Submission for OMB Review; Comment Request, 9749 [2013-02954]

Download as PDF Federal Register / Vol. 78, No. 28 / Monday, February 11, 2013 / Notices By the Commission. Shoshana M. Grove, Secretary. [FR Doc. 2013–02963 Filed 2–8–13; 8:45 am] BILLING CODE 7710–FW–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–149, OMB Control No. 3235–0130] erowe on DSK2VPTVN1PROD with NOTICES 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 17Ad–2(c), (d), and (h). 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) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of extension of the previously approved 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.). 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 these transfer agents qualify as small entities under Exchange Act Rule 0.10, 17 CFR 240.0.10 and are thereby exempted from Rule 17Ad–2(c), (d), and (h), leaving approximately 361 transfer agents subject to the rule. Each of these transfer agents annually files about five notices pursuant to Rule 17Ad–2(c), (d), and (h), for an industry-wide total of 1,805 notices per year (361 × 5). The estimated annual cost of these filings to respondents is minimal 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); and (b) the summary fashion in which such information must be presented in the notice (most notices are one page or less in length). In light of the above, and based on the experience of the staff regarding the notices, the Commission VerDate Mar<15>2010 14:26 Feb 08, 2013 Jkt 229001 staff estimates that, on average, most notices require approximately one-half hour to prepare. Thus, the Commission staff estimates that each transfer agent 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 × 2.5). The retention period for the recordkeeping requirement under Rule 17Ad–2(c), (d), and (h) is not less than two years following the date the notice is submitted. The recordkeeping requirement under this rule is mandatory to assist the Commission in monitoring transfer agents who fail to meet the minimum performance standards set by the Commission rule. This rule does not involve the collection of confidential information. A transfer agent is not required to file under the rule unless it does not meet the minimum performance standards for turnaround, processing or forwarding items received for transfer during a month. 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. Background documentation for this information collection may be viewed 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: February 5, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–02954 Filed 2–8–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Notice of Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 9749 the Securities and Exchange Commission will hold an Open Meeting on Wednesday, February 13, 2013 at 10:00 a.m., in the Auditorium, Room L– 002. The subject matter of the Open Meeting will be: The Commission will consider whether to approve the 2013 budget of the Public Company Accounting Oversight Board and will consider the related annual accounting support fee for the Board under Section 109 of the Sarbanes-Oxley Act of 2002. 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. Dated: February 6, 2013. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–03072 Filed 2–7–13; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–68830; File No. SR–EDGA– 2013–03] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule February 5, 2013. 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 January 30, 2013, EDGA Exchange, Inc. (the ‘‘Exchange’’ or ‘‘EDGA’’) 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 self-regulatory organization. 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 Substance of the Proposed Rule Change The Exchange proposes to amend its fees and rebates applicable to Members 3 and non-Members of the Exchange pursuant to EDGA Rule 15.1(a) and (c). All of the changes described herein are 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 As defined in Exchange Rule 1.5(n). 2 17 E:\FR\FM\11FEN1.SGM 11FEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 78, Number 28 (Monday, February 11, 2013)]
[Notices]
[Page 9749]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-02954]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-149, OMB Control No. 3235-0130]


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 17Ad-2(c), (d), and (h).

    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) has submitted to the Office of Management and 
Budget (``OMB'') a request for approval of extension of the previously 
approved 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.).
    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 these transfer agents qualify as small entities 
under Exchange Act Rule 0.10, 17 CFR 240.0.10 and are thereby exempted 
from Rule 17Ad-2(c), (d), and (h), leaving approximately 361 transfer 
agents subject to the rule. Each of these transfer agents annually 
files about 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). The 
estimated annual cost of these filings to respondents is minimal 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); and (b) the 
summary fashion in which such information must be presented in the 
notice (most notices are one page or less in length). In light of the 
above, and based on the experience of the staff regarding the notices, 
the Commission staff estimates that, on average, most notices require 
approximately one-half hour to prepare. Thus, the Commission staff 
estimates that each transfer agent 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).
    The retention period for the recordkeeping requirement under Rule 
17Ad-2(c), (d), and (h) is not less than two years following the date 
the notice is submitted. The recordkeeping requirement under this rule 
is mandatory to assist the Commission in monitoring transfer agents who 
fail to meet the minimum performance standards set by the Commission 
rule. This rule does not involve the collection of confidential 
information. A transfer agent is not required to file under the rule 
unless it does not meet the minimum performance standards for 
turnaround, processing or forwarding items received for transfer during 
a month.
    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.
    Background documentation for this information collection may be 
viewed 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: February 5, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-02954 Filed 2-8-13; 8:45 am]
BILLING CODE 8011-01-P

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