Submission for OMB Review; Comment Request, 33788-33789 [2014-13701]

Download as PDF 33788 Federal Register / Vol. 79, No. 113 / Thursday, June 12, 2014 / Notices Street NW., Room 10235, Washington, DC 20503, and to Suzanne H. Plimpton, Reports Clearance Officer, National Science Foundation, 4201 Wilson Boulevard, Suite 295, Arlington, Virginia 22230 or send email to splimpto@nsf.gov. Comments regarding these information collections are best assured of having their full effect if received within 30 days of this notification. Copies of the submission(s) may be obtained by calling 703–292– 7556. NSF may not conduct or sponsor a collection of information unless the collection of information displays a currently valid OMB control number and the agency informs potential persons who are to respond to the collection of information that such persons are not required to respond to the collection of information unless it displays a currently valid OMB control number. SUPPLEMENTARY INFORMATION: Title of Collection: National Science Foundation Applicant Survey. OMB Approval Number: 3145–0096. Type of Request: Intent to seek approval to extend an information collection for three years. Proposed Project: The current National Science Foundation Applicant survey has been in use for several years. Data are collected from applicant pools to examine the racial/sexual/disability composition and to determine the source of information about NSF vacancies. Use of the Information: Analysis of the applicant pools is necessary to determine if NSF’s targeted recruitment efforts are reaching groups that are underrepresented in the Agency’s workforce and/or to defend the Foundation’s practices in discrimination cases. Burden on the Public: The Foundation estimates about 4,000 responses annually at 3 minutes per response; this computes to approximately 200 hours annually. Dated: June 9, 2014. Suzanne H. Plimpton, Reports Clearance Officer, National Science Foundation. [FR Doc. 2014–13800 Filed 6–11–14; 8:45 am] BILLING CODE 7555–01–P NUCLEAR REGULATORY COMMISSION Request To Amend a License To Export Deuterium Pursuant to 10 CFR 110.70(b) ‘‘Public Notice of Receipt of an Application,’’ please take notice that the Nuclear Regulatory Commission (NRC) has received the following request for an export license. Copies of the request are available electronically through ADAMS and can be accessed through the Public Electronic Reading Room (PERR) link https://www.nrc.gov/reading-rm.html at the NRC Homepage. A request for a hearing or petition for leave to intervene may be filed within thirty (30) days after publication of this notice in the Federal Register. Any request for hearing or petition for leave to intervene shall be served by the requestor or petitioner upon the applicant, the Office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555; the Office of Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555; and the Executive Secretary, U.S. Department of State, Washington, DC 20520. A request for a hearing or petition for leave to intervene may be filed with the NRC electronically in accordance with NRC’s E-Filing rule promulgated in August 2007, 72 FR 49139; August 28, 2007. Information about filing electronically is available on the NRC’s public Web site at https://www.nrc.gov/ site-help/e-submittals.html. To ensure timely electronic filing, at least five (5) days prior to the filing deadline, the petitioner/requestor should contact the Office of the Secretary by email at HEARINGDOCKET@NRC.GOV, or by calling (301) 415–1677, to request a digital ID certificate and allow for the creation of an electronic docket. In addition to a request for hearing or petition for leave to intervene, written comments, in accordance with 10 CFR 110.81, should be submitted within thirty (30) days after publication of this notice in the Federal Register to Office of the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention: Rulemaking and Adjudications. The information concerning this export license amendment application follows. NRC EXPORT LICENSE AMENDMENT APPLICATION Name of applicant, date of application, date received Application No., Docket No. Cambridge Isotope Laboratories, Inc., April 7, 2014, April 8, 2014, XMAT422/01, 11005997. Description of material End use Material type Total quantity Deuterium gas, deuterium oxide, and deuterium compounds. 10,000 kgs ............................ Dated this 28th day of May 2014, in Rockville, Maryland. For the Nuclear Regulatory Commission. Michael J. Case, Acting Deputy Director, Office of International Programs. rmajette on DSK7SPTVN1PROD with NOTICES [FR Doc. 2014–13779 Filed 6–11–14; 8:45 am] BILLING CODE 7590–01–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 15c2–11; SEC File No. 270–196, OMB Control No. 3235–0202. VerDate Mar<15>2010 21:18 Jun 11, 2014 Jkt 232001 PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 Non-nuclear end-use in medical, pharmaceutical, chemical, and industrial markets. Recipient country China. 