Proposed Collection; Comment Request, 56834 [2014-22545]

Download as PDF 56834 Federal Register / Vol. 79, No. 184 / Tuesday, September 23, 2014 / Notices 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 comment 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: September 17, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–22548 Filed 9–22–14; 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 FOIA Services, 100 F Street NE., Washington, DC 20549–2736. mstockstill on DSK4VPTVN1PROD with NOTICES Extension: Form 4, SEC File No. 270–126, OMB Control No. 3235–0287. 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 existing collection of information to the Office of Management and Budget for extension and approval. Under Section 16(a) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) (15 U.S.C. 78a et seq.) every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security) which registered under Section 12 of the Exchange Act (15 U.S.C. 78l), or who is a director or an officer of the issuer of such security (collectively ‘‘insiders’’), must file a statement with the Commission reporting their ownership. Form 4 is a statement to disclose changes in an insider’s ownership of securities. The information is used for the purpose of VerDate Sep<11>2014 17:55 Sep 22, 2014 Jkt 232001 disclosing the equity holdings of insiders of reporting companies. Approximately 204,054 insiders file Form 4 annually and it takes approximately 0.5 hours to prepare for a total of 102,027 annual burden hours. Written comments are invited on: (a) Whether this proposed collections 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 collections of information; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collections 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 unless it displays a currently valid control number. Please direct your written comment 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: September 17, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–22545 Filed 9–22–14; 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 FOIA Services, 100 F Street NE., Washington, DC 20549–2736. Extension: Rule 10A–1, SEC File No. 270–425, OMB Control No. 3235–0468. 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 existing collection of information to the Office of PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 Management and Budget for extension and approval. Rule 10A–1 (17 CFR 240.10A–1) implements the reporting requirements in Section 10A of the Exchange Act (15 U.S.C. 78j–1) which was enacted by Congress on December 22, 1995 as part of the Private Securities Litigation Reform Act of 1995, Public Law No. 104–67, 109 Stat 737. Under section 10A and Rule 10A–1 reporting occurs only if a registrant’s board of directors receives a report from its auditor that (1) there is an illegal act material to the registrant’s financial statements, (2) senior management and the board have not taken timely and appropriate remedial action, and (3) the failure to take such action is reasonably expected to warrant the auditor’s modification of the audit report or resignation from the audit engagement. The board of directors must notify the Commission within one business day of receiving such a report. If the board fails to provide that notice, then the auditor, within the next business day, must provide the Commission with a copy of the report that it gave to the board. Likely respondents are those registrants filing audited financial statements under the Securities Exchange Act of 1934 (15 USC 78a, et seq.) and the Investment Company Act of 1940 (15 USC 80a–1, et seq.). It is estimated that Rule 10A–1 results in an aggregate additional reporting burden of 10 hours per year. The estimated average burden hours are solely for purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even a representative survey or study of the costs of SEC rules or forms. 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 Street NE., Washington, DC E:\FR\FM\23SEN1.SGM 23SEN1

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[Federal Register Volume 79, Number 184 (Tuesday, September 23, 2014)]
[Notices]
[Page 56834]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-22545]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 
20549-2736.

Extension: Form 4, SEC File No. 270-126, OMB Control No. 3235-0287.

    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 
existing collection of information to the Office of Management and 
Budget for extension and approval.
    Under Section 16(a) of the Securities Exchange Act of 1934 
(``Exchange Act'') (15 U.S.C. 78a et seq.) every person who is directly 
or indirectly the beneficial owner of more than 10 percent of any class 
of any equity security (other than an exempted security) which 
registered under Section 12 of the Exchange Act (15 U.S.C. 78l), or who 
is a director or an officer of the issuer of such security 
(collectively ``insiders''), must file a statement with the Commission 
reporting their ownership. Form 4 is a statement to disclose changes in 
an insider's ownership of securities. The information is used for the 
purpose of disclosing the equity holdings of insiders of reporting 
companies. Approximately 204,054 insiders file Form 4 annually and it 
takes approximately 0.5 hours to prepare for a total of 102,027 annual 
burden hours.
    Written comments are invited on: (a) Whether this proposed 
collections 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 collections of information; (c) ways to 
enhance the quality, utility, and clarity of the information collected; 
and (d) ways to minimize the burden of the collections 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 unless it displays a 
currently valid control number.
    Please direct your written comment 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: PRAMailbox@sec.gov.

    Dated: September 17, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-22545 Filed 9-22-14; 8:45 am]
BILLING CODE 8011-01-P