Submission for OMB Review; Comment Request, 42987 [2013-17180]

Download as PDF Federal Register / Vol. 78, No. 138 / Thursday, July 18, 2013 / Notices U.S. Office of Personnel Management. Elaine Kaplan, Acting Director. [FR Doc. 2013–17238 Filed 7–17–13; 8:45 am] BILLING CODE 6325–38–P SECURITIES AND EXCHANGE COMMISSION TKELLEY on DSK3SPTVN1PROD 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: Securities Rule 477; OMB Control No. 3235–0550, SEC File No. 270–493. 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 this request for extension of the previously approved collection of information discussed below. Rule 477 (17 CFR 230.477) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) sets forth procedures for withdrawing a registration statement, including any amendments or exhibits to the registration statement. The rule provides that if an issuer intends to rely on the safe harbor contained in Securities Act Rule 155 to conduct an unregistered private offering of securities, the issuer must affirmatively state in the withdrawal application that it plans to undertake a subsequent private offering of its securities. Without this statement, the Commission would not be able to monitor a company’s reliance on, and compliance with, Securities Act Rule 155(c). All information submitted to the Commission under Securities Act Rule 477 is available to the public for review. Information provided under Securities Act Rule 477 is mandatory. The information is required on occasion. We estimate that approximately 300 issuers will file Securities Act Rule 477 submissions annually at an estimated one hour per response for a total annual burden of approximately 300 hours. We estimate that 100% of the reporting burden is prepared by the issuer. 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 VerDate Mar<15>2010 17:20 Jul 17, 2013 Jkt 229001 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, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE., Washington, DC 20549 or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: July 12, 2013. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–17179 Filed 7–17–13; 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 155. OMB Control No. 3235–0549, SEC File No. 270–492. 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 this request for extension of the previously approved collection of information discussed below. Rule 155 (17 CFR 230.155) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) provides safe harbors for a registered offering of securities following an abandoned private offering, or a private offering following an abandoned a registered offering, without integrating the registered and private offerings in either case. In connection with registered offering following an abandoned private offering, Rule 155 requires an issuer to include in any prospectus filed as a part of a registration statement disclosure regarding the abandoned private offering. Similarly, the rule requires an issuer to provide each offeree in a private offering following an abandoned registered offering with: (1) Information concerning the withdrawal of the PO 00000 Frm 00060 Fmt 4703 Sfmt 9990 42987 registration statement; (2) the fact that the private offering is unregistered; and (3) the legal implications of the offering’s unregistered status. All information submitted to the Commission is available to the public for review. Companies only need to satisfy the Rule 155 information requirements if they wish to take advantage of the rule’s safe harbors. The Rule 155 information is required only on occasion. We estimate Rule 155 takes approximately 4 hours per response to prepare and is filed by 600 respondents annually. We estimate that 50% of the 4 hours per response (2 hours per response) is prepared by the filer for a total annual reporting burden of 1,200 hours (2 hours per response × 600 responses). 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, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE., Washington, DC 20549 or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: July 12, 2013. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–17180 Filed 7–17–13; 8:45 am] BILLING CODE 8011–01–P E:\FR\FM\18JYN1.SGM 18JYN1

Agencies

[Federal Register Volume 78, Number 138 (Thursday, July 18, 2013)]
[Notices]
[Page 42987]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-17180]


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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 155. OMB Control No. 3235-0549, SEC File No. 270-492.

    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 this request for extension of the previously approved 
collection of information discussed below.
    Rule 155 (17 CFR 230.155) under the Securities Act of 1933 (15 
U.S.C. 77a et seq.) provides safe harbors for a registered offering of 
securities following an abandoned private offering, or a private 
offering following an abandoned a registered offering, without 
integrating the registered and private offerings in either case. In 
connection with registered offering following an abandoned private 
offering, Rule 155 requires an issuer to include in any prospectus 
filed as a part of a registration statement disclosure regarding the 
abandoned private offering. Similarly, the rule requires an issuer to 
provide each offeree in a private offering following an abandoned 
registered offering with: (1) Information concerning the withdrawal of 
the registration statement; (2) the fact that the private offering is 
unregistered; and (3) the legal implications of the offering's 
unregistered status. All information submitted to the Commission is 
available to the public for review. Companies only need to satisfy the 
Rule 155 information requirements if they wish to take advantage of the 
rule's safe harbors. The Rule 155 information is required only on 
occasion. We estimate Rule 155 takes approximately 4 hours per response 
to prepare and is filed by 600 respondents annually. We estimate that 
50% of the 4 hours per response (2 hours per response) is prepared by 
the filer for a total annual reporting burden of 1,200 hours (2 hours 
per response x 600 responses).
    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, Director/Chief Information 
Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 
F Street NE., Washington, DC 20549 or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of 
this notice.

    Dated: July 12, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-17180 Filed 7-17-13; 8:45 am]
BILLING CODE 8011-01-P
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