Proposed Collection; Comment Request, 6660-6661 [2014-02250]
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Federal Register / Vol. 79, No. 23 / Tuesday, February 4, 2014 / Notices
survey or study of the costs of
Commission rules and forms.
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 the 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.
Please direct your written comments
to Thomas Bayer, 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 29, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–02244 Filed 2–3–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
necessary for the Commission staff to
use in its examination and oversight
program. The respondents to the
collection of information are investment
advisers registered with us. The
Commission staff estimates that the total
reporting and recordkeeping burden of
the collection of information for each
respondent is approximately 181.45
hours.
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 the 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.
Please direct your written comments
to Thomas Bayer, 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 29, 2014.
Kevin M. O’Neill,
Deputy Secretary.
Proposed Collection; Comment
Request
[FR Doc. 2014–02248 Filed 2–3–14; 8:45 am]
BILLING CODE 8011–01–P
Extension:
Rule 204–2, OMB Control No. 3235–0278,
SEC File No. 270–215.
mstockstill on DSK4VPTVN1PROD with NOTICES
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Proposed Collection; Comment
Request
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 (the
‘‘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
extension and approval.
The title for the collection of
information is ‘‘Rule 204–2’’ (17 CFR
275.204–2) under the Investment
Advisers Act of 1940 (15 U.S.C. 80b–1).
Rule 204–2 sets forth the requirements
for maintaining and preserving specified
books and records. The collection of
information under rule 204–2 is
VerDate Mar<15>2010
20:14 Feb 03, 2014
Jkt 232001
SECURITIES AND EXCHANGE
COMMISSION
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Form ADV, OMB Control No. 3235–0049,
SEC File No. 270–39.
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 (the
‘‘Commission’’) is soliciting comments
on the collections of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
PO 00000
Frm 00130
Fmt 4703
Sfmt 4703
The title for the collection of
information is ‘‘Form ADV’’ (17 CFR
279.1). Form ADV is the investment
adviser registration form and exempt
reporting adviser reporting form filed
electronically with the Commission
pursuant to rules 203–1 (17 CFR
275.203–1), 204–1 (17 CFR 275.204–1)
and 204–4 (17 CFR 275.204–4) under
the Investment Advisers Act of 1940 (15
U.S.C. 80b-1 et seq.) by advisers
registered with the Commission or
applying for registration with the
Commission or by exempt reporting
advisers filing reports with the
Commission. The information collected
takes the form of disclosures to the
adviser’s clients and potential clients.
The purpose of this collection of
information is to provide advisory
clients, prospective clients, and the
Commission with information about the
adviser, its business, its conflicts of
interest and personnel. Clients use
certain of the information to determine
whether to hire or retain an adviser.
The information collected provides
the Commission with knowledge about
the adviser, its business, its conflicts of
interest and personnel. The Commission
uses the information to determine
eligibility for registration with the
Commission and to manage its
regulatory, examination, and
enforcement programs.
Respondents to the collection of
information are investment advisers
registered with the Commission or
applying for registration with the
Commission or exempt reporting
advisers filing reports with the
Commission. The Commission estimates
that the total annual reporting and
recordkeeping burden of the collection
of information for each respondent is
11.42 hours.
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 the 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 a collection of information
unless it displays a currently valid OMB
control number. No person shall be
subject to any penalty for failing to
E:\FR\FM\04FEN1.SGM
04FEN1
Federal Register / Vol. 79, No. 23 / Tuesday, February 4, 2014 / Notices
comply with a collection of information
subject to the PRA that does not display
a valid OMB control number.
Please direct your written comments
to Thomas Bayer, 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 29, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–02250 Filed 2–3–14; 8:45 am]
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.
mstockstill on DSK4VPTVN1PROD with NOTICES
Extension:
Rule 203–3, Form ADV–H, OMB Control
No. 3235–0538, SEC File No. 270–481.
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 (the
‘‘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
extension and approval.
The title for the collection of
information is ‘‘Form ADV–H under the
Investment Advisers Act of 1940.’’ Rule
203–3 (17 CFR 275.203–3) under the
Investment Advisers Act of 1940 (15
U.S.C. 80b) requires that registered
advisers requesting either a temporary
or continuing hardship exemption
submit the request on Form ADV–H.
