Notice of Sunshine Act Meeting, 9749 [2013-03072]
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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
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14:26 Feb 08, 2013
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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
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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
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[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: 2013-03072]
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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 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
