Proposed Collection; Comment Request, 71686 [2013-28576]

Download as PDF 71686 Federal Register / Vol. 78, No. 230 / Friday, November 29, 2013 / Notices (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: November 22, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–28575 Filed 11–27–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: US Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. sroberts on DSK5SPTVN1PROD with NOTICES Extension: Form BD–N/Rule 15b11–1, SEC File No. 270–498, OMB Control No. 3235–0556. 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’’) 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. Rule 15b11–1 (17 CFR 240.15b11–1) requires that futures commission merchants and introducing brokers registered with the Commidity Futures Trading Commission that conduct a business in security futures products must notice-register as broker-dealers pursuant to Section 15(b)(11)(A) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Form BD–N Form VerDate Mar<15>2010 17:56 Nov 27, 2013 Jkt 232001 BD–N (17 CFR 249.501b) is the Form by which these entities must notice register with the Commission. The total annual burden imposed by Rule 15b11–1 and Form BD–N is approximately 16 hours, based on approximately 60 responses (2 initial filings + 58 amendments). Each initial filing requires approximately 30 minutes to complete and each amendment requires approximately 15 minutes to complete. There is no annual cost burden. The Commission will use the information collected pursuant to Rule 15b11–1 to understand the market for securities futures product and fulfill its regulatory obligations. 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 has practical utility; (b) the accuracy of the Commission’s estimate of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be 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 under the PRA unless it displays a currently valid OMB control number. Comments should be directed 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. Comments must be submitted within 60 days of this notice. Dated: November 22, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–28576 Filed 11–27–13; 8:45 am] BILLING CODE 8011–01–P PO 00000 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–70937; File No. SR–NSCC– 2013–11] Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Add a New Service to the National Securities Clearing Corporation’s Obligation Warehouse (‘‘OW’’) Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW November 25, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on November 14, 2013, National Securities Clearing Corporation (‘‘NSCC’’) 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 primarily by NSCC. 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 NSCC is proposing to modify its Rules & Procedures (‘‘Rules’’) to add a new service to NSCC’s Obligation Warehouse (‘‘OW’’) which would pair off and close certain open obligations, reducing the number of open obligations in OW, as more fully described below. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NSCC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. NSCC has prepared summaries, set forth in sections (A), (B), and (C) below, of the most significant aspects of such statements. 1 15 U.S.C. 78s(b)(1). Defined terms that are not defined in this notice are defined in Exhibit 5 of the proposed rule change filing, available at http: //www.sec.gov/rules/sro/nscc.shtml under File No. SR–NSCC–2013–02, Additional Materials. 2 17 CFR 240.19b–4. Frm 00126 Fmt 4703 Sfmt 4703 E:\FR\FM\29NON1.SGM 29NON1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 78, Number 230 (Friday, November 29, 2013)]
[Notices]
[Page 71686]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-28576]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: US Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Form BD-N/Rule 15b11-1, SEC File No. 270-498, OMB Control No. 
3235-0556.

    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'') 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.
    Rule 15b11-1 (17 CFR 240.15b11-1) requires that futures commission 
merchants and introducing brokers registered with the Commidity Futures 
Trading Commission that conduct a business in security futures products 
must notice-register as broker-dealers pursuant to Section 15(b)(11)(A) 
of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Form 
BD-N Form BD-N (17 CFR 249.501b) is the Form by which these entities 
must notice register with the Commission.
    The total annual burden imposed by Rule 15b11-1 and Form BD-N is 
approximately 16 hours, based on approximately 60 responses (2 initial 
filings + 58 amendments). Each initial filing requires approximately 30 
minutes to complete and each amendment requires approximately 15 
minutes to complete. There is no annual cost burden.
    The Commission will use the information collected pursuant to Rule 
15b11-1 to understand the market for securities futures product and 
fulfill its regulatory obligations.
    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 has 
practical utility; (b) the accuracy of the Commission's estimate of the 
burden of the proposed collection of information; (c) ways to enhance 
the quality, utility, and clarity of the information to be 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 under the PRA unless it 
displays a currently valid OMB control number.
    Comments should be directed 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. Comments must be submitted within 60 days of 
this notice.

    Dated: November 22, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-28576 Filed 11-27-13; 8:45 am]
BILLING CODE 8011-01-P

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