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 approval of extension of the previously approved collection of information provided for in Rule 15c2–11, (17 CFR 240.15c2–11), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Rule 15c2–11 under the Exchange Act regulates the initiation or resumption of E:\FR\FM\12JNN1.SGM 12JNN1 rmajette on DSK7SPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 113 / Thursday, June 12, 2014 / Notices quotations in a quotation medium by a broker-dealer for over-the-counter (‘‘OTC’’) securities. The Rule was designed primarily to prevent certain manipulative and fraudulent trading schemes that had arisen in connection with the distribution and trading of unregistered securities issued by shell companies or other companies having outstanding but infrequently traded securities. Subject to certain exceptions, the Rule prohibits brokers-dealers from publishing a quotation for a security, or submitting a quotation for publication, in a quotation medium unless they have reviewed specified information concerning the security and the issuer. Based on information provided by Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’), in the 2013 calendar year, FINRA received approximately 1,009 applications from broker-dealers to initiate or resume publication of quotes of covered OTC securities on the OTC Bulletin Board and/or OTC Link or other quotation mediums. We estimate that (i) 31% of the covered OTC securities were issued by reporting issuers, while the other 69% were issued by non-reporting issuers, and (ii) it will take a brokerdealer about 4 hours to review, record and retain the information pertaining to a reporting issuer, and about 8 hours to review, record and retain the information pertaining to a nonreporting issuer. We therefore estimate that brokerdealers who initiate or resume publication of quotations for covered OTC securities of reporting issuers will require 1,236 hours (1,009 × 31% × 4) to review, record and retain the information required by the Rule. We estimate that broker-dealers who initiate or resume publication of quotations for covered OTC securities of non-reporting issuers will require 5,600 hours (1,009 × 69% × 8) to review, record and retain the information required by the Rule. Thus, we estimate the total annual burden hours for broker-dealers to initiate or resume publication of quotations of covered OTC securities to be 6,836 hours (1,236 + 5,600). The Commission believes that these 6,836 hours would be borne by internal staff working at a rate of $53 per hour.1 Subject to certain exceptions, the Rule prohibits brokers-dealers from publishing a quotation for a security, or submitting a quotation for publication, in a quotation medium unless they have reviewed specified information concerning the security and the issuer. The broker-dealer must also make the 1 See Appendix C, SIFMA Office Salaries Data— Sept. 2012 for General Clerk national hourly rate. VerDate Mar<15>2010 21:18 Jun 11, 2014 Jkt 232001 information reasonably available upon request to any person expressing an interest in a proposed transaction in the security with such broker or dealer. The collection of information that is submitted to FINRA for review and approval is currently not available to the public from FINRA. 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 PavlikSimon, 100 F St. NE., Washington, DC 20549; or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted within 30 days of this notice. Dates: June 6, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–13701 Filed 6–11–14; 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: Electronic Data Collection System, SEC File No. 270–621, OMB Control No. 3235–0672. 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 extension for a current collection of information to the Office of Management and Budget for approval. The Securities and Exchange Commission has implemented an Electronic Data Collection System PO 00000 Frm 00077 Fmt 4703 Sfmt 9990 33789 database (the Database) and invites comment on the Database that supports information provided by the general public that would like to file a tip or complaint with the Commission. The Database is a web based e-filed dynamic report based on technology that prepopulates and establishes a series of questions based on the data that the individual enters. The individual then completes specific information on the subject(s) and nature of the suspicious activity, using the data elements appropriate to the type of complaint or subject. There are no costs associated with this collection. The public interface to the Database is available using the Tips, Complaints and Referrals Portal. Information is provided voluntarily. Estimated number of annual responses = 13,120. Estimated annual reporting burden = 6,560 hours (30 minutes per submission). 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. Background documentation for this information collection may be viewed at the following Web site, www.reginfo.gov. Please direct general comments to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or send an email to Shagufta Ahmed at Shagufta_ Ahmed@omb.eop.gov; 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. Comments must be submitted within 30 days of this notice. Dated: June 6, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–13702 Filed 6–11–14; 8:45 am] BILLING CODE 8011–01–P E:\FR\FM\12JNN1.SGM 12JNN1

