Proposed Collection; Comment Request, 415-417 [2013-31439]

Download as PDF Federal Register / Vol. 79, No. 2 / Friday, January 3, 2014 / Notices Submit comments electronically via the Commission’s Filing Online system at http:// www.prc.gov. Those who cannot submit comments electronically should contact the person identified in the FOR FURTHER INFORMATION CONTACT section by telephone for advice on filing alternatives. FOR FURTHER INFORMATION CONTACT: Stephen L. Sharfman, General Counsel, at 202–789–6820. SUPPLEMENTARY INFORMATION: ADDRESSES: Table of Contents I. Introduction II. The Postal Service’s Filings III. Commission Action IV. Ordering Paragraphs I. Introduction On December 26, 2013, the Postal Service filed Notice, pursuant to 39 CFR 3015.5, that it has entered into a successor negotiated service agreement (Agreement) with Hong Kong’s foreign postal operator, Hongkong Post.1 The Postal Service seeks to have the inbound portion of the Agreement, which concerns delivery of inbound Air CP in the United States, included within the Inbound Competitive Multi-Service Agreements with Foreign Postal Operators 1 (MC2010–34) product on the competitive product list. Notice at 1, 3. mstockstill on DSK4VPTVN1PROD with NOTICES II. Contents of Filing The Postal Service’s filing consists of the Notice, financial workpapers, and four attachments.2 Attachment 1 is a copy of the Agreement. Attachment 2 is the certified statement required by 39 CFR 3015.5(c)(2). Attachment 3 is a copy of Governors’ Decision No. 10–3. Attachment 4 is an application for nonpublic treatment of materials filed under seal. The Agreement’s intended effective date is March 1, 2014. Id. at 3. The Agreement is set to expire one year after the effective date, subject to termination pursuant to contractual terms. Id. The Postal Service states that the Agreement is the successor to the 2013– 2014 Hongkong Post Agreement approved in Order No. 1580.3 It also identifies the 2013–2014 Hongkong Post 1 Notice of United States Postal Service of Filing Functionally Equivalent Inbound Competitive Multi-Service Agreement with a Foreign Postal Operator, December 26, 2013 (Notice). 2 The financial workpapers and Attachments 1 and 3 were filed in redacted and unredacted versions. 3 Notice at 2; Docket No. CP2013–22, Order Approving an Additional Inbound Competitive Multi-Service Agreement With Foreign Operators Negotiated Service Agreement (with Hongkong Post), December 17, 2012 (Order No. 1580). VerDate Mar<15>2010 16:36 Jan 02, 2014 Jkt 232001 Agreement as the baseline agreement for purposes of determining functional equivalence.4 Notice at 2. It asserts that the Agreement fits within applicable Mail Classification Schedule language included in Governors’ Decision No. 10–3. See id. at 3, Attachment 3. The Postal Service identifies differences between the Agreement and the 2013– 2014 Hongkong Post Agreement, such as revisions to existing articles and Annex 1, but asserts that these differences do not detract from a finding of functional equivalency.5 Id. at 4–5. In addition, it states that both agreements incorporate the same cost attributes and methodology, thereby making the relevant cost and market characteristics the same. Id. at 5. III. Commission Action Notice of establishment of docket. The Commission establishes Docket No. CP2014–21 for consideration of matters raised by the Notice. The Commission appoints Cassie D’Souza to serve as Public Representative in this docket. Interested persons may submit comments on whether the Postal Service’s filing in the above-captioned docket is consistent with the policies of 39 U.S.C. 3632, 3633, and 3642 and the requirements of 39 CFR parts 3015 and 3020. Comments are due no later than January 3, 2014. The public portions of this filing can be accessed via the Commission’s Web site (http:// www.prc.gov). Information on obtaining access to sealed material appears in 39 CFR part 3007. IV. Ordering Paragraphs It is ordered: 1. The Commission establishes Docket No. CP2014–21 for consideration of matters raised by the Postal Service’s Notice. 2. Pursuant to 39 U.S.C. 505, Cassie D’Souza is appointed to serve as an officer of the Commission (Public Representative) to represent the 4 The Postal Services notes that using the predecessor Hongkong Post Agreement as the baseline for comparison of agreements for the purpose of determining functional equivalence is consistent with the Postal Service’s proposal that was submitted in its Motion for Partial Reconsideration of Order No. 1864 in Docket No. R2013–9. Notice at 2. See also Docket No. R2013–9, Order No. 1864, Order Approving an Additional Inbound Market Dominant MultiService Agreement with Foreign Postal Operators 1 Negotiated Service Agreement (with Korea Post), October 30, 2013, at 7–8; Docket No. R2013–9, Motion for Partial Reconsideration of Order No. 1864, November 6, 2013. 5 See, e.g., in Article 13, revisions to procedures related to filings in the regulatory process; in Article 15, the Postal Service’s contact information; and in Article 22, the Agreement’s effective date. Notice, Attachment 1 at 4, 5, 6. PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 415 interests of the general public in this proceeding. 3. Comments are due no later than January 3, 2014. 4. The Secretary shall arrange for publication of this order in the Federal Register. By the Commission. Shoshana M. Grove, Secretary. [FR Doc. 2013–31441 Filed 1–2–14; 8:45 am] BILLING CODE 7710–FW–P RAILROAD RETIREMENT BOARD Proposed Collection; Comment Request Summary: In accordance with the requirement of Section 3506 (c)(2)(A) of the Paperwork Reduction Act of 1995 which provides opportunity for public comment on new or revised data collections, the Railroad Retirement Board (RRB) will publish periodic summaries of proposed data collections. Comments are invited on: (a) Whether the proposed information collection is necessary for the proper performance of the functions of the agency, including whether the information has practical utility; (b) the accuracy of the RRB’s estimate of the burden of the collection of the information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden related to the collection of information on respondents, including the use of automated collection techniques or other forms of information technology. 