Proposed Collection; Comment Request, 28560-28561 [2014-11298]
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EMCDONALD on DSK67QTVN1PROD with NOTICES
28560
Federal Register / Vol. 79, No. 95 / Friday, May 16, 2014 / Notices
Register under the provisions of the
Paperwork Reduction Act of 1995 (44
U.S.C. Chapter 35).
Information pertaining to the
requirement to be submitted:
1. The title of the information
collection: NRC Form 241, ‘‘Report of
Proposed Activities in Non-Agreement
States, Areas of Exclusive Federal
Jurisdiction, or Offshore Waters.’’
2. Current OMB approval number:
3150–0013.
3. How often the collection is
required: NRC Form 241 must be
submitted each time an Agreement State
licensee wants to engage in or revise its
activities involving the use of
radioactive byproduct material in a nonAgreement State, areas of exclusive
Federal jurisdiction, or offshore waters.
The NRC may waive the requirements
for filing additional copies of NRC Form
241 during the remainder of the
calendar year following receipt of the
initial form.
4. Who is required or asked to report:
Any licensee who holds a specific
license from an Agreement State and
wants to conduct the same activity in
non-Agreement States, areas of
exclusive Federal jurisdiction, or
offshore waters under the general
license in Section 150.20 of Title 10 of
the Code of Federal Regulations (10
CFR).
5. The number of annual respondents:
153 respondents.
6. The number of hours needed
annually to complete the requirement or
request: 293.25 hours (76.5 hours for
initial submission + 201.25 hours for
changes + 15.5 hours for clarifications)
7. Abstract: Any Agreement State
licensee who engages in the use of
radioactive material in non-Agreement
States, areas of exclusive Federal
jurisdiction, or offshore waters, under
the general license in 10 CFR 150.20, is
required to file, with the NRC Regional
Administrator for the Region in which
the Agreement State that issues the
license is located, a copy of NRC Form
241 (‘‘Report of Proposed Activities in
Non-Agreement States, Areas of
Exclusive Federal Jurisdiction, or
Offshore Waters’’), a copy of its
Agreement State specific license, and
the appropriate fee as prescribed in 10
CFR 170.31 at least 3 days before
engaging in such activity. This
mandatory notification permits the NRC
to schedule inspections of the activities
to determine whether the activities are
being conducted in accordance with
requirements for protection of the
public health and safety.
DATES: Submit, by July 15, 2014,
comments that address the following
questions:
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1. Is the proposed collection of
information necessary for the NRC to
properly perform its functions? Does the
information have practical utility?
2. Is the burden estimate accurate?
3. Is there a way to enhance the
quality, utility, and clarity of the
information to be collected?
4. How can the burden of the
information collection be minimized,
including the use of automated
collection techniques or other forms of
information technology?
The public may examine and have
copied for a fee publicly-available
documents, including the draft
supporting statement, at the NRC’s
Public Document Room, Room O–1F21,
One White Flint North, 11555 Rockville
Pike, Rockville, Maryland 20852. The
OMB clearance requests are available at
the NRC’s Web site: https://www.nrc.gov/
public-involve/doc-comment/omb/. The
document will be available on the NRC
home page site for 60 days after the
signature date of this notice.
Comments submitted in writing or in
electronic form will be made available
for public inspection. Because your
comments will not be edited to remove
any identifying or contact information,
the NRC cautions you against including
any information in your submission that
you do not want to be publicly
disclosed. Comments submitted should
reference Docket No. NRC–2014–0110.
You may submit your comments by any
of the following methods: Electronic
comments go to https://
www.regulations.gov and search for
Docket No. NRC–2014–0110. Mail
comments to the Acting NRC Clearance
Officer, Kristen Benney (T–5 F50), U.S.
Nuclear Regulatory Commission,
Washington, DC 20555–0001.
Questions about the information
collection requirements may be directed
to the Acting NRC Clearance Officer,
Kristen Benney (T–5 F50), U.S. Nuclear
Regulatory Commission, Washington,
DC 20555–0001, by telephone at 301–
415–6355, or by email to
INFOCOLLECTS.Resource@NRC.GOV.
Dated at Rockville, Maryland, this 12th day
of May, 2014.
For the Nuclear Regulatory Commission.
Kristen Benney,
Acting NRC Clearance Officer, Office of
Information Services.
[FR Doc. 2014–11376 Filed 5–15–14; 8:45 am]
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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:
Form TCR—Implementing the
Whistleblower Provisions of Section 21F
of the Securities Exchange Act of 1934;
SEC File No. 270–625, OMB Control No.
3235–0686.
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’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit an extension for this
current collection of information to the
Office of Management and Budget for
approval.
