Proposed Collection; Comment Request, 56834 [2014-22545]
Download as PDF
<![CDATA[
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
]]>Agencies
[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]
-----------------------------------------------------------------------
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
