Proposed Collection; Comment Request, 39000 [2014-15967]
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39000
Federal Register / Vol. 79, No. 131 / Wednesday, July 9, 2014 / Notices
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
unless it displays a currently valid OMB
control number.
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 comments may be sent by
email to: PRA_Mailbox@sec.gov.
Dated: July 2, 2014.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2014–15965 Filed 7–8–14; 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.
sroberts on DSK5SPTVN1PROD with NOTICES
Extension:
Rule 17a–10, SEC File No. 270–154, OMB
Control No. 3235–0122.
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 existing collection of information
provided for in Rule 17a–10, Report of
Revenue and Expenses (17 CFR
240.17a–10), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (‘‘Exchange Act’’). The
Commission plans to submit this
existing collection of information to the
Office of Management and Budget
(‘‘OMB’’) for extension and approval.
The primary purpose of Rule 17a–10
is to obtain the economic and statistical
data necessary for an ongoing analysis
of the securities industry. Paragraph
(a)(1) of Rule 17a–10 generally requires
broker-dealers that are exempted from
the requirement to file monthly and
quarterly reports pursuant to paragraph
(a) of Exchange Act Rule 17a–5 (17 CFR
240.17a–5) to file with the Commission
the Facing Page, a Statement of Income
(Loss), and balance sheet from Part IIA
of Form X–17A–5 1 (17 CFR 249.617),
1 Form X–17A–5 is the Financial and Operational
Combined Uniform Single Report (‘‘FOCUS
Report’’), which is used by broker-dealers to
provide certain required information to the
Commission.
VerDate Mar<15>2010
20:08 Jul 08, 2014
Jkt 232001
and Schedule I of Form X–17A–5 not
later than 17 business days after the end
of each calendar year.
Paragraph (a)(2) of Rule 17a–10
requires a broker-dealer subject to Rule
17a–5(a) to submit Schedule I of Form
X–17A–5 with its Form X–17A–5 for the
calendar quarter ending December 31 of
each year. The burden associated with
filing Schedule I of Form X–17A–5 is
accounted for in the PRA filing
associated with Rule 17a–5.
Paragraph (b) of Rule 17a–10 provides
that the provisions of paragraph (a) do
not apply to members of national
securities exchanges or registered
national securities associations that
maintain records containing the
information required by Form X–17A–5
and which transmit to the Commission
copies of the records pursuant to a plan
which has been declared effective by the
Commission.
The Commission estimates that
approximately 38 broker-dealers will
spend an average of 12 hours per year
complying with Rule 17a–10. Thus, the
total compliance burden is estimated to
be approximately 456 hours per year.
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 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.
Dated: July 2, 2014.
Jill M. Peteson,
Assistant Secretary.
[FR Doc. 2014–15967 Filed 7–8–14; 8:45 am]
BILLING CODE 8011–01–P
PO 00000
Frm 00151
Fmt 4703
Sfmt 4703
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 17a–7, OMB Control No. 3235–0214,
SEC File No. 270–238.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501–3520), the Securities
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collections of information
summarized below. The Commission
plans to submit the existing collection
of information to the Office of
Management and Budget for extension
and approval.
Rule 17a–7 (17 CFR 270.17a–7) (the
‘‘rule’’) under the Investment Company
Act of 1940 (15 U.S.C. 80a–1 et seq.)
(the ‘‘Act’’) is entitled ‘‘Exemption of
certain purchase or sale transactions
between an investment company and
certain affiliated persons thereof.’’ It
provides an exemption from section
17(a) of the Act for purchases and sales
of securities between registered
investment companies (‘‘funds’’), that
are affiliated persons (‘‘first-tier
affiliates’’) or affiliated persons of
affiliated persons (‘‘second-tier
affiliates’’), or between a fund and a
first- or second-tier affiliate other than
another fund, when the affiliation arises
solely because of a common investment
adviser, director, or officer. Rule 17a–7
requires funds to keep various records
in connection with purchase or sale
transactions effected in reliance on the
rule. The rule requires the fund’s board
of directors to establish procedures
reasonably designed to ensure that the
rule’s conditions have been satisfied.
The board is also required to determine,
at least on a quarterly basis, that all
affiliated transactions effected during
the preceding quarter in reliance on the
rule were made in compliance with
these established procedures. If a fund
enters into a purchase or sale
transaction with an affiliated person, the
rule requires the fund to compile and
maintain written records of the
transaction.1 The Commission’s
1 The written records are required to set forth a
description of the security purchased or sold, the
identity of the person on the other side of the
transaction, and the information or materials upon
which the board of directors’ determination that the
transaction was in compliance with the procedures
was made.
E:\FR\FM\09JYN1.SGM
09JYN1
]]>Agencies
[Federal Register Volume 79, Number 131 (Wednesday, July 9, 2014)]
[Notices]
[Page 39000]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-15967]
-----------------------------------------------------------------------
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 17a-10, SEC File No. 270-154, OMB Control No. 3235-0122.
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 existing
collection of information provided for in Rule 17a-10, Report of
Revenue and Expenses (17 CFR 240.17a-10), under the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission
plans to submit this existing collection of information to the Office
of Management and Budget (``OMB'') for extension and approval.
The primary purpose of Rule 17a-10 is to obtain the economic and
statistical data necessary for an ongoing analysis of the securities
industry. Paragraph (a)(1) of Rule 17a-10 generally requires broker-
dealers that are exempted from the requirement to file monthly and
quarterly reports pursuant to paragraph (a) of Exchange Act Rule 17a-5
(17 CFR 240.17a-5) to file with the Commission the Facing Page, a
Statement of Income (Loss), and balance sheet from Part IIA of Form X-
17A-5 \1\ (17 CFR 249.617), and Schedule I of Form X-17A-5 not later
than 17 business days after the end of each calendar year.
---------------------------------------------------------------------------
\1\ Form X-17A-5 is the Financial and Operational Combined
Uniform Single Report (``FOCUS Report''), which is used by broker-
dealers to provide certain required information to the Commission.
---------------------------------------------------------------------------
Paragraph (a)(2) of Rule 17a-10 requires a broker-dealer subject to
Rule 17a-5(a) to submit Schedule I of Form X-17A-5 with its Form X-17A-
5 for the calendar quarter ending December 31 of each year. The burden
associated with filing Schedule I of Form X-17A-5 is accounted for in
the PRA filing associated with Rule 17a-5.
Paragraph (b) of Rule 17a-10 provides that the provisions of
paragraph (a) do not apply to members of national securities exchanges
or registered national securities associations that maintain records
containing the information required by Form X-17A-5 and which transmit
to the Commission copies of the records pursuant to a plan which has
been declared effective by the Commission.
The Commission estimates that approximately 38 broker-dealers will
spend an average of 12 hours per year complying with Rule 17a-10. Thus,
the total compliance burden is estimated to be approximately 456 hours
per year.
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
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
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or send an email
to: PRA_Mailbox@sec.gov.
Dated: July 2, 2014.
Jill M. Peteson,
Assistant Secretary.
[FR Doc. 2014-15967 Filed 7-8-14; 8:45 am]
BILLING CODE 8011-01-P
