Proposed Collection; Comment Request, 415-417 [2013-31439]
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Federal Register / Vol. 79, No. 2 / Friday, January 3, 2014 / Notices
Submit comments
electronically via the Commission’s
Filing Online system at https://
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.
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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).
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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 (https://
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.
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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
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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 ......................................................................................................................................
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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
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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
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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
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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 https://
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
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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]
=======================================================================
-----------------------------------------------------------------------
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
