Proposed Collection; Comment Request, 1905 [2014-00213]
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Federal Register / Vol. 79, No. 7 / Friday, January 10, 2014 / Notices
III. Proposed Action
By this action, the NRC is requesting
public comments on draft LR–ISG–
2013–01. This LR–ISG proposes certain
revisions to NRC guidance on
implementation of the requirements in
10 CFR Part 54. The NRC staff will make
a final determination regarding issuance
of the LR–ISG after it considers any
public comments received in response
to this request.
Dated at Rockville, Maryland, this 6th day
of January 2014.
For the Nuclear Regulatory Commission.
Melanie A. Galloway,
Deputy Director, Division of License Renewal,
Office of Nuclear Reactor Regulation.
[FR Doc. 2014–00247 Filed 1–9–14; 8:45 am]
BILLING CODE 7590–01–P
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.
mstockstill on DSK4VPTVN1PROD with NOTICES
Extension:
Form 10, OMB Control No. 3235–0064,
SEC File No. 270–051.
16:40 Jan 09, 2014
Jkt 232001
Dated: January 6, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–00213 Filed 1–9–14; 8:45 am]
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 (‘‘OMB’’) for
approval of extensions on the following:
Form 10 (17 CFR 249.210) is used by
the Commission to register securities
pursuant to Section 12(b) and Section
12(g) (15 U.S.C. 78l(b) and 78l(g)) of the
Exchange Act of 1934. Form 10 requires
financial and other information about
such matters as the registrant’s business,
properties, identity and remuneration of
management, outstanding securities and
securities to be registered and financial
condition. The information provided by
Form 10 is intended to ensure the
adequacy of information available to
investors about the company. Form 10
takes approximately 215.210 hours per
response to prepare and is filed by
approximately 238 respondents. We
estimated that 25% of the 215.210 hours
per response (53.802 hours) is prepared
by the company for an annual reporting
burden of 12, 805 hours (53.802 hours
per response x 238 responses).
VerDate Mar<15>2010
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of burden of the 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 comment 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.
BILLING CODE 8011–01–P
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:
Rule 17d–1, OMB Control No. 3235–0562,
SEC File No. 270–505.
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 collections of information
summarized below. The Commission
plans to submit these existing
collections of information to the Office
of Management and Budget (‘‘OMB’’) for
extension and approval.
Section 17(d) (15 U.S.C. 80a–17(d)) of
the Investment Company Act of 1940
(15 U.S.C. 80a et seq.) (the ‘‘Act’’)
prohibits first- and second-tier affiliates
of a fund, the fund’s principal
PO 00000
Frm 00087
Fmt 4703
Sfmt 4703
1905
underwriters, and affiliated persons of
the fund’s principal underwriters, acting
as principal, to effect any transaction in
which the fund or a company controlled
by the fund is a joint or a joint and
several participant in contravention of
the Commission’s rules. Rule 17d–1 (17
CFR 270.17d–1) prohibits an affiliated
person of or principal underwriter for
any fund (a ‘‘first-tier affiliate’’), or any
affiliated person of such person or
underwriter (a ‘‘second-tier affiliate’’),
acting as principal, from participating in
or effecting any transaction in
connection with a joint enterprise or
other joint arrangement in which the
fund is a participant, unless prior to
entering into the enterprise or
arrangement ‘‘an application regarding
[the transaction] has been filed with the
Commission and has been granted by an
order.’’ In reviewing the proposed
affiliated transaction, the rule provides
that the Commission will consider
whether the proposal is (i) consistent
with the provisions, policies, and
purposes of the Act, and (ii) on a basis
different from or less advantageous than
that of other participants in determining
whether to grant an exemptive
application for a proposed joint
enterprise, joint arrangement, or profitsharing plan.
Rule 17d–1 also contains a number of
exceptions to the requirement that a
fund must obtain Commission approval
prior to entering into joint transactions
or arrangements with affiliates. For
example, funds do not have to obtain
Commission approval for certain
employee compensation plans, certain
tax-deferred employee benefit plans,
certain transactions involving small
business investment companies, the
receipt of securities or cash by certain
affiliates pursuant to a plan of
reorganization, certain arrangements
regarding liability insurance policies
and transactions with ‘‘portfolio
affiliates’’ (companies that are affiliated
with the fund solely as a result of the
fund (or an affiliated fund) controlling
them or owning more than five percent
of their voting securities) so long as
certain other affiliated persons of the
fund (e.g., the fund’s adviser, persons
controlling the fund, and persons under
common control with the fund) are not
parties to the transaction and do not
have a ‘‘financial interest’’ in a party to
the transaction. The rule excludes from
the definition of ‘‘financial interest’’ any
interest that the fund’s board of
directors (including a majority of the
directors who are not interested persons
of the fund) finds to be not material, as
long as the board records the basis for
its finding in their meeting minutes.
E:\FR\FM\10JAN1.SGM
10JAN1
]]>Agencies
[Federal Register Volume 79, Number 7 (Friday, January 10, 2014)]
[Notices]
[Page 1905]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-00213]
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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:
Form 10, OMB Control No. 3235-0064, SEC File No. 270-051.
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 (``OMB'') for approval of extensions on the following:
Form 10 (17 CFR 249.210) is used by the Commission to register
securities pursuant to Section 12(b) and Section 12(g) (15 U.S.C.
78l(b) and 78l(g)) of the Exchange Act of 1934. Form 10 requires
financial and other information about such matters as the registrant's
business, properties, identity and remuneration of management,
outstanding securities and securities to be registered and financial
condition. The information provided by Form 10 is intended to ensure
the adequacy of information available to investors about the company.
Form 10 takes approximately 215.210 hours per response to prepare and
is filed by approximately 238 respondents. We estimated that 25% of the
215.210 hours per response (53.802 hours) is prepared by the company
for an annual reporting burden of 12, 805 hours (53.802 hours per
response x 238 responses).
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
burden of the 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 comment 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: January 6, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-00213 Filed 1-9-14; 8:45 am]
BILLING CODE 8011-01-P
