Submission for OMB Review; Comment Request, 19932-19933 [2014-07998]
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19932
Federal Register / Vol. 79, No. 69 / Thursday, April 10, 2014 / Notices
time at an average of 20 minutes per
response for a total of 1,000 hours.
Consult With Other Agencies & The
Public: NSF has not consulted with
other agencies. However, the contractor
conducting the evaluation has gathered
information from an external working
group of subject matter experts on the
study design and data collection plan. A
request for public comments will be
solicited through announcement of data
collection in the Federal Register.
Comments: 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 shall have practical utility;
(b) the accuracy of the Agency’s
estimate of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information on respondents,
including through the use of automated
collection techniques or other forms of
information technology; and (d) ways to
minimize the burden of the collection of
information on those who are to
respond, including through the use of
appropriate automated, electronic,
mechanical, or other technological
collection techniques or other forms of
information technology. Comments
submitted in response to this notice will
be summarized and/or included in the
request for OMB approval of this
information collection; they also will
become a matter of public record.
Dated: April 4, 2014.
Suzanne Plimpton,
Reports Clearance Officer, National Science
Foundation.
[FR Doc. 2014–07963 Filed 4–9–14; 8:45 am]
BILLING CODE 7555–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
sroberts on DSK5SPTVN1PROD with NOTICES
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 203A–2(d), OMB Control No. 3235–
0689, SEC File No. 270–630.
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’’) a request for extension of the
VerDate Mar<15>2010
18:14 Apr 09, 2014
Jkt 232001
previously approved collection of
information discussed below.
The title of the collection of
information is: ‘‘Exemption for Certain
Multi-State Investment Advisers (Rule
203A–2(d)).’’ Its currently approved
OMB control number is 3235–0689. 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.
Pursuant to section 203A of the
Investment Advisers Act of 1940 (the
‘‘Act’’) (15 U.S.C. 80b–3a), an
investment adviser that is regulated or
required to be regulated as an
investment adviser in the state in which
it maintains its principal office and
place of business is prohibited from
registering with the Commission unless
that adviser has at least $25 million in
assets under management or advises a
Commission-registered investment
company. Section 203A also prohibits
from Commission registration an adviser
that: (i) Has assets under management
between $25 million and $100 million;
(ii) is required to be registered as an
investment adviser with the state in
which it maintains its principal office
and place of business; and (iii) if
registered, would be subject to
examination as an adviser by that state
(a ‘‘mid-sized adviser’’). A mid-sized
adviser that otherwise would be
prohibited may register with the
Commission if it would be required to
register with 15 or more states.
Similarly, Rule 203A–2(d) under the Act
(17 CFR 275.203a–2(d)) provides that
the prohibition on registration with the
Commission does not apply to an
investment adviser that is required to
register in 15 or more states. An
investment adviser relying on this
exemption also must: (i) Include a
representation on Schedule D of Form
ADV that the investment adviser has
concluded that it must register as an
investment adviser with the required
number of states; (ii) undertake to
withdraw from registration with the
Commission if the adviser indicates on
an annual updating amendment to Form
ADV that it would be required by the
laws of fewer than 15 states to register
as an investment adviser with the state;
and (iii) maintain in an easily accessible
place a record of the states in which the
investment adviser has determined it
would, but for the exemption, be
required to register for a period of not
less than five years from the filing of a
Form ADV relying on the rule.
Respondents to this collection of
information are investment advisers
required to register in 15 or more states
absent the exemption that rely on rule
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Fmt 4703
Sfmt 4703
203A–2(d) to register with the
Commission. The information collected
under rule 203A–2(d) permits the
Commission’s examination staff to
determine an adviser’s eligibility for
registration with the Commission under
this exemptive rule and is also
necessary for the Commission staff to
use in its examination and oversight
program. This collection of information
is codified at 17 CFR 275.203a–2(d) and
is mandatory to qualify for and maintain
Commission registration eligibility
under rule 203A–2(d). Responses to the
recordkeeping requirements under rule
203A–2(d) in the context of the
Commission’s examination and
oversight program are generally kept
confidential.
The estimated number of investment
advisers subject to the collection of
information requirements under the rule
is 152. These advisers will incur an
average one-time initial burden of
approximately 8 hours, and an average
ongoing burden of approximately 8
hours per year, to keep records
sufficient to demonstrate that they meet
the 15-state threshold. These estimates
are based on an estimate that each year
an investment adviser will spend
approximately 0.5 hours creating a
record of its determination whether it
must register as an investment adviser
with each of the 15 states required to
rely on the exemption, and
approximately 0.5 hours to maintain
these records. Accordingly, we estimate
that rule 203A–2(d) results in an annual
aggregate burden of collection for SECregistered investment advisers of a total
of 1,216 hours. Estimates of average
burden hours are made solely for the
purposes of the Paperwork Reduction
Act, and are not derived from a
comprehensive or even a representative
survey or study of the costs of
Commission rules and forms.
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, 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\10APN1.SGM
10APN1
Federal Register / Vol. 79, No. 69 / Thursday, April 10, 2014 / Notices
Dated: April 4, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–07998 Filed 4–9–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0538, SEC File No.
270–481]
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.
sroberts on DSK5SPTVN1PROD with NOTICES
Extension:
Rule 203–3, Form ADV–H.
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’’) a request for extension of the
previously approved collection of
information discussed below.
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
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
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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.
Rule 203–3, rule 204–4, and Form
ADV–H do not require recordkeeping or
records retention. The collection of
information requirements under the rule
and form are mandatory. The
information collected pursuant to the
rule and Form ADV–H consists of filings
with the Commission. These filings are
not kept confidential. 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, 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: April 4, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–08002 Filed 4–9–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0313, SEC File No.
