Proposed Collection; Comment Request, 60334-60335 [2013-23872]

Download as PDF 60334 Federal Register / Vol. 78, No. 190 / Tuesday, October 1, 2013 / Notices 7. Agency in which employed when the appeal, FLSA claim or complaint, compensation and leave claim, or dispute concerning the settlement of the account for a deceased Federal civilian officer or employee was filed and the approximate date of the closing of the case. 8. Kind of action (e.g., position classification appeal, job grading appeal, retained grade or pay appeal, FLSA claim, complaint, compensation and leave claim, or dispute concerning the settlement of the account for a deceased Federal civilian officer or employee). 9. The address to which the information should be sent. Individuals requesting access must also comply with OPM’s Privacy Act regulations regarding verification of identity and access to records (5 CFR 297). CONTESTING RECORD PROCEDURE: emcdonald on DSK67QTVN1PROD with NOTICES Individuals wishing to request amendment of records about them should write to the Office of Personnel Management, FOIA/PA Requester Service Center, 1900 E Street NW., Room 5415, Washington, DC 20415– 7900. ATTN: Merit System Accountability and Compliance. Individuals must furnish the following information in writing for their records to be located: 1. Full name. 2. Date and place of birth. 3. Social Security Number. 4. City, state, and zip code of their Federal Agency. 5. Signature. 6. Precise identification of the information to be amended. 7. Agency in which employed when the appeal or FLSA claim or complaint was filed and the approximate date of the closing of the case. 8. Kind of action (e.g., position classification appeal, job grading appeal, retained grade or pay appeal, FLSA claim or complaint, compensation and leave claim and/or dispute concerning the settlement of the account for a deceased Federal civilian officer or employee). Individuals requesting amendment must also follow OPM’s Privacy Act regulations regarding verification of identity and amendment to records (5 CFR 297). RECORD SOURCE CATEGORIES: a. Individual to whom the record pertains. b. Agency and/or OPM records relating to the action. c. Statements from employees or testimony of witnesses. POSTAL REGULATORY COMMISSION Sunshine Act Meetings Wednesday, October 9, 2013, at 11 a.m. TIME AND DATE: Commission Hearing Room, 901 New York Avenue NW., Suite 200, Washington, DC 20268–0001. PLACE: Part of this meeting will be open to the public. The rest of the meeting will be closed to the public. The open session will be audiocast. The audiocast may be accessed via the Commission’s Web site at https:// www.prc.gov. A period for public comment will be offered following consideration of the last numbered item in the open session. STATUS: The agenda for the Commission’s October 9, 2013 meeting includes the items identified below. MATTERS TO BE CONSIDERED: PORTIONS OPEN TO THE PUBLIC: 1. Report from the Office of Public Affairs and Government Relations on legislative activities and the handling of rate and service inquiries from the public. 2. Report from the Office of General Counsel on the status of Commission dockets. 3. Report from the Office of Accountability and Compliance. 4. Report from the Office of the Secretary and Administration. PORTION CLOSED TO THE PUBLIC: 5. Discussion of pending litigation. CONTACT PERSON FOR MORE INFORMATION: Stephen L. Sharfman, General Counsel, Postal Regulatory Commission, 901 New York Avenue NW., Suite 200, Washington, DC 20268–0001, at 202– 789–6820 (for agenda-related inquiries) and Shoshana M. Grove, Secretary of the Commission, at 202–789–6800 or shoshana.grove@prc.gov (for inquiries related to meeting location, changes in date or time of the meeting, access for handicapped or disabled persons, the audiocast, or similar matters). The Commission’s Web site may also provide information on changes in the date or time of the meeting. By direction of the Commission. Shoshana M. Grove, Secretary. [FR Doc. 2013–24102 Filed 9–27–13; 4:15 pm] BILLING CODE 7710–FW–P [FR Doc. 2013–23839 Filed 9–30–13; 8:45 am] BILLING CODE 6325–58–P VerDate Mar<15>2010 14:45 Sep 30, 2013 Jkt 232001 SECURITIES AND EXCHANGE COMMISSION PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 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: Rules 201 and 200(g) of Regulation SHO SEC File No. 270–606, OMB Control No. 3235–0670 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’’) is soliciting comments on the existing collection of information provided for in Rule 201 (17 CFR 242.201) and Rule 200(g) (17 CFR 242.200(g)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 201 is a short sale-related circuit breaker rule that, if triggered, imposes a restriction on the prices at which securities may be sold short. Rule 200(g) provides that a broker-dealer may mark certain qualifying sell orders ‘‘short exempt.’’ The information collected under Rule 201’s written policies and procedure requirement applicable to trading centers, the written policies and procedures requirement of the brokerdealer provision of Rule 201(c), the written policies and procedures requirement of the riskless principal provision of Rule 201(d)(6), and the ‘‘short exempt’’ marking requirement of Rule 200(g) enable the Commission and SROs to examine and monitor for compliance with the requirements of Rule 201 and Rule 200(g). In addition, the information collected under Rule 201’s written policies and procedure requirement applicable to trading centers help ensure that trading centers do not execute or display any impermissibly priced short sale orders, unless an order is marked ‘‘short exempt,’’ in accordance with the Rule’s requirements. Similarly, the information collected under the written policies and procedures requirement of the brokerdealer provision of Rule 201(c) and the riskless principal provision of Rule 201(d)(6) help to ensure that brokerdealers comply with the requirements of these provisions. The information collected pursuant to the new ‘‘short exempt’’ marking requirement of Rule 200(g) also provide an indication to a E:\FR\FM\01OCN1.SGM 01OCN1 Federal Register / Vol. 78, No. 190 / Tuesday, October 1, 2013 / Notices trading center when it must execute or display a short sale order without regard to whether the short sale order is at a price that is less than or equal to the current national best bid. It is estimated that SRO and non-SRO respondents registered with the Commission and subject to the collection of information requirements of Rules 201 and 200(g) incur an aggregate annual burden of 2,029,276 hours to comply with the Rules and an aggregate annual external cost of $65,928,700. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed 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. 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. Please direct your written comments to: 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. Dated: September 26, 2013. Jill M. Peterson, Assistant Secretary. [FR Doc. 2013–23872 Filed 9–30–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION emcdonald on DSK67QTVN1PROD with NOTICES [Investment Company Act Release No. 30723; File No. 812–14188] U.S. Global Investors, Inc., et al.; Notice of Application September 25, 2013. Securities and Exchange Commission (‘‘Commission’’). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the ‘‘Act’’) for an exemption from sections AGENCY: VerDate Mar<15>2010 14:45 Sep 30, 2013 Jkt 232001 2(a)(32), 5(a)(1), 22(d), and 22(e) of the Act and rule 22c–1 under the Act, under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and 17(a)(2) of the Act, and under section 12(d)(1)(J) for an exemption from sections 12(d)(1)(A) and 12(d)(1)(B) of the Act. Applicants request an order that would permit (a) series of certain open-end management investment companies to issue shares (‘‘Shares’’) redeemable in large aggregations only (‘‘Creation Units’’); (b) secondary market transactions in Shares to occur at negotiated market prices rather than at net asset value (‘‘NAV’’); (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. APPLICANTS: U.S. Global Investors ETF Trust (‘‘Trust’’), U.S. Global Investors, Inc. (‘‘Initial Adviser’’), and U.S. Global Indices, LLC (an Affiliated Index Provider (defined below)). FILING DATES: The application was filed on July 30, 2013 and amended on September 24, 2013. HEARING OR NOTIFICATION OF HEARING: An order granting the requested relief 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 October 21, 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, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090; Applicants, c/o Frank E. Holmes, U.S. Global Investors, Inc., 7900 Callaghan Road, San Antonio, TX 78229. FOR FURTHER INFORMATION CONTACT: Mark N. Zaruba, Senior Counsel at (202) SUMMARY OF APPLICATION: PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 60335 551–6878, or Dalia Osman Blass, Assistant Director, at (202) 551–6821 (Division of Investment Management, Exemptive Applications Office). 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 https:// www.sec.gov/search/search.htm or by calling (202) 551–8090. Applicants’ Representations 1. The Trust is a Delaware statutory trust that will be registered under the Act as an open-end management investment company with multiple series. 2. The Initial Adviser is registered as an investment adviser under the Investment Advisers Act of 1940 (the ‘‘Advisers Act’’) and will be the investment adviser to the Funds. Any other Adviser (defined below) will also be registered as an investment adviser under the Advisers Act. The Adviser may enter into sub-advisory agreements with one or more investment advisers to act as sub-advisers to particular Funds (each, a ‘‘Sub-Adviser’’). Any SubAdviser will either be registered under the Advisers Act or will not be required to register thereunder. 3. The Trust will enter into a distribution agreement with one or more distributors (each, a ‘‘Distributor’’). Each Distributor will be a broker-dealer (‘‘Broker’’) registered under the Securities Exchange Act of 1934 (the ‘‘Exchange Act’’) and will act as distributor and principal underwriter of one or more of the Funds. The Distributor of any Fund may be an affiliated person, as defined in section 2(a)(3) of the Act (‘‘Affiliated Person’’), or an affiliated person of an Affiliated Person (‘‘Second-Tier Affiliate’’), of that Fund’s Adviser and/or Sub-Advisers. No Distributor will be affiliated with any Exchange (defined below). 4. Applicants request that the order apply to the initial series of the Trust described in the application (‘‘Initial Fund’’), as well as any additional series of the Trust and other open-end management investment companies, or series thereof, that may be created in the future (‘‘Future Funds’’), each of which will operate as an exchange-traded fund (‘‘ETF’’) and will track a specified index comprised of domestic or foreign equity and/or fixed income securities (each, an ‘‘Underlying Index’’). Any Future Fund will (a) be advised by the Initial Adviser or an entity controlling, controlled by, or under common control with the Initial Adviser (each, an ‘‘Adviser’’) and E:\FR\FM\01OCN1.SGM 01OCN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 78, Number 190 (Tuesday, October 1, 2013)]
[Notices]
[Pages 60334-60335]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-23872]


