Proposed Collection; Comment Request, 71461-71462 [2014-28312]

Download as PDF Federal Register / Vol. 79, No. 231 / Tuesday, December 2, 2014 / Notices are subject to the recordkeeping requirements of Rules 17a–3 and 17a–4 of the Act. Information received in response to Rule 12f–3 shall not be kept confidential; the information collected is public information. 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 on respondents; 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 unless it displays a currently valid OMB control number. Please direct your written comments to: Pamela Dyson, Acting 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: November 25, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–28307 Filed 12–1–14; 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. rljohnson on DSK3VPTVN1PROD with NOTICES Extension: Form 2–E under Rule 609, SEC File No. 270–222, OMB Control No. 3235–0233. 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. VerDate Sep<11>2014 15:30 Dec 01, 2014 Jkt 235001 Rule 609 (17 CFR 230.609) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) requires small business investment companies and business development companies that have engaged in offerings of securities that are exempt from registration pursuant to Regulation E under the Securities Act of 1933 (17 CFR 230.601 to 610a) to report semiannually on Form 2–E (17 CFR 239.201) the progress of the offering. The form solicits information such as the dates an offering commenced and was completed (if completed), the number of shares sold and still being offered, amounts received in the offering, and expenses and underwriting discounts incurred in the offering. The information provided on Form 2–E assists the staff in monitoring the progress of the offering and in determining whether the offering has stayed within the limits set for an offering exempt under Regulation E. There has not been a Form 2–E filing since calendar year 2010, when there was one filing of Form 2–E by one respondent. The Commission has previously estimated that the total annual burden associated with information collection and Form 2–E preparation and submission is four hours per filing. Although there have been no filings made under this rule since 2010, we are requesting one annual response and an annual burden of one hour for administrative purposes. Estimates of average burden hours are made solely for the purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even representative survey or study of the costs of Commission rules and forms. The collection of information under rule 609 and Form 2–E is mandatory. The information provided under rule 609 and Form 2–E will not be 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) Pamela Dyson, Acting 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. PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 71461 Comments must be submitted to OMB within 30 days of this notice. Dated: November 25, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–28311 Filed 12–1–14; 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: Mutual Fund Interactive Data, SEC File No. 270–580, OMB Control No. 3235–0642. 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 (‘‘OMB’’) for extension and approval. Open-end management investment companies (‘‘funds’’) are required to submit to the Commission information included in their registration statements, or information included in or amended by post-effective amendments thereto, in response to Items 2, 3, and 4 (‘‘risk/return summary information’’) of Form N–1A (17 CFR 239.15A and 274.11A) in interactive data format and to post it on their Web sites, if any, in interactive data form. In addition, funds are required to submit an interactive data file to the Commission for any form of prospectus filed pursuant to rule 497(c) or (e) (17 CFR 230.497) under the Securities Act of 1933 (‘‘Securities Act’’) (15 U.S.C. 77a et seq.) that includes risk/return summary information that varies from the registration statement and to post the interactive data file on their Web sites, if any. The title for the collection of information for submitting risk/return summary information in interactive data format is ‘‘Mutual Fund Interactive Data.’’ This collection of information relates to regulations and forms adopted under the Securities Act, the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.), and the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) that set forth disclosure requirements for funds and other issuers. The purpose of the E:\FR\FM\02DEN1.SGM 02DEN1 rljohnson on DSK3VPTVN1PROD with NOTICES 71462 Federal Register / Vol. 79, No. 231 / Tuesday, December 2, 2014 / Notices Mutual Fund Interactive Data requirements is to make risk/return summary information easier for investors to analyze and to assist in automating regulatory filings and business information processing. Funds are required to file an initial registration statement on Form N–1A and to update that registration statement annually. The Commission estimates that each fund will submit one interactive data document as an exhibit to a registration statement or a posteffective amendment thereto on Form N–1A that includes or amends information provided in response to Items 2, 3 or 4 annually. In addition, based on a review by Commission staff of Mutual Fund Interactive Data submissions in calendar year 2013, the Commission estimates that 36% of funds will provide risk/return summary information as interactive data in additional filings submitted pursuant to rule 485(b) (17 CFR 230.485(b)) or rule 497 under the Securities Act annually. The Commission estimates that the total annual hour burden associated with tagging risk/return summary information is approximately 11 hours. Based on estimates of 10,559 funds each submitting one interactive data document as an exhibit to a registration statement or post-effective amendment thereto and 3,801 