Submission for OMB Review; Comment Request, 16838-16839 [2014-06601]

Download as PDF sroberts on DSK5SPTVN1PROD with NOTICES 16838 Federal Register / Vol. 79, No. 58 / Wednesday, March 26, 2014 / Notices determine the appropriateness of a request for approval of an objection to an eligible’s qualifications for Federal civilian employment or vouchers received during the processing of an application. The Privacy Act, at 5 U.S.C. 552a(k)(5), permits an agency to exempt such investigative material from certain provisions of the Act, to the extent that release of the material to the individual whom the information is about would— a. Reveal the identity of a source who furnished information to the Government under an express promise (granted on or after September 27, 1975) that the identity of the source would be held in confidence; or b. Reveal the identity of a source who, prior to September 27, 1975, furnished information to the Government under an implied promise that the identity of the source would be held in confidence. This system contains testing and examination materials used solely to determine individual qualifications for appointment or promotion in the Federal service. The Privacy Act, at 5 U.S.C. 552a(k)(6), permits an agency to exempt all such testing or examination material and information from certain provisions of the Act, when disclosure of the material would compromise the objectivity or fairness of the testing or examination process. OPM has claimed exemptions from the requirements of 5 U.S.C. 552a(d), which relate to access to and amendment of records. The specific material exempted include, but are not limited to, the following a. Answer keys. b. Assessment center exercises. c. Assessment center exercise reports. d. Assessor guidance material. e. Assessment center observation reports. f. Assessment center summary reports. g. Other applicant appraisal methods, such as performance tests, work samples and simulations, miniature training and evaluation exercises, structured interviews, and their associated evaluation guides and reports. h. Item analyses and similar data that contain test keys and item response data. i. Ratings given for validating examinations. j. Rating schedules, including crediting plans and scoring formulas for other selection procedures. k. Rating sheets. l. Test booklets, including the written instructions for their preparation and automated versions of tests and related selection materials and their complete documentation. m. Test item files. VerDate Mar<15>2010 17:43 Mar 25, 2014 Jkt 232001 n. Test answer sheets. [FR Doc. 2014–06593 Filed 3–25–14; 8:45 am] BILLING CODE 6325–39–P POSTAL SERVICE Board of Governors; Sunshine Act Meeting DATES AND TIMES: April 8, 2014, at 9:00 a.m. PLACE: Washington, DC. Closed. STATUS: MATTERS TO BE CONSIDERED: Tuesday, April 8, 2014 at 9:00 a.m. 1. Strategic Issues. 2. Financial Matters. 3. Pricing. 4. Personnel Matters and Compensation Issues. 5. Governors’ Executive Session— Discussion of prior agenda items and Board Governance. CONTACT PERSON FOR MORE INFORMATION: Julie S. Moore, Secretary of the Board, U.S. Postal Service, 475 L’Enfant Plaza SW., Washington, DC 20260–1000. Telephone (202) 268–4800. Julie S. Moore, Secretary. [FR Doc. 2014–06862 Filed 3–24–14; 4:15 pm] BILLING CODE 7710–12–P SECURITIES AND EXCHANGE COMMISSION [OMB Control No. 3235–0515, SEC File No. 270–456] 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: Schedule TO. 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 the request for extension of the previously approved collection of information discussed below. Schedule TO (17 CFR 240.14d–100) must be filed by a reporting company that makes a tender offer for its own securities. Also, persons other than the reporting company making a tender offer for equity securities registered PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 under Section 12 of the Exchange Act (15 U.S.C. 78l) (which offer, if consummated, would cause that person to own over 5% of that class of the securities) must file a Schedule TO. The purpose of Schedule TO is to improve communications between public companies and investors before companies file registration statements involving tender offer statements. This information is made available to the public. The information provided on Schedule TO is mandatory. Schedule TO takes approximately 43.5 hours per response and is filed by approximately 820 issuers annually. We estimate that 50% of the 43.5 hours per response (21.75 hours) is prepared by the issuer for an annual reporting burden of 17,835 hours (21.75 hours per response × 820 responses). 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 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. Dated: March 20, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–06609 Filed 3–25–14; 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 15b6–1 and Form BDW, SEC File No. 270–17, OMB Control No. 3235–0018. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 E:\FR\FM\26MRN1.SGM 26MRN1 Federal Register / Vol. 79, No. 58 / Wednesday, March 26, 2014 / Notices sroberts on DSK5SPTVN1PROD with NOTICES (‘‘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 15b6–1 (17 CFR 240.15b6–1), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Registered broker-dealers use Form BDW (17 CFR 249.501a) to withdraw from registration with the Commission, the self-regulatory organizations, and the states. On average, the Commission estimates that it would take a brokerdealer approximately one hour to complete and file a Form BDW to withdraw from Commission registration as required by Rule 15b6–1. The Commission estimates that approximately 488 broker-dealers withdraw from Commission registration annually 1 and, therefore, file a Form BDW via the Internet with the Central Registration Depository, a computer system operated by the Financial Industry Regulatory Authority, Inc. that maintains information regarding registered broker-dealers and their registered personnel. The 488 brokerdealers that withdraw from registration by filing Form BDW would incur an aggregate annual reporting burden of approximately 488 hours.2 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, Director/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. 1 This estimate is based on Form BDW data collected over the past three years for fully registered broker-dealers. In fiscal year (from 10/1 through 9/30) 2011, 524 broker-dealers withdrew from registration. In fiscal year 2012, 428 brokerdealers withdrew from registration. In fiscal year 2013, 513 broker-dealers withdrew from registration. (524 + 428 + 513)/3 = 488. 2 (488 × 1 hour) = 488 hours. VerDate Mar<15>2010 17:43 Mar 25, 2014 Jkt 232001 Dated: March 20, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–06601 Filed 3–25–14; 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 611, SEC File No. 270–540, OMB Control No. 3235–0600. 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’’) is soliciting comments on the existing collection of information provided for in Rule 611 (17 CFR 242.611). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. • Rule 611 (17 CFR 242.611)—Order Protection Rule On June 9, 2005, effective August 29, 2005 (see 70 FR 37496, June 29, 2005), the Commission adopted Rule 611 of Regulation NMS under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) to require any national securities exchange, national securities association, alternative trading system, exchange market maker, over-thecounter market maker, and any other broker-dealer that executes orders internally by trading as principal or crossing orders as agent, to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the execution of a transaction in its market at a price that is inferior to a bid or offer displayed in another market at the time of execution (a ‘‘trade-though’’), absent an applicable exception and, if relying on an exception, that are reasonably designed to assure compliance with the terms of the exception. Without this collection of information, respondents would not have a means to enforce compliance with the Commission’s intention to prevent trade-throughs pursuant to the rule. There are approximately 641 respondents 1 per year that will require 1 This estimate includes thirteen national securities exchanges and one national securities PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 16839 an aggregate total of 38,460 hours to comply with this rule. It is anticipated that each respondent will continue to expend approximately 60 hours annually: Two hours per month of internal legal time and three hours per month of internal compliance time to ensure that its written policies and procedures are up-to-date and remain in compliance with Rule 611. The estimated cost for an in-house attorney is $379 per hour and the estimated cost for an assistant compliance director in the securities industry is $354 per hour. Therefore the estimated total cost of compliance for the annual hour burden is as follows: [(2 legal hours × 12 months × $379) × 641] + [(3 compliance hours × 12 months × $354) × 641] = $13,999,440.2 Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be 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 under the PRA unless it displays a currently valid OMB control number. Please direct your written comments 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 association that trade NMS stocks. The estimate also includes the approximately 584 firms that were registered equity market makers or specialists at year-end 2012, as well as 43 alternative trading systems that operate trading systems that trade NMS stocks. 2 The total cost of compliance for the annual hour burden has been revised to reflect updated estimated cost figures for an in-house attorney and an assistant compliance director. These figures are from SIFMA’s Management & Professional Earnings in the Securities Industry 2012, modified by Commission staff to account for an 1800-hour workyear and multiplied by 5.35 to account for bonuses, firm size, employee benefits, and overhead. E:\FR\FM\26MRN1.SGM 26MRN1

