Proposed Collection; Comment Request, 56834-56835 [2014-22547]
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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
Federal Register / Vol. 79, No. 184 / Tuesday, September 23, 2014 / Notices
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, 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.
20549, or send an email to: PRA_
Mailbox@sec.gov.
Dated: September 17, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–22547 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,
Washington, DC 20549–2736.
mstockstill on DSK4VPTVN1PROD with NOTICES
Extension:
Form 3, SEC File No. 270–125, OMB
Control No. 3235–0104.
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. 781), 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 3 (17
CFR 249.103) is an initial statement of
beneficial ownership of securities. The
information is used for the purpose of
disclosing the equity holdings of
insiders of reporting companies.
Approximately 16,855 insiders file
Form 3 annually and it takes
approximately 0.5 hours to prepare for
a total of 8,428 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 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 collections
of information on respondents,
VerDate Sep<11>2014
17:55 Sep 22, 2014
Jkt 232001
Dated: September 17, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–22544 Filed 9–22–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
56835
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. 2014–22546 Filed 9–22–14; 8:45 am]
BILLING CODE 8011–01–P
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
Washington, DC 20549–02736.
SECURITIES AND EXCHANGE
COMMISSION
Extension:
Form 15, SEC File No. 270–170, OMB
Control No. 3235–0167.
Investor Advisory Committee Meeting
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.
Form 15 (17 CFR 249.323) is a
certification of termination of a class of
security under Section 12(g) or notice of
suspension of duty to file reports
pursuant to Sections 13 and 15(d) of the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.). We estimate that
approximately 639 issuers file Form 15
annually and it takes approximately 1.5
hours per response to prepare for a total
of 959 annual burden hours.
Written comments are invited on: (a)
Whether this 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 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
PO 00000
Frm 00097
Fmt 4703
Sfmt 4703
[Release Nos. 33–9647; 34–73131; File No.
265–28]
Securities and Exchange
Commission.
ACTION: Notice of meeting of Securities
and Exchange Commission Dodd-Frank
Investor Advisory Committee.
AGENCY:
The Securities and Exchange
Commission Investor Advisory
Committee, established pursuant to
Section 911 of the Dodd-Frank Wall
Street Reform and Consumer Protection
Act of 2010, is providing notice that it
will hold a public meeting. The public
is invited to submit written statements
to the Committee.
DATES: The meeting will be held on
Thursday, October 9, 2014 from 10:00
a.m. until 4:00 p.m. (EDT). Written
statements should be received on or
before October 9, 2014.
ADDRESSES: The meeting will be held in
Multi-Purpose Room LL–006 at the
Commission’s headquarters, 100 F
Street NE., Washington, DC 20549. The
meeting will be Webcast on the
Commission’s Web site at www.sec.gov.
Written statements may be submitted by
any of the following methods:
SUMMARY:
Electronic Statements
• Use the Commission’s Internet
submission form (https://www.sec.gov/
rules/other.shtml); or
• Send an email message to rulescomments@sec.gov. Please include File
No. 265–28 on the subject line; or
E:\FR\FM\23SEN1.SGM
23SEN1
]]>Agencies
[Federal Register Volume 79, Number 184 (Tuesday, September 23, 2014)]
[Notices]
[Pages 56834-56835]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-22547]
-----------------------------------------------------------------------
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 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
[[Page 56835]]
20549, or send an email to: PRAMailbox@sec.gov.
Dated: September 17, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-22547 Filed 9-22-14; 8:45 am]
BILLING CODE 8011-01-P
