s interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission’s Secretary. ADDRESSES: Elizabeth M. Murphy, Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. Applicants, 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187. FOR FURTHER INFORMATION CONTACT: Jill Ehrlich, Senior Counsel, at (202) 551– 6819, or David P. Bartels, Branch Chief, at (202) 551–6821 (Division of Investment Management, Office of Investment Company Regulation). SUPPLEMENTARY INFORMATION: The following is a summary of the application. The complete application may be obtained via the Commission’s Web site by searching for the file number, or for an applicant using the ‘‘Company’’ name box, at http:// www.sec.gov/search/search.htm or by calling (202) 551–8090. Applicants’ Representations 1. Each Acquiring Company other than First Defined was organized as a Massachusetts business trust, and each Fund (as defined below) will pursue its own investment objective(s) and strategies.1 Each Acquiring Company is 1 Shares of series of the Variable Insurance Trust and interests in series of First Defined, which is organized as a Delaware limited liability company, are not offered directly to the public. Shares of series of the Variable Insurance Trust are offered to separate accounts that are registered as investment companies under the 1940 Act (‘‘Registered Separate Accounts’’) or that are not registered under the 1940 Act (‘‘Unregistered Separate Accounts,’’ collectively with Registered Separate Accounts, ‘‘Separate Accounts’’) of affiliated and unaffiliated insurance companies as the underlying investment vehicles for the variable life insurance and variable E:\FR\FM\14JAN1.SGM 14JAN1

Agencies

[Federal Register Volume 78, Number 9 (Monday, January 14, 2013)]
[Notices]
[Pages 2699-2700]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-00520]


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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'') has submitted to the Office of 
Management and Budget a request for extension of the previously 
approved collection of information discussed below.
    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

[[Page 2700]]

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.
    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, 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: January 8, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-00520 Filed 1-11-13; 8:45 am]
BILLING CODE 8011-01-P