270–40]
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 203–2 and Form ADV–W.
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
PO 00000
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Fmt 4703
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19933
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
The title for the collection of
information is ‘‘Rule 203–2 (17 CFR
275.203–2) and Form ADV–W (17 CFR
279.2) under the Investment Advisers
Act of 1940 (15 U.S.C. 80b).’’ Rule
203–2 under the Investment Advisers
Act of 1940 establishes procedures for
an investment adviser to withdraw its
registration with the Commission. Rule
203–2 requires every person
withdrawing from investment adviser
registration with the Commission to file
Form ADV–W electronically on the
Investment Adviser Registration
Depository (‘‘IARD’’). The purpose of
the information collection is to notify
the Commission and the public when an
investment adviser withdraws its
pending or approved SEC registration.
Typically, an investment adviser files a
Form ADV–W when it ceases doing
business or when it is ineligible to
remain registered with the Commission.
The respondents to the collection of
information are all investment advisers
that are registered with the Commission
or have applications pending for
registration. The Commission has
estimated that compliance with the
requirement to complete Form ADV–W
imposes a total burden of approximately
0.75 hours (45 minutes) for an adviser
filing for full withdrawal and
approximately 0.25 hours (15 minutes)
for an adviser filing for partial
withdrawal. Based on historical filings,
the Commission estimates that there are
approximately 600 respondents
annually filing for full withdrawal and
approximately 200 respondents
annually filing for partial withdrawal.
Based on these estimates, the total
estimated annual burden would be 500
hours ((600 respondents × .75 hours) +
(200 respondents × .25 hours)).
Rule 203–2 and Form ADV–W do not
require recordkeeping or records
retention. The collection of information
requirements under the rule and form
are mandatory. The information
collected pursuant to the rule and Form
ADV–W are filings with the
Commission. These filings are not kept
confidential. 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.
Written comments are invited on: (a)
Whether the documentation 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
E:\FR\FM\10APN1.SGM
10APN1
]]>Agencies
[Federal Register Volume 79, Number 69 (Thursday, April 10, 2014)]
[Notices]
[Pages 19932-19933]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-07998]
=======================================================================
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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:
Rule 203A-2(d), OMB Control No. 3235-0689, SEC File No. 270-630.
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'') a request for extension of the previously approved collection
of information discussed below.
The title of the collection of information is: ``Exemption for
Certain Multi-State Investment Advisers (Rule 203A-2(d)).'' Its
currently approved OMB control number is 3235-0689. 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.
Pursuant to section 203A of the Investment Advisers Act of 1940
(the ``Act'') (15 U.S.C. 80b-3a), an investment adviser that is
regulated or required to be regulated as an investment adviser in the
state in which it maintains its principal office and place of business
is prohibited from registering with the Commission unless that adviser
has at least $25 million in assets under management or advises a
Commission-registered investment company. Section 203A also prohibits
from Commission registration an adviser that: (i) Has assets under
management between $25 million and $100 million; (ii) is required to be
registered as an investment adviser with the state in which it
maintains its principal office and place of business; and (iii) if
registered, would be subject to examination as an adviser by that state
(a ``mid-sized adviser''). A mid-sized adviser that otherwise would be
prohibited may register with the Commission if it would be required to
register with 15 or more states. Similarly, Rule 203A-2(d) under the
Act (17 CFR 275.203a-2(d)) provides that the prohibition on
registration with the Commission does not apply to an investment
adviser that is required to register in 15 or more states. An
investment adviser relying on this exemption also must: (i) Include a
representation on Schedule D of Form ADV that the investment adviser
has concluded that it must register as an investment adviser with the
required number of states; (ii) undertake to withdraw from registration
with the Commission if the adviser indicates on an annual updating
amendment to Form ADV that it would be required by the laws of fewer
than 15 states to register as an investment adviser with the state; and
(iii) maintain in an easily accessible place a record of the states in
which the investment adviser has determined it would, but for the
exemption, be required to register for a period of not less than five
years from the filing of a Form ADV relying on the rule.
Respondents to this collection of information are investment
advisers required to register in 15 or more states absent the exemption
that rely on rule 203A-2(d) to register with the Commission. The
information collected under rule 203A-2(d) permits the Commission's
examination staff to determine an adviser's eligibility for
registration with the Commission under this exemptive rule and is also
necessary for the Commission staff to use in its examination and
oversight program. This collection of information is codified at 17 CFR
275.203a-2(d) and is mandatory to qualify for and maintain Commission
registration eligibility under rule 203A-2(d). Responses to the
recordkeeping requirements under rule 203A-2(d) in the context of the
Commission's examination and oversight program are generally kept
confidential.
The estimated number of investment advisers subject to the
collection of information requirements under the rule is 152. These
advisers will incur an average one-time initial burden of approximately
8 hours, and an average ongoing burden of approximately 8 hours per
year, to keep records sufficient to demonstrate that they meet the 15-
state threshold. These estimates are based on an estimate that each
year an investment adviser will spend approximately 0.5 hours creating
a record of its determination whether it must register as an investment
adviser with each of the 15 states required to rely on the exemption,
and approximately 0.5 hours to maintain these records. Accordingly, we
estimate that rule 203A-2(d) results in an annual aggregate burden of
collection for SEC-registered investment advisers of a total of 1,216
hours. Estimates of average burden hours are made solely for the
purposes of the Paperwork Reduction Act, and are not derived from a
comprehensive or even a representative survey or study of the costs of
Commission rules and forms.
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, 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 19933]]
Dated: April 4, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-07998 Filed 4-9-14; 8:45 am]
BILLING CODE 8011-01-P
