Submission for OMB Review; Comment Request, 59870 [2014-23572]
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59870
Federal Register / Vol. 79, No. 192 / Friday, October 3, 2014 / Notices
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
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:
Rule 30b2–1; SEC File No. 270–213, OMB
Control No. 3235–0220.
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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for extension of the
previously approved collection of
information discussed below.
Rule 30b2–1 (17 CFR 270.30b2–1)
under the Investment Company Act of
1940 (15 U.S.C. 80a–1 et seq.) (the
‘‘Investment Company Act’’) requires a
registered management investment
company (‘‘fund’’) to (1) file a report
with the Commission on Form N–CSR
(17 CFR 249.331 and 274.128) not later
than 10 days after the transmission of
any report required to be transmitted to
shareholders under rule 30e–1 under
the Investment Company Act, and (2)
file with the Commission a copy of
every periodic or interim report or
similar communication containing
financial statements that is transmitted
by or on behalf of such fund to any class
of such fund’s security holders and that
is not required to be filed with the
Commission under (1), not later than 10
days after the transmission to security
holders. The purpose of the collection of
information required by rule 30b2–1 is
to meet the disclosure requirements of
the Investment Company Act and
certification requirements of the
Sarbanes-Oxley Act of 2002 (Pub. L.
107–204, 116 Stat. 745 (2002)) and to
provide investors with information
necessary to evaluate an interest in the
fund.
The Commission estimates that there
are 2,430 funds, with a total of
approximately 11,080 portfolios, that
are governed by the rule. For purposes
of this analysis, the burden associated
with the requirements of rule 30b2–1
has been included in the collection of
information requirements of rule 30e–1
and Form N–CSR, rather than the rule.
The Commission has, however,
requested a one hour burden for
administrative purposes.
The collection of information under
rule 30b2–1 is mandatory. The
information provided under rule 30b2–
VerDate Sep<11>2014
18:08 Oct 02, 2014
Jkt 235001
1 is not kept confidential. 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.
The public may view the background
documentation for this information
collection at the following Web site,
www.reginfo.gov. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503,
or by sending an email to: Shagufta_
Ahmed@omb.eop.gov; and (ii) 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. Comments
must be submitted to OMB within 30
days of this notice.
Dated: September 29, 2014.
Kevin M. O’Neill.
Deputy Secretary.
[FR Doc. 2014–23572 Filed 10–2–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
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 17f–2(d); SEC File No. 270–36, OMB
Control No. 3235–0028.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Securities and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17f–2(d) (17 CFR 240.17f–2(d))
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) (‘‘Act’’).
Rule 17f–2(d) requires that records
created pursuant to the fingerprinting
requirements of Section 17(f)(2) of the
Act be maintained and preserved by
every member of a national securities
exchange, broker, dealer, registered
transfer agent and registered clearing
agency (‘‘covered entities’’ or
‘‘respondents’’); permits, under certain
circumstances, the records required to
PO 00000
Frm 00132
Fmt 4703
Sfmt 4703
be maintained and preserved by a
member of a national securities
exchange, broker, or dealer to be
maintained and preserved by a selfregulatory organization that is also the
designated examining authority for that
member, broker or dealer; and permits
the required records to be preserved on
microfilm. The general purpose of Rule
17f–2 is to: (i) Identify security risk
personnel; (ii) provide criminal record
information so that employers can make
fully informed employment decisions;
and (iii) deter persons with criminal
records from seeking employment or
association with covered entities. The
rule enables the Commission or other
examining authority to ascertain
whether all covered persons are being
fingerprinted and whether proper
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 to
maintain, for an annual burden of
approximately 2 hours per respondent
(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.
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.
The public may view background
documentation for this information
collection at the following Web site:
www.reginfo.gov. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503,
or by sending an email to: Shagufta_
Ahmed@omb.eop.gov; and (ii) Thomas
Bayer, Director/Chief Information
E:\FR\FM\03OCN1.SGM
03OCN1
]]>Agencies
[Federal Register Volume 79, Number 192 (Friday, October 3, 2014)]
[Notices]
[Page 59870]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-23572]
[[Page 59870]]
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SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; 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 30b2-1; SEC File No. 270-213, OMB Control No. 3235-0220.
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'') has submitted to the Office of
Management and Budget (``OMB'') a request for extension of the
previously approved collection of information discussed below.
Rule 30b2-1 (17 CFR 270.30b2-1) under the Investment Company Act of
1940 (15 U.S.C. 80a-1 et seq.) (the ``Investment Company Act'')
requires a registered management investment company (``fund'') to (1)
file a report with the Commission on Form N-CSR (17 CFR 249.331 and
274.128) not later than 10 days after the transmission of any report
required to be transmitted to shareholders under rule 30e-1 under the
Investment Company Act, and (2) file with the Commission a copy of
every periodic or interim report or similar communication containing
financial statements that is transmitted by or on behalf of such fund
to any class of such fund's security holders and that is not required
to be filed with the Commission under (1), not later than 10 days after
the transmission to security holders. The purpose of the collection of
information required by rule 30b2-1 is to meet the disclosure
requirements of the Investment Company Act and certification
requirements of the Sarbanes-Oxley Act of 2002 (Pub. L. 107-204, 116
Stat. 745 (2002)) and to provide investors with information necessary
to evaluate an interest in the fund.
The Commission estimates that there are 2,430 funds, with a total
of approximately 11,080 portfolios, that are governed by the rule. For
purposes of this analysis, the burden associated with the requirements
of rule 30b2-1 has been included in the collection of information
requirements of rule 30e-1 and Form N-CSR, rather than the rule. The
Commission has, however, requested a one hour burden for administrative
purposes.
The collection of information under rule 30b2-1 is mandatory. The
information provided under rule 30b2-1 is not kept confidential. 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.
The public may view the background documentation for this
information collection at the following Web site, www.reginfo.gov.
Comments should be directed to: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503, or by sending an email to:
Shagufta_Ahmed@omb.eop.gov; and (ii) 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. Comments must be submitted to OMB within 30 days
of this notice.
Dated: September 29, 2014.
Kevin M. O'Neill.
Deputy Secretary.
[FR Doc. 2014-23572 Filed 10-2-14; 8:45 am]
BILLING CODE 8011-01-P