1. Title and purpose of information collection: Application and Claim for Unemployment Benefits and Employment Service; OMB 3220–0022. Section 2 of the Railroad Unemployment Insurance Act (RUIA), provides unemployment benefits for qualified railroad employees. These benefits are generally payable for each day of unemployment in excess of four during a registration period (normally a period of 14 days). Section 12 of the RUIA provides that the RRB establish, maintain and operate free employment facilities directed toward the reemployment of railroad employees. The procedures for applying for the unemployment benefits and employment service and for registering and claiming the benefits are prescribed in 20 CFR 325. The RRB utilizes the following forms to collect the information necessary to pay unemployment benefits. Form UI–1 (or its Internet equivalent, Form UI–1 (Internet)), Application for E:\FR\FM\03JAN1.SGM 03JAN1 416 Federal Register / Vol. 79, No. 2 / Friday, January 3, 2014 / Notices Unemployment Benefits and Employment Service, is completed by a claimant for unemployment benefits once in a benefit year, at the time of first registration. Completion of Form UI–1 or UI–1 (Internet) also registers an unemployment claimant for the RRB’s employment service. The RRB also utilizes Form UI–3 (or its Internet equivalent Form UI–3 (Internet)) Claim for Unemployment Benefits, for use in claiming unemployment benefits for days of unemployment in a particular registration period, normally a period of 14 days. Completion of Forms UI–1, UI–1 (Internet), UI–3, and UI–3 (Internet) is required to obtain or retain benefits. The number of responses required of each claimant varies, depending on their period of unemployment. The RRB proposes no changes to the forms in this information collection. ESTIMATE OF ANNUAL RESPONDENT BURDEN [The estimated annual respondent burden is as follows] Annual responses Form No. UI–1 UI–1 UI–3 UI–3 Time (minutes) Burden (hours) ............................................................................................................................................. (Internet) .............................................................................................................................. ............................................................................................................................................. (Internet) .............................................................................................................................. 6,817 3,490 51,996 36,286 10 10 6 6 1,136 582 5,200 3,629 Total ...................................................................................................................................... 98,589 ........................ 10,547 2. Title and purpose of information collection: Representative Payee Monitoring; OMB 3220–0151. Under Section 12 of the Railroad Retirement Act (RRA), the RRB may pay annuity benefits to a representative payee when an employee, spouse, or survivor annuitant is incompetent or a minor. The RRB is responsible for determining if direct payment to an annuitant or a representative payee would best serve the annuitant’s best interest. The accountability requirements authorizing the RRB to conduct periodic monitoring of representative payees, including a written accounting of benefit payments received, are prescribed in 20 CFR 266.7. The RRB utilizes the following forms to conduct its representative payee monitoring program. Form G–99a, Representative Payee Report, is used to obtain information needed to determine whether the benefit payments certified to the representative payee have been used for the annuitant’s current maintenance and personal needs and whether the representative payee continues to be concerned with the annuitant’s welfare. RRB Form G–99c, Representative Payee Evaluation Report, is used to obtain more detailed information from a representative payee who fails to complete and return Form G–99a or in situations when the returned Form G– 99a indicates the possible misuse of funds by the representative payee. Form G–99c contains specific questions concerning the representative payee’s performance and is used by the RRB to determine whether or not the representative payee should continue in that capacity. Completion of the forms in this collection is required to retain benefits. The RRB proposes minor editorial changes to both forms. ESTIMATE OF ANNUAL RESPONDENT BURDEN [The estimated anual respondent burden is as follows] Annual responses Form No. Time (minutes) Burden (hours) 5,400 300 120 18 24 31 1,620 120 62 Total ...................................................................................................................................... mstockstill on DSK4VPTVN1PROD with NOTICES G–99a (legal and all other, excepting parent for child) ............................................................... G–99c (Parts I and II) .................................................................................................................. G–99c (Parts I, II, and III) ............................................................................................................ 5,820 ........................ 1,802 VerDate Mar<15>2010 16:36 Jan 02, 2014 Jkt 232001 PO 00000 Frm 00032 Fmt 4703 Sfmt 9990 E:\FR\FM\03JAN1.SGM 03JAN1 Federal Register / Vol. 79, No. 2 / Friday, January 3, 2014 / Notices Additional Information or Comments: To request more information or to obtain a copy of the information collection justification, forms, and/or supporting material, contact Dana Hickman at (312) 751–4981 or Dana.Hickman@RRB.GOV. Comments regarding the information collection should be addressed to Charles Mierzwa, Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611–2092 or emailed to Charles.Mierzwa@RRB.GOV. Written comments should be received within 60 days of this notice. Charles Mierzwa, Chief of Information Resources Management. [FR Doc. 2013–31439 Filed 1–2–14; 8:45 am] BILLING CODE 7905–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–71196; File No. SR–FINRA– 2013–048] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck mstockstill on DSK4VPTVN1PROD with NOTICES December 27, 2013. I. Introduction On November 1, 2013, the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to permanently make publicly available in BrokerCheck information about former associated persons of a member firm who have been the subject of an investmentrelated civil action brought by a state or foreign financial regulatory authority that has been dismissed pursuant to a settlement agreement. The proposal was published for comment in the Federal Register on November 20, 2013.3 The Commission received four comments on the proposal.4 This order approves the proposed rule change. