Submission for OMB Review; Comment Request, 2482-2483 [2014-00467]

Download as PDF 2482 Federal Register / Vol. 79, No. 9 / Tuesday, January 14, 2014 / Notices Agency name UNITED STATES NATIONAL TRADE SION. Authorization No. Organization name INTERCOMMIS- Position title Office of Commissioner Kieff ......... Staff Assistant (Legal) .................... DY140016 TC140004 Effective date 11/25/2013 11/7/2013 The following Schedule C appointing authorities were revoked during November 2013. Authorization No. Agency name Organization name Position title DEPARTMENT OF AGRICULTURE. DEPARTMENT OF COMMERCE .. Rural Housing Service ................... Chief of Staff .................................. DA130050 11/16/2013 International Trade Administration Office of the Chief of Staff ............. Office of the Under Secretary ........ DC120013 DC090107 DC110093 11/1/2013 11/16/2013 11/29/2013 DEPARTMENT OF HEALTH AND HUMAN SERVICES. Office of Intergovernmental and External Affairs. Office of the Assistant Secretary for Planning and Evaluation. Office of the Under Secretary for Science and Technology. U.S. Customs and Border Protection. Office of Policy Development and Research. Office of Congressional and Intergovernmental Relations. Deputy Director of Public Affairs ... Special Assistant ............................ Special Advisor to the Under Secretary. Senior Policy Advisor ..................... Confidential Assistant .................... DC120072 DH110116 11/29/2013 11/2/2013 DEPARTMENT SECURITY. OF HOMELAND DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT. DEPARTMENT OF THE INTERIOR. OFFICE OF THE SECRETARY OF DEFENSE. Bureau of Ocean Energy Management. Deputy Under Secretary of Defense (Asian and Pacific Security Affairs). Authority: 5 U.S.C. 3301 and 3302; E.O. 10577, 3 CFR, 1954–1958 Comp., p. 218. Katherine Archuleta, Director, U.S. Office of Personnel Management. [FR Doc. 2014–00518 Filed 1–13–14; 8:45 am] BILLING CODE 6325–39–P SECURITIES AND EXCHANGE COMMISSION emcdonald on DSK67QTVN1PROD with NOTICES Submission for OMB Review; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Form 5. OMB Control No. 3235– 0362, SEC File No. 270–323. 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’’) has submitted to the VerDate Mar<15>2010 16:32 Jan 13, 2014 Jkt 232001 Director of Coverage Policy (Office of Health Reform). Advisor ........................................... DH130018 11/12/2013 DM130136 11/9/2013 Advisor to the Chief of Staff .......... DM120078 11/15/2013 Special Assistant ............................ DU110011 11/2/2013 Congressional Relations Specialist DU120006 11/2/2013 Deputy Director of Intergovernmental Relations. Senior Advisor ................................ DU120035 11/2/2013 DI120003 11/16/2013 Senior Advisor for Regional Policy and Integration. DD130001 11/3/2013 Office of Management and Budget (‘‘OMB’’) this request for extension of the previously approved collection of information discussed below. Under Section 16(a) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) (15 U.S.C. 78a et seq.) every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security) which registered pursuant to Section 12 of the Exchange Act, or who is a director or an officer of the issuer of such security (collectively ‘‘reporting persons’’), must file statements setting forth their security holdings in the issuer with the Commission. Form 5 (17 CFR 249.105) is an annual statement of beneficial ownership of securities. The information disclosure provided on Form 5 is mandatory. All information is provided to the public for review. We estimate that approximately 4,600 reporting persons file Form 5 annually and we estimate that it takes approximately one hour to prepare the PO 00000 Frm 00076 Fmt 4703 Vacate date Sfmt 4703 form for a total of 4,600 annual burden hours. 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. The public may view the background documentation for this information collection at the following Web site, www.reginfo.gov . Comments should be directed to: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503, or by sending an email to: Shagufta_ Ahmed@omb.eop.gov; and (ii) 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 to OMB within 30 days of this notice. E:\FR\FM\14JAN1.SGM 14JAN1 Federal Register / Vol. 79, No. 9 / Tuesday, January 14, 2014 / Notices Dated: January 8, 2014. Kevin M. O’Neill, Deputy Secretary. SECURITIES AND EXCHANGE COMMISSION [Release No. 34–71255; File No. SR–MSRB– 2013–09] [FR Doc. 2014–00467 Filed 1–13–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, January 16, 2014 at 2:00 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest in the matters also may be present. The General Counsel of the Commission, or her designee, has certified that, in her opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the scheduled matter at the Closed Meeting. Commissioner Aguilar, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session. The subject matter of the Closed Meeting will be: Institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; and other matters relating to enforcement proceedings. emcdonald on DSK67QTVN1PROD with NOTICES At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551–5400. Dated: January 9, 2014. Elizabeth M. Murphy, Secretary. [FR Doc. 2014–00558 Filed 1–9–14; 4:15 pm] BILLING CODE 8011–01–P VerDate Mar<15>2010 16:32 Jan 13, 2014 Jkt 232001 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of Amendments to MSRB Rules A–12, on Initial Fee, G–14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (‘‘RTRS Facility’’); Deletion of Rules A–14, on Annual Fee, A–15, on Notification to the Board of Change in Status or Change of Name or Address, and G–40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements Under Rules G–14(b)(v), G–14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G–40; and Adoption of a Single, Consolidated Electronic Registration Form, New Form A–12 January 8, 2014. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that, on December 24, 2013, the Municipal Securities Rulemaking Board (the ‘‘MSRB’’ or ‘‘Board’’) filed with the Securities and Exchange Commission (the ‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the MSRB. On January 7, 2014, the Board filed Amendment No. 1 to the proposed rule change.3 The Commission is publishing this notice to 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 By Amendment No. 1, the Board: (1) Added footnote 5 to Item II(A)(1) explaining that Form A– 12 included as Exhibit 3 to SR–MSRB–2013–09 as filed with the SEC is a pre-production depiction of an electronic form and the final appearance of which may vary in non-substantive respects; (2) added text and footnotes 6, 8, and 9 to Item II(A)(1) to clarify that the current requirement for all registrants to provide a Primary Electronic Mail Contact and for municipal securities dealers that report trades to the MSRB to provide a primary Trade Data Quality contact would be replaced by the requirement that all registrants provide a Primary Regulatory Contact, Master Account Administrator, Billing Contact, Compliance Contact, and Data Quality Contact. Additionally, the new text explains that the optional Trade Data Quality Contact, Optional Electronic Mail Contact, and optional Technical Contact would be replaced with the Optional Regulatory Contact, Optional Data Quality Contact, and Optional Technical Contact; and (3) included an additional graphic illustration on new Form A–12, found in Exhibit 3 to SR–MSRB–2013–09 as filed with the SEC, that depicts where registrants would describe the reason(s) for the involuntary withdrawal of their registration with the MSRB on the new Form A–12. 2 17 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 2483 solicit comments on the proposed rule change, as modified by Amendment No. 1 thereto, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The MSRB is filing with the Commission a proposed rule change consisting of amendments to MSRB Rules A–12, on initial fee, Rule G–14, on reports of sales or purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (‘‘RTRS Facility’’). The MSRB also proposes a deletion of the entire rule language (reserving the rule numbers for potential future use) for Rules A–14, on annual fee, A–15, on notification to the Board of change in status or change of name or address, and G–40, on electronic mail contacts. Additionally, references to RTRS testing requirements under G–14(b)(v), G–14(c), on RTRS Procedures, and in the RTRS Facility will be deleted. Finally, the MSRB proposes to eliminate two MSRB forms, Forms RTRS and G–40, and adopt a single, consolidated electronic registration form, new Form A–12 (collectively, the ‘‘proposed rule change’’). The MSRB will provide at least thirty days notice of the effective date, which shall be announced within ten days of SEC approval in a notice published on the MSRB Web site. The notice will also announce a compliance date for completion of new Form A–12 of ninety days from the effective date.4 The text of the proposed rule change is available on the MSRB’s Web site at www.msrb.org/Rules-andInterpretations/SEC-Filings/2013Filings.aspx, at the MSRB’s principal office, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the MSRB 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. The MSRB has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. 4 The MSRB anticipates that the effective date will be on or about April 28, 2014 when new Form A–12 will be available and that registrants will have ninety days from such date to complete the form in accordance with the proposed rule change. E:\FR\FM\14JAN1.SGM 14JAN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 79, Number 9 (Tuesday, January 14, 2014)]
[Notices]
[Pages 2482-2483]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-00467]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