Agencies

[Federal Register Volume 79, Number 113 (Thursday, June 12, 2014)]
[Notices]
[Pages 33788-33789]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-13701]


=======================================================================
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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 15c2-11; SEC File No. 270-196, OMB Control No. 3235-0202.

    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 approval of extension of 
the previously approved collection of information provided for in Rule 
15c2-11, (17 CFR 240.15c2-11), under the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').
    Rule 15c2-11 under the Exchange Act regulates the initiation or 
resumption of

[[Page 33789]]

quotations in a quotation medium by a broker-dealer for over-the-
counter (``OTC'') securities. The Rule was designed primarily to 
prevent certain manipulative and fraudulent trading schemes that had 
arisen in connection with the distribution and trading of unregistered 
securities issued by shell companies or other companies having 
outstanding but infrequently traded securities. Subject to certain 
exceptions, the Rule prohibits brokers-dealers from publishing a 
quotation for a security, or submitting a quotation for publication, in 
a quotation medium unless they have reviewed specified information 
concerning the security and the issuer.
    Based on information provided by Financial Industry Regulatory 
Authority, Inc. (``FINRA''), in the 2013 calendar year, FINRA received 
approximately 1,009 applications from broker-dealers to initiate or 
resume publication of quotes of covered OTC securities on the OTC 
Bulletin Board and/or OTC Link or other quotation mediums. We estimate 
that (i) 31% of the covered OTC securities were issued by reporting 
issuers, while the other 69% were issued by non-reporting issuers, and 
(ii) it will take a broker-dealer about 4 hours to review, record and 
retain the information pertaining to a reporting issuer, and about 8 
hours to review, record and retain the information pertaining to a non-
reporting issuer.
    We therefore estimate that broker-dealers who initiate or resume 
publication of quotations for covered OTC securities of reporting 
issuers will require 1,236 hours (1,009 x 31% x 4) to review, record 
and retain the information required by the Rule. We estimate that 
broker-dealers who initiate or resume publication of quotations for 
covered OTC securities of non-reporting issuers will require 5,600 
hours (1,009 x 69% x 8) to review, record and retain the information 
required by the Rule. Thus, we estimate the total annual burden hours 
for broker-dealers to initiate or resume publication of quotations of 
covered OTC securities to be 6,836 hours (1,236 + 5,600). The 
Commission believes that these 6,836 hours would be borne by internal 
staff working at a rate of $53 per hour.\1\
---------------------------------------------------------------------------

    \1\ See Appendix C, SIFMA Office Salaries Data--Sept. 2012 for 
General Clerk national hourly rate.
---------------------------------------------------------------------------

    Subject to certain exceptions, the Rule prohibits brokers-dealers 
from publishing a quotation for a security, or submitting a quotation 
for publication, in a quotation medium unless they have reviewed 
specified information concerning the security and the issuer. The 
broker-dealer must also make the information reasonably available upon 
request to any person expressing an interest in a proposed transaction 
in the security with such broker or dealer. The collection of 
information that is submitted to FINRA for review and approval is 
currently not available to the public from FINRA.
    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 St. NE., Washington, DC 20549; or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted within 30 days of this 
notice.

    Dates: June 6, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-13701 Filed 6-11-14; 8:45 am]
BILLING CODE 8011-01-P
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