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 70876 (November 14, 2013), 78 FR 69728 (November 20, 2013) (‘‘Notice’’). 4 See letters to Elizabeth M. Murphy, Secretary, Commission, from: Sneha Parmar and Jeffrey Peters, 2 17 VerDate Mar<15>2010 16:36 Jan 02, 2014 Jkt 232001 II. Description of the Proposal FINRA established BrokerCheck in 1988 (then known as the Public Disclosure Program) to provide the public with information on the professional background, business practices, and conduct of FINRA member firms and their associated persons. The information that FINRA releases to the public through BrokerCheck is derived from the Central Registration Depository (‘‘CRD ®’’), which is the securities industry online registration and licensing database. FINRA member firms, their associated persons and regulators report information to the CRD system via the uniform registration forms. By making certain of this information publicly available, BrokerCheck, among other things, helps investors make informed choices about the individuals and firms with which they conduct business. Pursuant to Rule 8312(b)(1), FINRA releases to the public through BrokerCheck information on current or former members, current associated persons, and persons who were associated with a member within the preceding ten years. Under Rule 8312(c)(1), FINRA currently makes publicly available in BrokerCheck on a permanent basis information about former associated persons of a member who have not been associated with a member within the preceding ten years, and (A) were ever the subject of a final regulatory action, or (B) were registered on or after August 16, 1999 and were (i) convicted of or pled guilty or nolo contendere to a crime; (ii) the subject of a civil injunction in connection with investment-related activity or a civil court finding of involvement in a violation of any investment-related statute or regulation (‘‘Civil Judicial Disclosures’’); or (iii) named as a respondent or defendant in an investment-related arbitration or civil litigation which alleged that the person was involved in a sales practice violation and which resulted in an arbitration award or civil judgment against the person. The proposed rule change would amend Rule 8312(c)(1)(B)(ii) to expand the categories of Civil Judicial Student Interns, and Elissa Germaine, Supervising Attorney, Pace Investor Rights Clinic, Pace University School of Law, dated December 9, 2013 (‘‘Pace letter’’); Jason Doss, President, Public Investors Arbitration Bar Association, dated December 9, 2013 (‘‘PIABA letter’’); David T. Bellaire, Executive Vice President and General Counsel, Financial Services Institute, dated December 11, 2013 (‘‘FSI letter’’); and Andrea Seidt, North American Securities Administrators Association, Inc., President and Ohio Securities Commissioner, dated December 13, 2013 (‘‘NASAA letter’’). PO 00000 Frm 00033 Fmt 4703 Sfmt 4703 417 Disclosures that are permanently made publicly available in BrokerCheck to include information about former associated persons of a member who were registered on or after August 16, 1999 5 and who have been the subject of an investment-related civil action brought by a state or foreign financial regulatory authority that was dismissed pursuant to a settlement agreement, as reported to the CRD system via a uniform registration form.6 This information is currently available in BrokerCheck for ten years from the date an individual ceases to be associated with a member. FINRA believes that these settled civil actions should be available permanently in BrokerCheck because they may involve significant events or considerable undertakings on the part of the subject individual. For example, FINRA noted that one civil action involving excessive and undisclosed markups was settled for over $200,000. As such, FINRA stated that the proposed rule change would provide the public with access to such relevant and important information about formerly registered persons who, although no longer in the securities industry in a registered capacity, may work in other investment-related industries or may seek to attain other positions of trust with potential investors and about whom investors may wish to learn relevant information.7 5 The proposal will apply only to those individuals registered with FINRA on or after August 16, 1999. FINRA stated that filings for those individuals whose registrations terminated prior to August 16, 1999 were not made electronically so BrokerCheck reports for such firms and individuals cannot be made in an automated fashion. Furthermore, FINRA stated that data limitations apply to the information available for some of those individuals. See Notice, supra note 3. 6 This information is currently elicited by Question 14H(1)(c) on Form U4 (Uniform Application for Securities Industry Registration or Transfer). 7 In January 2011, Commission staff released a Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers (‘‘Study’’), in furtherance of Section 919B of the Dodd-Frank Act. The Study is available online at http:// www.sec.gov/news/studies/2011/919bstudy.pdf. The Study contains four recommendations for improving investor access to registration information through BrokerCheck. FINRA stated that it implemented three of these recommendations in May 2012, which are to (i) unify search returns for BrokerCheck and the Investment Adviser Public Disclosure (IAPD) database, (ii) add the ability to search BrokerCheck by zip code, and (iii) increase the educational content on BrokerCheck. FINRA stated that it is currently working on the Study’s fourth recommendation, which is to analyze the feasibility and advisability of expanding information available through BrokerCheck, as well as the method and format in which BrokerCheck information is displayed. FINRA stated that, in light of this recommendation, FINRA initiated a review of E:\FR\FM\03JAN1.SGM Continued 03JAN1