Agencies

[Federal Register Volume 79, Number 58 (Wednesday, March 26, 2014)]
[Notices]
[Pages 16838-16839]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-06601]


-----------------------------------------------------------------------

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 15b6-1 and Form BDW, SEC File No. 270-17, OMB Control No. 
3235-0018.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995

[[Page 16839]]

(``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 
15b6-1 (17 CFR 240.15b6-1), under the Securities Exchange Act of 1934 
(15 U.S.C. 78a et seq.).
    Registered broker-dealers use Form BDW (17 CFR 249.501a) to 
withdraw from registration with the Commission, the self-regulatory 
organizations, and the states. On average, the Commission estimates 
that it would take a broker-dealer approximately one hour to complete 
and file a Form BDW to withdraw from Commission registration as 
required by Rule 15b6-1. The Commission estimates that approximately 
488 broker-dealers withdraw from Commission registration annually \1\ 
and, therefore, file a Form BDW via the Internet with the Central 
Registration Depository, a computer system operated by the Financial 
Industry Regulatory Authority, Inc. that maintains information 
regarding registered broker-dealers and their registered personnel. The 
488 broker-dealers that withdraw from registration by filing Form BDW 
would incur an aggregate annual reporting burden of approximately 488 
hours.\2\
---------------------------------------------------------------------------

    \1\ This estimate is based on Form BDW data collected over the 
past three years for fully registered broker-dealers. In fiscal year 
(from 10/1 through 9/30) 2011, 524 broker-dealers withdrew from 
registration. In fiscal year 2012, 428 broker-dealers withdrew from 
registration. In fiscal year 2013, 513 broker-dealers withdrew from 
registration. (524 + 428 + 513)/3 = 488.
    \2\ (488 x 1 hour) = 488 hours.
---------------------------------------------------------------------------

    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, Director/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 20, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-06601 Filed 3-25-14; 8:45 am]
BILLING CODE 8011-01-P
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