Proposed Collection; Comment Request, 6362 [2013-01938]
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Federal Register / Vol. 78, No. 20 / Wednesday, January 30, 2013 / Notices
mstockstill on DSK4VPTVN1PROD with
reviewing and documenting their
safeguard policies and procedures. We
expect that virtually all of the newly
registered covered entities that do not
have an affiliate are likely to be small
entities and are likely to have smaller
and less complex operations, with a
correspondingly smaller set of safeguard
policies and procedures to document,
compared to other larger existing
institutions with multiple affiliates. We
estimate that it will take a typical newly
registered unaffiliated institution
approximately 60 hours to review,
identify, and document their safeguard
policies and procedures, for a total of
27,000 hours for all newly registered
unaffiliated entities.
Therefore, we estimate that the total
annual hourly burden associated with
the safeguards rule is 42,750 hours. We
also estimate that all covered
institutions will be respondents each
year, for a total of 20,556 respondents.
These estimates of average burden
hours are made solely for the purposes
of the Paperwork Reduction Act. 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 safeguard rule does not
require the reporting of any information
or the filing of any documents with the
Commission. The collection of
information required by the safeguard
rule is mandatory.
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 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, 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.
Dated: January 24, 2013.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–01936 Filed 1–29–13; 8:45 am]
BILLING CODE 8011–01–P
VerDate Mar<15>2010
20:43 Jan 29, 2013
Jkt 229001
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 N–8F; OMB Control No. 3235–0157,
SEC File No. 270–136.
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.
Form N–8F (17 CFR 274.218) is the
form prescribed for use by registered
investment companies in certain
circumstances to request orders of the
Commission declaring that the
registration of that investment company
cease to be in effect. The form requests
information about: (i) The investment
company’s identity, (ii) the investment
company’s distributions, (iii) the
investment company’s assets and
liabilities, (iv) the events leading to the
request to deregister, and (v) the
conclusion of the investment company’s
business. The information is needed by
the Commission to determine whether
an order of deregistration is appropriate.
The Form takes approximately 5.5
hours on average to complete. It is
estimated that approximately 142
investment companies file Form N–8F
annually, so the total annual burden for
the form is estimated to be
approximately 781 hours. The estimate
of average burden hours is made solely
for the purposes of the Paperwork
Reduction Act and is not derived from
a comprehensive or even a
representative survey or study.
The collection of information on Form
N–8F is not mandatory. The information
provided on Form N–8F 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 requested on:
(i) Whether the collections of
information are necessary for the proper
performance of the functions of the
Commission, including whether the
information has practical utility; (ii) the
PO 00000
Frm 00074
Fmt 4703
Sfmt 4703
accuracy of the Commission’s estimate
of the burdens of the collection of
information; (iii) ways to enhance the
quality, utility, and clarity of the
information collected; and (iv) 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.
Please direct your written comments
to 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.
Dated: January 24, 2013.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–01938 Filed 1–29–13; 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:
Rule 17j–1; OMB Control No. 3235–0224,
SEC File No. 270–239.
Notice is hereby given that, pursuant to the
Paperwork Reduction Act of 1995 (44 U.S.C.
350l–3520), 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.
Conflicts of interest between investment
company personnel (such as portfolio
managers) and their funds can arise when
these persons buy and sell securities for their
own accounts (‘‘personal investment
activities’’). These conflicts arise because
fund personnel have the opportunity to profit
from information about fund transactions,
often to the detriment of fund investors.
Beginning in the early 1960s, Congress and
the Securities and Exchange Commission
(‘‘Commission’’) sought to devise a regulatory
scheme to effectively address these potential
conflicts. These efforts culminated in the
addition of section 17(j) to the Investment
Company Act of 1940 (the ‘‘Investment
Company Act’’) (15 U.S.C. 80a–17(j)) in 1970
and the adoption by the Commission of rule
17j–1 (17 CFR 270.17j–1) in 1980.1 The
1 Prevention of Certain Unlawful Activities with
Respect to Registered Investment Companies,
E:\FR\FM\30JAN1.SGM
30JAN1
]]>Agencies
[Federal Register Volume 78, Number 20 (Wednesday, January 30, 2013)]
[Notices]
[Page 6362]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-01938]
-----------------------------------------------------------------------
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 N-8F; OMB Control No. 3235-0157, SEC File No. 270-136.
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.
Form N-8F (17 CFR 274.218) is the form prescribed for use by
registered investment companies in certain circumstances to request
orders of the Commission declaring that the registration of that
investment company cease to be in effect. The form requests information
about: (i) The investment company's identity, (ii) the investment
company's distributions, (iii) the investment company's assets and
liabilities, (iv) the events leading to the request to deregister, and
(v) the conclusion of the investment company's business. The
information is needed by the Commission to determine whether an order
of deregistration is appropriate.
The Form takes approximately 5.5 hours on average to complete. It
is estimated that approximately 142 investment companies file Form N-8F
annually, so the total annual burden for the form is estimated to be
approximately 781 hours. The estimate of average burden hours is made
solely for the purposes of the Paperwork Reduction Act and is not
derived from a comprehensive or even a representative survey or study.
The collection of information on Form N-8F is not mandatory. The
information provided on Form N-8F 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 requested on: (i) Whether the collections of
information are necessary for the proper performance of the functions
of the Commission, including whether the information has practical
utility; (ii) the accuracy of the Commission's estimate of the burdens
of the collection of information; (iii) ways to enhance the quality,
utility, and clarity of the information collected; and (iv) 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.
Please direct your written comments to 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.
Dated: January 24, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-01938 Filed 1-29-13; 8:45 am]
BILLING CODE 8011-01-P