Agencies

[Federal Register Volume 79, Number 2 (Friday, January 3, 2014)]
[Notices]
[Pages 415-417]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-31439]


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RAILROAD RETIREMENT BOARD


Proposed Collection; Comment Request

    Summary: In accordance with the requirement of Section 3506 
(c)(2)(A) of the Paperwork Reduction Act of 1995 which provides 
opportunity for public comment on new or revised data collections, the 
Railroad Retirement Board (RRB) will publish periodic summaries of 
proposed data collections.
    Comments are invited on: (a) Whether the proposed information 
collection is necessary for the proper performance of the functions of 
the agency, including whether the information has practical utility; 
(b) the accuracy of the RRB's estimate of the burden of the collection 
of the information; (c) ways to enhance the quality, utility, and 
clarity of the information to be collected; and (d) ways to minimize 
the burden related to the collection of information on respondents, 
including the use of automated collection techniques or other forms of 
information technology.
    1. Title and purpose of information collection: Application and 
Claim for Unemployment Benefits and Employment Service; OMB 3220-0022.
    Section 2 of the Railroad Unemployment Insurance Act (RUIA), 
provides unemployment benefits for qualified railroad employees. These 
benefits are generally payable for each day of unemployment in excess 
of four during a registration period (normally a period of 14 days).
    Section 12 of the RUIA provides that the RRB establish, maintain 
and operate free employment facilities directed toward the reemployment 
of railroad employees. The procedures for applying for the unemployment 
benefits and employment service and for registering and claiming the 
benefits are prescribed in 20 CFR 325.
    The RRB utilizes the following forms to collect the information 
necessary to pay unemployment benefits. Form UI-1 (or its Internet 
equivalent, Form UI-1 (Internet)), Application for