In Release No. 34–64545,1 the
Commission adopted rules (‘‘Rules’’)
and forms to implement Section 21F of
the Securities Exchange Act of 1934
entitled ‘‘Securities Whistleblower
Incentives and Protection,’’ which was
created by Section 922 of the DoddFrank Wall Street Reform and Consumer
Protection Act (‘‘Dodd-Frank Act’’).2
The Rules describe the whistleblower
program that the Commission has
established pursuant to the Dodd-Frank
Act which requires the Commission to
pay an award, subject to certain
limitations and conditions, to
whistleblowers who voluntarily provide
the Commission with original
information about a violation of the
federal securities laws that leads to the
successful enforcement of a covered
judicial or administrative action, or of a
related action. The Rules define certain
terms critical to the operation of the
whistleblower program, outline the
procedures for applying for awards and
the Commission’s procedures for
making decisions on claims, and
generally explain the scope of the
whistleblower program to the public
and to potential whistleblowers.
Form TCR is a form submitted by
whistleblowers who wish to provide
information to the Commission and its
staff regarding potential violations of the
securities laws. Form TCR is required
1 Implementation of the Whistleblower Provisions
of Section 21F of the Securities Exchange Act of
1934, Release No. 34–64545; File No. S7–33–10
(adopted May 25, 2011).
2 Public Law 111–203, § 922(a), 124 Stat 1841
(2010).
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Federal Register / Vol. 79, No. 95 / Friday, May 16, 2014 / Notices
for submission of information under the
Rules. The Commission estimates that it
takes a whistleblower, on average, one
and one-half hours to complete Form
TCR. Based on the receipt of 3,120
annual responses on average for the past
two fiscal years,3 the Commission
estimates that the annual PRA burden of
Form TCR is 4,680 hours.
Form WB–APP is a form that is
submitted by whistleblowers filing a
claim for a whistleblower award. Form
WB–APP is required for application for
an award under the Rules. The
Commission estimates that it takes a
whistleblower, on average, two hours to
complete Form WB–APP. The
completion time depends largely on the
complexity of the alleged violation and
the amount of information the
whistleblower possesses in support of
his or her application for an award.
Based on the receipt of 53 annual
responses on average for the past two
fiscal years, the Commission estimates
that the annual PRA burden of Form
WB–APP is 106 hours.
SECURITIES AND EXCHANGE
COMMISSION
the most significant aspects of such
statements.
[Release No. 34–72152; File No. SR–Phlx–
2014–32]
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
Self-Regulatory Organizations;
NASDAQ OMX PHLX LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change Regarding the
Limitation on Entering Electronic Limit
Orders From Off the Floor of the
Exchange
May 12, 2014.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 2 thereunder,
notice is hereby given that on May 2,
2014, NASDAQ OMX PHLX LLC
(‘‘Phlx’’ or ‘‘Exchange’’) filed with the
Securities and Exchange Commission
(‘‘SEC’’ or ‘‘Commission’’) the proposed
rule change as described in Items I, II,
and III below, which Items have been
prepared by the Exchange. The
Commission is publishing this notice to
solicit comments on the proposed rule
change from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of the Substance
of the Proposed Rule Change
Written comments are invited on: (a)
Whether this 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 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. Please direct your written
comments to Thomas Bayer, Director/
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.
EMCDONALD on DSK67QTVN1PROD with NOTICES
Estimated annual reporting burden =
4,786 hours
The Exchange is filing with the
Commission a proposal to amend Phlx
Rule 1080 (Phlx XL and Phlx XL II) to
change the limitation on Exchange
members entering, or facilitating entry
of, electronic limit orders in the same
option series from off the floor of the
Exchange, so that the limitation does
not apply to off floor broker dealers or
Professionals as defined in Rule
1000(b)(14).3
The text of the proposed rule change
is available on the Exchange’s Web site
at https://nasdaqomxphlx.cchwall
street.com, at the principal office of the
Exchange, and at the Commission’s
Public Reference Room.
Dated: May 12, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–11298 Filed 5–15–14; 8:45 am]
BILLING CODE 8011–01–P
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
1 15
3 Fiscal
Year 2012 marks the first full year of
whistleblower program data since the enactment of
the Rules.
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U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 As discussed in the proposal, the limitation will
continue to apply to Professional all-or-none orders.
2 17
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1. Purpose
The purpose of the proposed rule
change is to amend Phlx Rule 1080(j) to
change the limitation on Exchange
members entering, or facilitating entry
of, electronic limit orders in the same
option series from off the floor of the
Exchange (known as ‘‘limitation’’ or
‘‘limitation on orders’’), so that the
limitation does not apply to off floor
broker dealers or Professionals as
defined in Rule 1000(b)(14).4
This proposal will align the Exchange
with other options markets that do not
limit the entry of off floor broker dealer
and Professional limit orders, and
effectively acting as market makers.5
There are, along with specialists,
several types of Registered Option
Traders (‘‘ROTs’’) on the Exchange.
