Proposed Collection; Comment Request, 19934-19935 [2014-08005]

Download as PDF 19934 Federal Register / Vol. 79, No. 69 / Thursday, April 10, 2014 / Notices Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. examination and oversight program are generally kept confidential. The records that an adviser must keep in accordance with rule 204–2 must generally be retained for not less than five years. The Commission has estimated that compliance with the requirements of the rule imposes a total burden of approximately 181.45 hours for an adviser. Based on our experience, the Commission staff estimates a total annual burden of 1,986,152 hours for the collection of this information. 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. Extension: Rule 204–2; OMB Control No. 3235–0278, SEC File No. 270–215. Dated: April 4, 2014. Kevin M. O’Neill, Deputy Secretary. 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 ‘‘Rule 204–2’’ (17 CFR 275.204–2) under the Investment Advisers Act of 1940 (15 U.S.C. 80b–1). Rule 204–2 requires SEC-registered investment advisers to maintain copies of certain books and records relating to their advisory business. The collection of information under rule 204–2 is necessary for the Commission staff to use in its examination and oversight program. This collection of information is mandatory. The respondents to the collection of information are investment advisers registered with the Commission. As of December 2, 2013, there were 10,946 SEC registered advisers. Responses provided to the Commission in the context of its [FR Doc. 2014–08003 Filed 4–9–14; 8:45 am] 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: April 2, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–08001 Filed 4–9–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION sroberts on DSK5SPTVN1PROD with NOTICES Submission for OMB Review; Comment Request VerDate Mar<15>2010 18:14 Apr 09, 2014 Jkt 232001 BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–485, OMB Control No. 3235–0547] Proposed Collection; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549. Extension: Investor Form. Notice is hereby given pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) that 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 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 Management and Budget for extension and approval. In both 2012 and 2013, the Commission received over a million contacts from investors who have complaints or questions on a wide range of investment-related issues. These contacts generally fall into the following three categories: (a) complaints against Commissionregulated individuals or entities; (b) questions concerning the federal securities laws, companies or firms that the Commission regulates, or other investment-related questions; and (c) tips concerning potential violations of the federal securities laws. Investors who submit complaints, ask questions, or provide tips do so voluntarily. To make it easier for the public to contact the agency electronically, the Commission created a series of investor complaint and question electronic forms. Investors can access forms through the SEC Center for Complaints and Enforcement Tips portal. The Commission consolidated four paper complaint forms into one electronic form (the Investor Form) that provides drop down options to choose from in order to categorize the investor’s complaint or question, and may also provide the investor with automated information about their issue. The investor may describe their complaint and submit it without their name or contact information. Although the Investor Form provides a structured format for incoming investor correspondence, the Commission does not require that investors use any particular form or format when contacting the agency. To the contrary, investors may submit complaints, questions, and tips through a variety of other means, including telephone, letter, facsimile, or email. Approximately 20,000 investors each year voluntarily choose to use the complaint and question forms. Investors who choose not to use the Investor Form receive the same level of service as those who do. The dual purpose of the form is to make it easier for the public to contact the agency with complaints, questions, tips, or other feedback and to streamline the workflow of the Commission staff who handle those contacts. The Commission has used—and will continue to use—the information that investors supply on the Investor Form to review and process the contact (which may, in turn, involve responding to questions, processing complaints, or, as appropriate, initiating enforcement investigations), to maintain a record of contacts, to track the volume of investor complaints, and to analyze trends. Use E:\FR\FM\10APN1.SGM 10APN1 Federal Register / Vol. 79, No. 69 / Thursday, April 10, 2014 / Notices sroberts on DSK5SPTVN1PROD with NOTICES of the Investor Form is strictly voluntary. The Investor Form will ask investors to provide information concerning, among other things, their names, how they can be reached, the names of the individuals or entities involved, the nature of their complaint or tip, what documents they can provide, and what, if any, actions they have taken. The staff of the Commission estimates that the total reporting burden for using the complaint and question forms is 5,000 hours. The calculation of this estimate depends on the number of investors who use the forms each year and the estimated time it takes to complete the forms: 20,000 respondents × 15 minutes = 5,000 burden hours. The Commission may not conduct or sponsor a collection of information unless it displays a currently valid 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 Office of Management and Budget (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 St. NE., Washington DC, 20549; or send an email to: PRA_Mailbox@ sec.gov. Dated: April 4, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–08005 Filed 4–9–14; 8:45 am] BILLING CODE 8011–01–P VerDate Mar<15>2010 19:15 Apr 09, 2014 Jkt 232001 SECURITIES AND EXCHANGE COMMISSION [OMB Control No. 3235–0688; SEC File No. 270–631] 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–5. 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 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 the 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 withdrawal 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 a one hour burden for administrative purposes. The collection of information under rule 203A–5 was mandatory. The information provided under rule 203A– 5 is 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, PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 19935 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. 2014–08000 Filed 4–9–14; 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 203A–2(e). OMB Control No. 3235–0559, SEC File No. 270–501. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for extension and approval of the previously approved collection of information discussed below. Rule 203A–2(e),1 which is entitled ‘‘Internet Investment Advisers,’’ exempts from the prohibition on Commission registration an Internet investment adviser who provides investment advice to all of its clients exclusively through computer softwarebased models or applications termed under the rule as ‘‘interactive Web sites.’’ 2 These advisers generally would not meet the statutory thresholds currently set out in section 203A of the 1 17 CFR 275.203A–2(e). in rule 203A–2(e) is a limited exception to the interactive Web site requirement which allows these advisers to provide investment advice to fewer than 15 clients through other means on an annual basis. 17 CFR 275.203A–2(e)(1)(i). The rule also precludes advisers in a control relationship with an SEC-registered Internet adviser from registering with the Commission under the common control exemption provided by rule 203A– 2(b) (17 CFR 275.203A–2(b)). 17 CFR 275.203A– 2(e)(1)(iii). 2 Included E:\FR\FM\10APN1.SGM 10APN1

