Proposed Collection; Comment Request, 9502-9503 [2014-03578]

Download as PDF 9502 Federal Register / Vol. 79, No. 33 / Wednesday, February 19, 2014 / Notices initial appraisal of a senior executive’s performance by the supervisor, and makes recommendations to the Chairman of the Review Commission regarding performance ratings, performance awards, and pay-forperformance adjustments. Members of the PRB serve for a period of 24 months. In the case of an appraisal of a career appointee, more than half of the members shall consist of career appointees, pursuant to 5 U.S.C. 4314(c)(5). The names and titles of the PRB members are as follows: • Shireen L. Dodson, Ombudsman, U.S. Department of State; • Victor Thompson, Director and HQ Chief Information Officer, National Aeronautics and Space Administration; • Tracy Murrell, Director, Office of Marine Safety, National Transportation Safety Board; and • Linda J. Dreeben, Deputy Associate General Counsel, National Labor Relations Board. Dated: February 4, 2014. Thomasina V. Rogers, Chairman. [FR Doc. 2014–03552 Filed 2–18–14; 8:45 am] Participants wishing to submit a written statement for the record must submit a copy of such statement to OPIC’s Corporate Secretary no later than 5 p.m. Wednesday, March 5, 2014. Such statement must be typewritten, double spaced, and may not exceed twenty-five (25) pages. Upon receipt of the required notice, OPIC will prepare an agenda, which will be available at the hearing, that identifies speakers, the subject on which each participant will speak, and the time allotted for each presentation. A written summary of the hearing will be compiled, and such summary will be made available, upon written request to OPIC’s Corporate Secretary, at the cost of reproduction. Written summaries of the projects to be presented at the March 20, 2014 Board meeting will be posted on OPIC’s Web site on or about Friday, February 28, 2014. CONTACT PERSON FOR MORE INFORMATION: Information on the hearing may be obtained from Connie M. Downs at (202) 336–8438, via facsimile at (202) 408– 0297, or via email at Connie.Downs@ opic.gov. Dated: February 14, 2014. Connie M. Downs, OPIC Corporate Secretary. BILLING CODE 7600–01–P [FR Doc. 2014–03624 Filed 2–14–14; 4:15 pm] OVERSEAS PRIVATE INVESTMENT CORPORATION BILLING CODE 3210–01–P Sunshine Act Meeting 3 p.m., Wednesday, March 12, 2014. PLACE: Offices of the Corporation, Twelfth Floor Board Room, 1100 New York Avenue NW., Washington, DC. STATUS: Hearing OPEN to the Public at 3 p.m. PURPOSE: Public Hearing in conjunction with each meeting of OPIC’s Board of Directors, to afford an opportunity for any person to present views regarding the activities of the Corporation. EMCDONALD on DSK67QTVN1PROD with NOTICES TIME AND DATE: Procedures Individuals wishing to address the hearing orally must provide advance notice to OPIC’s Corporate Secretary no later than 5 p.m. Wednesday, March 5, 2014. The notice must include the individual’s name, title, organization, address, and telephone number, and a concise summary of the subject matter to be presented. Oral presentations may not exceed ten (10) minutes. The time for individual presentations may be reduced proportionately, if necessary, to afford all participants who have submitted a timely request an opportunity to be heard. VerDate Mar<15>2010 16:15 Feb 18, 2014 Jkt 232001 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 0–2, Form ADV–NR; OMB Control No. 3235–0240, SEC File No. 270–214. 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 extension and approval. The title for the collection of information is ‘‘Rule 0–2 and Form ADV–NR’’ under the Investment Advisers Act of 1940. Rule 0–2 and Form ADV–NR facilitate service of process to non-resident investment PO 00000 Frm 00047 Fmt 4703 Sfmt 4703 advisers and exempt reporting advisers and their non-resident general partners or non-resident managing agents. The Form requires these persons to designate the Commission as agent for service of process. The purpose of this collection of information is to enable the commencement of legal and or regulatory actions against investment advisers and exempt reporting advisers that are doing business in the United States, but are not residents. The respondents to this information collection would be each non-resident general partner or non-resident managing agent of an SEC-registered adviser and each non-resident general partner or non-resident managing agent of an exempt reporting adviser. The Commission has estimated that compliance with the requirement to complete Form ADV–NR imposes a total burden of approximately 1.0 hours for an adviser. Based on our experience with these filings, we estimate that we will receive 47 Form ADV–NR filings annually. Based on the 1.0 hours per respondent estimate, the Commission staff estimates a total annual burden of 47 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. 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 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. E:\FR\FM\19FEN1.SGM 19FEN1 Federal Register / Vol. 79, No. 33 / Wednesday, February 19, 2014 / Notices Dated: February 12, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–03578 Filed 2–18–14; 8:45 am] BILLING CODE 8011–01–P 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. EMCDONALD on DSK67QTVN1PROD with NOTICES Extension: Rule 17a–6 OMB Control No. 3235–0564, SEC File No. 270–506 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for extension of the previously approved collection of information discussed below. Section 17(a) of the Investment Company Act of 1940 (the ‘‘Act’’) generally prohibits affiliated persons of a registered investment company (‘‘fund’’) from borrowing money or other property from, or selling or buying securities or other property to or from, the fund or any company that the fund controls. 1 Rule 17a–6 (17 CFR 270.17a– 6) permits a fund and a ‘‘portfolio affiliate’’ (a company that is an affiliated person of the fund because the fund controls the company, or holds five percent or more of the company’s outstanding voting securities) to engage in principal transactions that would otherwise be prohibited under section 17(a) of the Act under certain conditions. A fund may not rely on the exemption in the rule to enter into a principal transaction with a portfolio affiliate if certain prohibited participants (e.g., directors, officers, employees, or investment advisers of the fund) have a financial interest in a party to the transaction. Rule 17a–6 specifies certain interests that are not ‘‘financial interests,’’ including 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. A board making this finding is required to record the basis for the finding in its meeting minutes. This recordkeeping requirement is a collection of 1 15 U.S.C. 80a–17(a). VerDate Mar<15>2010 16:15 Feb 18, 2014 information under the Paperwork Reduction Act of 1995 (‘‘PRA’’).2 The rule is designed to permit transactions between funds and their portfolio affiliates in circumstances in which it is unlikely that the affiliate would be in a position to take advantage of the fund. In determining whether a financial interest is ‘‘material,’’ the board of the fund should consider whether the nature and extent of the interest in the transaction is sufficiently small that a reasonable person would not believe that the interest affected the determination of whether to enter into the transaction or arrangement or the terms of the transaction or arrangement. The information collection requirements in rule 17a–6 are intended to ensure that Commission staff can review, in the course of its compliance and examination functions, the basis for a board of director’s finding that the financial interest of an otherwise prohibited participant in a party to a transaction with a portfolio affiliate is not material. Based on staff discussions with fund representatives, we estimate that funds currently do not rely on the exemption from the term ‘‘financial interest’’ with respect to 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. Accordingly, we estimate that annually there will be no principal transactions under rule 17a–6 that will result in a collection of information. The Commission requests authorization to maintain an inventory of one burden hour to ease future renewals of rule 17a–6’s collection of information analysis should funds rely on this exemption to the term ‘‘financial interest’’ as defined in rule 17a–6. The estimate of burden hours is made solely for the purposes of the Paperwork Reduction Act. The estimate is not derived from a comprehensive or even a representative survey or study of the costs of Commission rules. Complying with this collection of information requirement is necessary to obtain the benefit of relying on rule 17a–6. 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 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 2 44 Jkt 232001 PO 00000 U.S.C. 3501. Frm 00048 Fmt 4703 Sfmt 4703 9503 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, Chief Information Officer, Securities and Exchange Commission, c/ o Remi Pavlik-Simon, 100 F St, 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. February 12, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–03576 Filed 2–18–14; 8:45 am] BILLING CODE 8011–01–P 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: Rule 482; OMB Control No. 3235–0565, SEC File No. 270–508. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘Paperwork Reduction Act’’), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for extension of the previously approved collection of information discussed below. Like most issuers of securities, when an investment company (‘‘fund’’) 1 offers its shares to the public, its promotional efforts become subject to the advertising restrictions of the Securities Act of 1933 (15 U.S.C. 77) (the ‘‘Securities Act’’). In recognition of the particular problems faced by funds that continually offer securities and wish to advertise their securities, the Commission has previously adopted advertising safe harbor rules. The most important of these is rule 482 (17 CFR 230.482) under the Securities Act, which, under certain circumstances, permits funds to advertise investment performance data, as well as other information. Rule 482 advertisements are deemed to be 1 ‘‘Investment company’’ refers to both investment companies registered under the Investment Company Act of 1940 (‘‘Investment Company Act’’) (15 U.S.C. 80a–1 et seq.) and business development companies. E:\FR\FM\19FEN1.SGM 19FEN1