These include market makers that are
Streaming Quote Traders (‘‘SQTs’’),6
Directed Streaming Quote Traders
(‘‘DSQTs’’), Remote Streaming Quote
Traders (‘‘RSQTs’’) 7 and Directed
Remote Streaming Quote Traders
(‘‘DRSQTs’’).8 Specialists may function
4 Per Rule 1000(b)(14), the term ‘‘Professional’’
means any person or entity that (i) is not a broker
or dealer in securities, and (ii) places more than 390
orders in listed options per day on average during
a calendar month for its own beneficial account(s).
5 See subsection (b) of International Securities
Exchange (‘‘ISE’’) Rule 717 (Limitations on Orders).
As discussed, while the language of the ISE Rule
717 and Exchange Rule 1080(j) is different, as a
result of this filing the practical effect of the rules
will be similar.
6 An SQT is an ROT who has received permission
from the Exchange to generate and submit option
quotations electronically in eligible options to
which such SQT is assigned. An SQT may only
submit such quotations while such SQT is
physically present on the floor of the Exchange. See
Phlx Rule 1014(b)(ii)(A).
7 An RSQT is an ROT that is a member or member
organization with no physical trading floor
presence who has received permission from the
Exchange to generate and submit option quotations
electronically in eligible options to which such
RSQT has been assigned. An RSQT may only
submit such quotations electronically from off the
floor of the Exchange. See Phlx Rule 1014(b)(ii)(B).
As many as three RSQTs may be affiliated with an
RSQT Organization.
8 A DSQT is an SQT and a DRSQT is an RSQT
that receives a Directed Order. Exchange Phlx Rule
1080(l)(i)(A) defines Directed Order as any
customer order (other than a stop or stop-limit order
as defined in Phlx Rule 1066) to buy or sell which
has been directed to a particular specialist, RSQT,
or SQT by an Order Flow Provider and delivered
to the Exchange via its electronic quoting, execution
and trading system.
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]]>Agencies
[Federal Register Volume 79, Number 95 (Friday, May 16, 2014)]
[Notices]
[Pages 28560-28561]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-11298]
=======================================================================
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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:
Form TCR--Implementing the Whistleblower Provisions of Section
21F of the Securities Exchange Act of 1934; SEC File No. 270-625,
OMB Control No. 3235-0686.
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'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit an extension for this current collection of information to the
Office of Management and Budget for approval.
In Release No. 34-64545,\1\ the Commission adopted rules
(``Rules'') and forms to implement Section 21F of the Securities
Exchange Act of 1934 entitled ``Securities Whistleblower Incentives and
Protection,'' which was created by Section 922 of the Dodd-Frank Wall
Street Reform and Consumer Protection Act (``Dodd-Frank Act'').\2\ The
Rules describe the whistleblower program that the Commission has
established pursuant to the Dodd-Frank Act which requires the
Commission to pay an award, subject to certain limitations and
conditions, to whistleblowers who voluntarily provide the Commission
with original information about a violation of the federal securities
laws that leads to the successful enforcement of a covered judicial or
administrative action, or of a related action. The Rules define certain
terms critical to the operation of the whistleblower program, outline
the procedures for applying for awards and the Commission's procedures
for making decisions on claims, and generally explain the scope of the
whistleblower program to the public and to potential whistleblowers.
---------------------------------------------------------------------------
\1\ Implementation of the Whistleblower Provisions of Section
21F of the Securities Exchange Act of 1934, Release No. 34-64545;
File No. S7-33-10 (adopted May 25, 2011).
\2\ Public Law 111-203, Sec. 922(a), 124 Stat 1841 (2010).
---------------------------------------------------------------------------
Form TCR is a form submitted by whistleblowers who wish to provide
information to the Commission and its staff regarding potential
violations of the securities laws. Form TCR is required
[[Page 28561]]
for submission of information under the Rules. The Commission estimates
that it takes a whistleblower, on average, one and one-half hours to
complete Form TCR. Based on the receipt of 3,120 annual responses on
average for the past two fiscal years,\3\ the Commission estimates that
the annual PRA burden of Form TCR is 4,680 hours.
---------------------------------------------------------------------------
\3\ Fiscal Year 2012 marks the first full year of whistleblower
program data since the enactment of the Rules.
---------------------------------------------------------------------------
Form WB-APP is a form that is submitted by whistleblowers filing a
claim for a whistleblower award. Form WB-APP is required for
application for an award under the Rules. The Commission estimates that
it takes a whistleblower, on average, two hours to complete Form WB-
APP. The completion time depends largely on the complexity of the
alleged violation and the amount of information the whistleblower
possesses in support of his or her application for an award. Based on
the receipt of 53 annual responses on average for the past two fiscal
years, the Commission estimates that the annual PRA burden of Form WB-
APP is 106 hours.
Estimated annual reporting burden = 4,786 hours
Written comments are invited on: (a) Whether this 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
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. Please direct your written comments to Thomas
Bayer, Director/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: May 12, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-11298 Filed 5-15-14; 8:45 am]
BILLING CODE 8011-01-P