Rule 204–4 (17 CFR 275.204–4) under
the Investment Advisers Act of 1940
requires that exempt reporting advisers
requesting a temporary hardship
exemption submit the request on Form
ADV–H. The purpose of this collection
of information is to permit advisers to
obtain a hardship exemption to not
complete an electronic filing. The
temporary hardship exemption that is
available to registered advisers under
rule 203–3 and exempt reporting
advisers under rule 204–4 permits these
advisers to make late filings due to
unforeseen computer or software
problems. The continuing hardship
exemption available to registered
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20:14 Feb 03, 2014
Jkt 232001
advisers under rule 203–3 permits
advisers to submit all required
electronic filings on hard copy for data
entry by the operator of the IARD.
The Commission has estimated that
compliance with the requirement to
complete Form ADV–H imposes a total
burden of approximately one hour for
an adviser. Based on our experience
with hardship filings, we estimate that
we will receive 11 Form ADV–H filings
annually from registered investment
advisers and three Form ADV–H filings
annually from exempt reporting
advisers. Based on the 60 minute per
respondent estimate, the Commission
estimates a total annual burden of 14
hours for this collection of information.
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 the 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.
Please direct your written comments
to Thomas Bayer, 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 29, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–02247 Filed 2–3–14; 8:45 am]
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 203A–5, OMB Control No. 3235–
0688, SEC File No. 270–631.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
PO 00000
Frm 00131
Fmt 4703
Sfmt 4703
6661
and Exchange Commission (the
‘‘Commission’’) is soliciting comments
on the collections of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
The title for the collection of
information is Rule 203A–5. Rule 203A–
5 (17 CFR 275.203A–5) established a
one-time requirement for investment
advisers registered with the Commission
as of January 1, 2012 to file a mandatory
amendment to their Form ADV by
March 30, 2012, and, if they no longer
met Commission-registration eligibility
requirements, to withdraw from
registration by filing Form ADV–W by
June 28, 2012. The deadlines for
information collected pursuant the rule
were March 30, 2012 (for Form ADV
amendments) and June 28, 2012 (for
withdrawals). The Commission is no
longer collecting any information
pursuant to the rule.
Accordingly, the staff estimates that,
each year, no advisers will have to file
a Form ADV amendment or Form ADV–
W pursuant to rule 203A–5, and that the
total burden for the information
collection is zero hours at a cost of $0.
Although Commission staff estimates
that there is no burden associated with
rule 203A–5, the staff is requesting an
hour burden of one hour for
administrative purposes. 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.
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 the 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.
Please direct your written comments
to Thomas Bayer, 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.
E:\FR\FM\04FEN1.SGM
04FEN1
]]>Agencies
[Federal Register Volume 79, Number 23 (Tuesday, February 4, 2014)]
[Notices]
[Pages 6660-6661]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-02250]
-----------------------------------------------------------------------
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 ADV, OMB Control No. 3235-0049, SEC File No. 270-39.
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
(the ``Commission'') is soliciting comments on the collections of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget (``OMB'') for extension and approval.
The title for the collection of information is ``Form ADV'' (17 CFR
279.1). Form ADV is the investment adviser registration form and exempt
reporting adviser reporting form filed electronically with the
Commission pursuant to rules 203-1 (17 CFR 275.203-1), 204-1 (17 CFR
275.204-1) and 204-4 (17 CFR 275.204-4) under the Investment Advisers
Act of 1940 (15 U.S.C. 80b-1 et seq.) by advisers registered with the
Commission or applying for registration with the Commission or by
exempt reporting advisers filing reports with the Commission. The
information collected takes the form of disclosures to the adviser's
clients and potential clients. The purpose of this collection of
information is to provide advisory clients, prospective clients, and
the Commission with information about the adviser, its business, its
conflicts of interest and personnel. Clients use certain of the
information to determine whether to hire or retain an adviser.
The information collected provides the Commission with knowledge
about the adviser, its business, its conflicts of interest and
personnel. The Commission uses the information to determine eligibility
for registration with the Commission and to manage its regulatory,
examination, and enforcement programs.
Respondents to the collection of information are investment
advisers registered with the Commission or applying for registration
with the Commission or exempt reporting advisers filing reports with
the Commission. The Commission estimates that the total annual
reporting and recordkeeping burden of the collection of information for
each respondent is 11.42 hours.
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
the 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 a
collection of information unless it displays a currently valid OMB
control number. No person shall be subject to any penalty for failing
to
[[Page 6661]]
comply with a collection of information subject to the PRA that does
not display a valid OMB control number.
Please direct your written comments to Thomas Bayer, 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 29, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-02250 Filed 2-3-14; 8:45 am]
BILLING CODE 8011-01-P