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

Extension: Form 5. OMB Control No. 3235-0362, SEC File No. 270-323.

    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'') has submitted to the Office of Management 
and Budget (``OMB'') this request for extension of the previously 
approved collection of information discussed below.
    Under Section 16(a) of the Securities Exchange Act of 1934 
(``Exchange Act'') (15 U.S.C. 78a et seq.) every person who is directly 
or indirectly the beneficial owner of more than 10 percent of any class 
of any equity security (other than an exempted security) which 
registered pursuant to Section 12 of the Exchange Act, or who is a 
director or an officer of the issuer of such security (collectively 
``reporting persons''), must file statements setting forth their 
security holdings in the issuer with the Commission. Form 5 (17 CFR 
249.105) is an annual statement of beneficial ownership of securities. 
The information disclosure provided on Form 5 is mandatory. All 
information is provided to the public for review. We estimate that 
approximately 4,600 reporting persons file Form 5 annually and we 
estimate that it takes approximately one hour to prepare the form for a 
total of 4,600 annual burden hours.
    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.
    The public may view the background documentation for this 
information collection at the following Web site, www.reginfo.gov . 
Comments should be directed to: (i) Desk Officer for the Securities and 
Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503, or by sending an email to: Shagufta_Ahmed@omb.eop.gov; and (ii) 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 to OMB within 30 days of 
this notice.


[[Page 2483]]


    Dated: January 8, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-00467 Filed 1-13-14; 8:45 am]
BILLING CODE 8011-01-P

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