Agencies

[Federal Register Volume 79, Number 33 (Wednesday, February 19, 2014)]
[Notices]
[Pages 9502-9503]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-03578]


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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:
    Rule 0-2, Form ADV-NR; OMB Control No. 3235-0240, SEC File No. 
270-214.

    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 extension and approval.
    The title for the collection of information is ``Rule 0-2 and Form 
ADV-NR'' under the Investment Advisers Act of 1940. Rule 0-2 and Form 
ADV-NR facilitate service of process to non-resident investment 
advisers and exempt reporting advisers and their non-resident general 
partners or non-resident managing agents. The Form requires these 
persons to designate the Commission as agent for service of process. 
The purpose of this collection of information is to enable the 
commencement of legal and or regulatory actions against investment 
advisers and exempt reporting advisers that are doing business in the 
United States, but are not residents.
    The respondents to this information collection would be each non-
resident general partner or non-resident managing agent of an SEC-
registered adviser and each non-resident general partner or non-
resident managing agent of an exempt reporting adviser. The Commission 
has estimated that compliance with the requirement to complete Form 
ADV-NR imposes a total burden of approximately 1.0 hours for an 
adviser. Based on our experience with these filings, we estimate that 
we will receive 47 Form ADV-NR filings annually. Based on the 1.0 hours 
per respondent estimate, the Commission staff estimates a total annual 
burden of 47 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. 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 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.


[[Page 9503]]


    Dated: February 12, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-03578 Filed 2-18-14; 8:45 am]
BILLING CODE 8011-01-P
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