Proposed Collection; Comment Request, 14310 [2014-05459]
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Federal Register / Vol. 79, No. 49 / Thursday, March 13, 2014 / Notices
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.
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, D.C. 20549–0213.
TKELLEY on DSK3SPTVN1PROD with NOTICES
Extension:
Rule 163, OMB Control No. 3235–0619,
SEC File No. 270–556.
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.
Rule 163 (17 CFR 230.163) provides
an exemption from Section 5(c) under
the Securities Act of 1933 (15 U.S.C. 77a
et seq.) for certain communications by
or on behalf of a well-known seasoned
issuer. The information filed under Rule
163 is publicly available. We estimate
that it takes approximately 0.24 burden
hours per response to provide the
information required under Rule 163
and that the information is filed by
approximately 53 respondents for a total
annual reporting burden of 13 hours.
We estimate that 25% of 0.24 hours per
response (0.06 hours) is prepared by the
respondent for a total annual burden of
3 hours (0.06 hours per response × 53
responses).
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the
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 imposed by 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
VerDate Mar<15>2010
17:33 Mar 12, 2014
Jkt 232001
Dated: March 7, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–05459 Filed 3–12–14; 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.
Extension:
Rule 17a–22; SEC File No. 270–202, OMB
Control No. 3235–0196.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Securities and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17a–22 (17 CFR 240.17a–22) under
the Securities Exchange Act of 1934
(‘‘Exchange Act’’) (15 U.S.C. 78a et seq.).
Rule 17a–22 requires all registered
clearing agencies to file with the
Commission three copies of all materials
they issue or make generally available to
their participants or other entities with
whom they have a significant
relationship, such as pledges, transfer
agents, or self-regulatory organizations.
Such materials include manuals,
notices, circulars, bulletins, lists, and
periodicals. The filings with the
Commission must be made within ten
days after the materials are issued or
made generally available. When the
Commission is not the clearing agency’s
appropriate regulatory agency, the
clearing agency must file one copy of
the material with its appropriate
regulatory agency. The Commission is
responsible for overseeing clearing
agencies and uses the information filed
pursuant to Rule 17a–22 to determine
whether a clearing agency is
implementing procedural or policy
changes. The information filed aides the
Commission in determining whether
such changes are consistent with the
purposes of Section 17A of the
Exchange Act. Also, the Commission
uses the information to determine
PO 00000
Frm 00099
Fmt 4703
Sfmt 4703
whether a clearing agency has changed
its rules without reporting the actual or
prospective change to the Commission
as required under Section 19(b) of the
Exchange Act.
The respondents to Rule 17a–22 are
registered clearing agencies. The
frequency of filings made by clearing
agencies pursuant to Rule 17a–22 varies
but on average there are approximately
200 filings per year per active clearing
agency. There are seven active
registered clearing agencies. The
Commission staff estimates that each
response requires approximately .25
hours (fifteen minutes), which
represents the time it takes for a staff
person at the clearing agency to
properly identify a document subject to
the rule, print and makes copies, and
mail that document to the Commission.
Thus, the total annual burden for all
active clearing agencies is 350 hours (7
clearing agencies multiplied by 200
filings per clearing agency multiplied by
.25 hours) and a total of 50 hours (1400
responses multiplied by .25 hours,
divided by 7 active clearing agencies)
per year are expended by each
respondent to comply with the rule.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
under the PRA unless it displays a
currently valid OMB control number.
The public may view 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, Chief Information Officer,
Securities and Exchange Commission,
c/o Remi Pavlik-Simon, 100 F. Street,
NE Washington, DC 20549, or by
sending an email to: PRA_Mailbox@
sec.gov. Comments must be submitted to
OMB within 30 days of this notice.
Dated: March 7, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–05458 Filed 3–12–14; 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
E:\FR\FM\13MRN1.SGM
13MRN1
]]>Agencies
[Federal Register Volume 79, Number 49 (Thursday, March 13, 2014)]
[Notices]
[Page 14310]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-05459]
[[Page 14310]]
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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, D.C.
20549-0213.
Extension:
Rule 163, OMB Control No. 3235-0619, SEC File No. 270-556.
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.
Rule 163 (17 CFR 230.163) provides an exemption from Section 5(c)
under the Securities Act of 1933 (15 U.S.C. 77a et seq.) for certain
communications by or on behalf of a well-known seasoned issuer. The
information filed under Rule 163 is publicly available. We estimate
that it takes approximately 0.24 burden hours per response to provide
the information required under Rule 163 and that the information is
filed by approximately 53 respondents for a total annual reporting
burden of 13 hours. We estimate that 25% of 0.24 hours per response
(0.06 hours) is prepared by the respondent for a total annual burden of
3 hours (0.06 hours per response x 53 responses).
Written comments are invited on: (a) Whether this proposed
collection of information is necessary for the 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 imposed by 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: March 7, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-05459 Filed 3-12-14; 8:45 am]
BILLING CODE 8011-01-P