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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: Rules 201 and 200(g) of Regulation SHO

SEC File No. 270-606, OMB Control No. 3235-0670

    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'') is soliciting comments on the existing 
collection of information provided for in Rule 201 (17 CFR 242.201) and 
Rule 200(g) (17 CFR 242.200(g)) under the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget (``OMB'') for extension and approval.
    Rule 201 is a short sale-related circuit breaker rule that, if 
triggered, imposes a restriction on the prices at which securities may 
be sold short. Rule 200(g) provides that a broker-dealer may mark 
certain qualifying sell orders ``short exempt.'' The information 
collected under Rule 201's written policies and procedure requirement 
applicable to trading centers, the written policies and procedures 
requirement of the broker-dealer provision of Rule 201(c), the written 
policies and procedures requirement of the riskless principal provision 
of Rule 201(d)(6), and the ``short exempt'' marking requirement of Rule 
200(g) enable the Commission and SROs to examine and monitor for 
compliance with the requirements of Rule 201 and Rule 200(g).
    In addition, the information collected under Rule 201's written 
policies and procedure requirement applicable to trading centers help 
ensure that trading centers do not execute or display any impermissibly 
priced short sale orders, unless an order is marked ``short exempt,'' 
in accordance with the Rule's requirements. Similarly, the information 
collected under the written policies and procedures requirement of the 
broker-dealer provision of Rule 201(c) and the riskless principal 
provision of Rule 201(d)(6) help to ensure that broker-dealers comply 
with the requirements of these provisions. The information collected 
pursuant to the new ``short exempt'' marking requirement of Rule 200(g) 
also provide an indication to a

[[Page 60335]]

trading center when it must execute or display a short sale order 
without regard to whether the short sale order is at a price that is 
less than or equal to the current national best bid.
    It is estimated that SRO and non-SRO respondents registered with 
the Commission and subject to the collection of information 
requirements of Rules 201 and 200(g) incur an aggregate annual burden 
of 2,029,276 hours to comply with the Rules and an aggregate annual 
external cost of $65,928,700.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed 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.
    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.
    Please direct your written comments to: 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.

    Dated: September 26, 2013.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2013-23872 Filed 9-30-13; 8:45 am]
BILLING CODE 8011-01-P

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