[[Page 416]]

Unemployment Benefits and Employment Service, is completed by a 
claimant for unemployment benefits once in a benefit year, at the time 
of first registration. Completion of Form UI-1 or UI-1 (Internet) also 
registers an unemployment claimant for the RRB's employment service.
    The RRB also utilizes Form UI-3 (or its Internet equivalent Form 
UI-3 (Internet)) Claim for Unemployment Benefits, for use in claiming 
unemployment benefits for days of unemployment in a particular 
registration period, normally a period of 14 days.
    Completion of Forms UI-1, UI-1 (Internet), UI-3, and UI-3 
(Internet) is required to obtain or retain benefits. The number of 
responses required of each claimant varies, depending on their period 
of unemployment. The RRB proposes no changes to the forms in this 
information collection.

                                      Estimate of Annual Respondent Burden
                             [The estimated annual respondent burden is as follows]
----------------------------------------------------------------------------------------------------------------
                                                                      Annual           Time           Burden
                            Form No.                                 responses       (minutes)        (hours)
----------------------------------------------------------------------------------------------------------------
UI-1............................................................           6,817              10           1,136
UI-1 (Internet).................................................           3,490              10             582
UI-3............................................................          51,996               6           5,200
UI-3 (Internet).................................................          36,286               6           3,629
                                                                 -----------------------------------------------
    Total.......................................................          98,589  ..............          10,547
----------------------------------------------------------------------------------------------------------------

    2. Title and purpose of information collection: Representative 
Payee Monitoring; OMB 3220-0151.
    Under Section 12 of the Railroad Retirement Act (RRA), the RRB may 
pay annuity benefits to a representative payee when an employee, 
spouse, or survivor annuitant is incompetent or a minor. The RRB is 
responsible for determining if direct payment to an annuitant or a 
representative payee would best serve the annuitant's best interest. 
The accountability requirements authorizing the RRB to conduct periodic 
monitoring of representative payees, including a written accounting of 
benefit payments received, are prescribed in 20 CFR 266.7. The RRB 
utilizes the following forms to conduct its representative payee 
monitoring program.
    Form G-99a, Representative Payee Report, is used to obtain 
information needed to determine whether the benefit payments certified 
to the representative payee have been used for the annuitant's current 
maintenance and personal needs and whether the representative payee 
continues to be concerned with the annuitant's welfare. RRB Form G-99c, 
Representative Payee Evaluation Report, is used to obtain more detailed 
information from a representative payee who fails to complete and 
return Form G-99a or in situations when the returned Form G-99a 
indicates the possible misuse of funds by the representative payee. 
Form G-99c contains specific questions concerning the representative 
payee's performance and is used by the RRB to determine whether or not 
the representative payee should continue in that capacity. Completion 
of the forms in this collection is required to retain benefits. The RRB 
proposes minor editorial changes to both forms.

                                      Estimate of Annual Respondent Burden
                              [The estimated anual respondent burden is as follows]
----------------------------------------------------------------------------------------------------------------
                                                                      Annual           Time           Burden
                            Form No.                                 responses       (minutes)        (hours)
----------------------------------------------------------------------------------------------------------------
G-99a (legal and all other, excepting parent for child).........           5,400              18           1,620
G-99c (Parts I and II)..........................................             300              24             120
G-99c (Parts I, II, and III)....................................             120              31              62
                                                                 -----------------------------------------------
    Total.......................................................           5,820  ..............           1,802
----------------------------------------------------------------------------------------------------------------


[[Page 417]]

    Additional Information or Comments: To request more information or 
to obtain a copy of the information collection justification, forms, 
and/or supporting material, contact Dana Hickman at (312) 751-4981 or 
Dana.Hickman@RRB.GOV. Comments regarding the information collection 
should be addressed to Charles Mierzwa, Railroad Retirement Board, 844 
North Rush Street, Chicago, Illinois 60611-2092 or emailed to 
Charles.Mierzwa@RRB.GOV. Written comments should be received within 60 
days of this notice.

Charles Mierzwa,
Chief of Information Resources Management.
[FR Doc. 2013-31439 Filed 1-2-14; 8:45 am]
BILLING CODE 7905-01-P