Proposed Collection; Comment Request, 42844 [2014-17282]
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42844
Federal Register / Vol. 79, No. 141 / Wednesday, July 23, 2014 / Notices
procedures regarding fingerprinting are
being followed. Retention of these
records for a period of not less than
three years after termination of a
covered person’s employment or
relationship with a covered entity
ensures that law enforcement officials
will have easy access to fingerprint
cards on a timely basis. This in turn acts
as an effective deterrent to employee
misconduct.
Approximately 5,300 respondents are
subject to the recordkeeping
requirements of the rule. Each
respondent maintains approximately 60
new records per year, each of which
takes approximately 2 minutes per
record to maintain, for an annual
burden of approximately 2 hours (60
records times 2 minutes). The total
annual burden for all respondents is
approximately 10,600 hours (5,300
respondents times 2 hours). As noted
above, all records maintained subject to
the rule must be retained for a period of
not less than three years after
termination of a covered person’s
employment or relationship with a
covered entity. In addition, we estimate
the total cost to respondents is
approximately $119,000.
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 17, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–17279 Filed 7–22–14; 8:45 am]
BILLING CODE 8011–01–P
VerDate Mar<15>2010
17:33 Jul 22, 2014
Jkt 232001
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Securities and Exchange Commission,
Office of FOIA Services, 100 F Street
NE., Washington, DC 20549–2736.
Extension:
Rule 34b–1; SEC File No. 270–305, OMB
Control No. 3235–0346.
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 (the
‘‘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.
Rule 34b–1 under the Investment
Company Act (17 CFR 270.34b–1)
governs sales material that accompanies
or follows the delivery of a statutory
prospectus (‘‘sales literature’’). Rule
34b–1 deems to be materially
misleading any investment company
(‘‘fund’’) sales literature required to be
filed with the Securities and Exchange
Commission (‘‘Commission’’) by Section
24(b) of the Investment Company Act
(15 U.S.C. 80a–24(b)) that includes
performance data, unless the sales
literature also includes the appropriate
uniformly computed data and the
legend disclosure required in
investment company advertisements by
rule 482 under the Securities Act of
1933 (17 CFR 230.482). Requiring the
inclusion of such standardized
performance data in sales literature is
designed to prevent misleading
performance claims by funds and to
enable investors to make meaningful
comparisons among funds.
The Commission estimates that on
average approximately 130 respondents
file 13,685 1 responses that include the
information required by rule 34b–1 each
year. The burden resulting from the
collection of information requirements
of rule 34b–1 is estimated to be 2 hours
per response. The total annual burden
hours for rule 34b–1 is approximately
27,370 hours per year in the aggregate.2
The collection of information under
rule 34b–1 is mandatory. The
information provided under rule 34b–1
is not kept confidential. The
Commission may not conduct or
1 The estimated number of responses to rule 34b–
1 is composed of 13,378 responses filed with
FINRA and 307 responses filed with the
Commission in 2013.
2 13,685 responses × 2 hours per response =
27,370.
PO 00000
Frm 00090
Fmt 4703
Sfmt 4703
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid OMB
control number.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the
proposed performance of the functions
of the agency, including whether
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 Street NE., Washington, DC
20549; or send an email to: PRA_
Mailbox@sec.gov.
Dated: July 17, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–17282 Filed 7–22–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Securities and Exchange Commission,
Office of FOIA Services, 100 F Street
NE., Washington, DC 20549–2736.
Extension: Form N–PX, SEC File No. 270–
524, OMB Control No. 3235–0582.
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 (the
‘‘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.
The title for the collection of
information is ‘‘Form N–PX (17 CFR
274.129) under the Investment
Company Act of 1940, Annual Report of
Proxy Voting Record.’’ Rule 30b1–4 (17
CFR 270.30b1–4) under the Investment
Company Act of 1940 (15 U.S.C. 80a-1
et seq.) requires every registered
management investment company, other
E:\FR\FM\23JYN1.SGM
23JYN1
]]>Agencies
[Federal Register Volume 79, Number 141 (Wednesday, July 23, 2014)]
[Notices]
[Page 42844]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-17282]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Securities and Exchange Commission, Office of FOIA Services, 100 F
Street NE., Washington, DC 20549-2736.
Extension:
Rule 34b-1; SEC File No. 270-305, OMB Control No. 3235-0346.
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 (the ``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.
Rule 34b-1 under the Investment Company Act (17 CFR 270.34b-1)
governs sales material that accompanies or follows the delivery of a
statutory prospectus (``sales literature''). Rule 34b-1 deems to be
materially misleading any investment company (``fund'') sales
literature required to be filed with the Securities and Exchange
Commission (``Commission'') by Section 24(b) of the Investment Company
Act (15 U.S.C. 80a-24(b)) that includes performance data, unless the
sales literature also includes the appropriate uniformly computed data
and the legend disclosure required in investment company advertisements
by rule 482 under the Securities Act of 1933 (17 CFR 230.482).
Requiring the inclusion of such standardized performance data in sales
literature is designed to prevent misleading performance claims by
funds and to enable investors to make meaningful comparisons among
funds.
The Commission estimates that on average approximately 130
respondents file 13,685 \1\ responses that include the information
required by rule 34b-1 each year. The burden resulting from the
collection of information requirements of rule 34b-1 is estimated to be
2 hours per response. The total annual burden hours for rule 34b-1 is
approximately 27,370 hours per year in the aggregate.\2\
---------------------------------------------------------------------------
\1\ The estimated number of responses to rule 34b-1 is composed
of 13,378 responses filed with FINRA and 307 responses filed with
the Commission in 2013.
\2\ 13,685 responses x 2 hours per response = 27,370.
---------------------------------------------------------------------------
The collection of information under rule 34b-1 is mandatory. The
information provided under rule 34b-1 is not kept confidential. The
Commission 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.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proposed performance of
the functions of the agency, including whether 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 Street NE., Washington, DC 20549; or send an email
to: PRA_Mailbox@sec.gov.
Dated: July 17, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-17282 Filed 7-22-14; 8:45 am]
BILLING CODE 8011-01-P