Agencies

[Federal Register Volume 79, Number 69 (Thursday, April 10, 2014)]
[Notices]
[Pages 19934-19935]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-08005]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-485, OMB Control No. 3235-0547]


Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549.

Extension:
    Investor Form.

    Notice is hereby given pursuant to the Paperwork Reduction Act of 
1995 (44 U.S.C. 3501 et seq.) that 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 for extension and approval.
    In both 2012 and 2013, the Commission received over a million 
contacts from investors who have complaints or questions on a wide 
range of investment-related issues. These contacts generally fall into 
the following three categories:
    (a) complaints against Commission-regulated individuals or 
entities;
    (b) questions concerning the federal securities laws, companies or 
firms that the Commission regulates, or other investment-related 
questions; and
    (c) tips concerning potential violations of the federal securities 
laws.
    Investors who submit complaints, ask questions, or provide tips do 
so voluntarily. To make it easier for the public to contact the agency 
electronically, the Commission created a series of investor complaint 
and question electronic forms. Investors can access forms through the 
SEC Center for Complaints and Enforcement Tips portal. The Commission 
consolidated four paper complaint forms into one electronic form (the 
Investor Form) that provides drop down options to choose from in order 
to categorize the investor's complaint or question, and may also 
provide the investor with automated information about their issue. The 
investor may describe their complaint and submit it without their name 
or contact information.
    Although the Investor Form provides a structured format for 
incoming investor correspondence, the Commission does not require that 
investors use any particular form or format when contacting the agency. 
To the contrary, investors may submit complaints, questions, and tips 
through a variety of other means, including telephone, letter, 
facsimile, or email.
    Approximately 20,000 investors each year voluntarily choose to use 
the complaint and question forms. Investors who choose not to use the 
Investor Form receive the same level of service as those who do. The 
dual purpose of the form is to make it easier for the public to contact 
the agency with complaints, questions, tips, or other feedback and to 
streamline the workflow of the Commission staff who handle those 
contacts.
    The Commission has used--and will continue to use--the information 
that investors supply on the Investor Form to review and process the 
contact (which may, in turn, involve responding to questions, 
processing complaints, or, as appropriate, initiating enforcement 
investigations), to maintain a record of contacts, to track the volume 
of investor complaints, and to analyze trends. Use

[[Page 19935]]

of the Investor Form is strictly voluntary. The Investor Form will ask 
investors to provide information concerning, among other things, their 
names, how they can be reached, the names of the individuals or 
entities involved, the nature of their complaint or tip, what documents 
they can provide, and what, if any, actions they have taken.
    The staff of the Commission estimates that the total reporting 
burden for using the complaint and question forms is 5,000 hours. The 
calculation of this estimate depends on the number of investors who use 
the forms each year and the estimated time it takes to complete the 
forms: 20,000 respondents x 15 minutes = 5,000 burden hours.
    The Commission may not conduct or sponsor a collection of 
information unless it displays a currently valid 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 Office of Management and Budget (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 St. NE., Washington DC, 20549; or send an email to: 
PRA_Mailbox@sec.gov.

    Dated: April 4, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-08005 Filed 4-9-14; 8:45 am]
BILLING CODE 8011-01-P