funds submitting an additional interactive data document as an exhibit to a filing pursuant to rule 485(b) or rule 497, each incurring 11 hours per year on average, the Commission estimates that, in the aggregate, the tagging of risk/return summary information will result in approximately 157,960 annual burden hours. In addition, the Commission estimates that funds will require an average of approximately one burden hour to post interactive data to their Web sites. Based on estimates of 10,559 funds each posting one interactive data document as an exhibit to a registration statement or post-effective amendment thereto and 3,801 funds posting an additional interactive data document as an exhibit to a filing pursuant to rule 485(b) or rule 497, each incurring one burden hour per year on average, the Commission estimates that, in the aggregate, Mutual Fund Interactive Data Web site posting requirements will result in approximately 14,360 annual burden hours. The Commission estimates that the average cost burden per fund is $890 per year. Based on the estimate of 10,559 funds using software and/or consulting services at an annual cost of $890, the Commission estimates that, in the aggregate, the total external costs to the VerDate Sep<11>2014 15:30 Dec 01, 2014 Jkt 235001 industry will be approximately $9.4 million. Estimates of average burden hours are made solely for the purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even representative survey or study of the costs of Commission rules and forms. The collection of information under the Mutual Fund Interactive Data requirements is mandatory for all funds. Responses to the disclosure requirements will not be 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. 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 Pamela Dyson, Acting 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: PRA_Mailbox@sec.gov. Dated: November 25, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–28312 Filed 12–1–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549–2736. Extension: Rule 12f–1; SEC File No. 270–139, OMB Control No. 3235–0128. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (‘‘PRA) (44 U.S.C. 3501 et seq.), the PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 Securities and Exchange Commission (‘‘Commission’’) is soliciting comments on the collection of information provided for in Rule 12f–1 (17 CFR 240.12f–1), under the Securities Exchange Act of 1934 (‘‘Act’’) (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 12f–1 (the ‘‘Rule’’), originally adopted in 1934 pursuant to Sections 12(f) and 23(a) of the Act, as modified in 1995 and 2005, sets forth the information which an exchange must include in an application to reinstate its ability to extend unlisted trading privileges to any security for which such unlisted trading privileges have been suspended by the Commission, pursuant to Section 12(f)(2)(A) of the Act. An application must provide the name of the issuer, the title of the security, the name of each national securities exchange, if any, on which the security is listed or admitted to unlisted trading privileges, whether transaction information concerning the security is reported pursuant to an effective transaction reporting plan contemplated by Rule 601 of Regulation NMS, the date of the Commission’s suspension of unlisted trading privileges in the security on the exchange, and any other pertinent information. Rule 12f–1 further requires a national securities exchange seeking to reinstate its ability to extend unlisted trading privileges to a security to indicate that it has provided a copy of such application to the issuer of the security, as well as to any other national securities exchange on which the security is listed or admitted to unlisted trading privileges. The information required by Rule 12f–1 enables the Commission to make the necessary findings under the Act prior to granting applications to reinstate unlisted trading privileges. This information is also made available to members of the public who may wish to comment upon the applications. Without the Rule, the Commission would be unable to fulfill these statutory responsibilities. There are currently 18 national securities exchanges subject to Rule 12f–1. The burden of complying with Rule 12f–1 arises when a potential respondent seeks to reinstate its ability to extend unlisted trading privileges to any security for which unlisted trading privileges have been suspended by the Commission, pursuant to Section 12(f)(2)(A) of the Act. The staff estimates that each application would require approximately one hour to complete. E:\FR\FM\02DEN1.SGM 02DEN1

Agencies

[Federal Register Volume 79, Number 231 (Tuesday, December 2, 2014)]
[Notices]
[Pages 71461-71462]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-28312]


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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: Mutual Fund Interactive Data,
    SEC File No. 270-580, OMB Control No. 3235-0642.

    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 (``OMB'') for extension and approval.
    Open-end management investment companies (``funds'') are required 
to submit to the Commission information included in their registration 
statements, or information included in or amended by post-effective 
amendments thereto, in response to Items 2, 3, and 4 (``risk/return 
summary information'') of Form N-1A (17 CFR 239.15A and 274.11A) in 
interactive data format and to post it on their Web sites, if any, in 
interactive data form. In addition, funds are required to submit an 
interactive data file to the Commission for any form of prospectus 
filed pursuant to rule 497(c) or (e) (17 CFR 230.497) under the 
Securities Act of 1933 (``Securities Act'') (15 U.S.C. 77a et seq.) 
that includes risk/return summary information that varies from the 
registration statement and to post the interactive data file on their 
Web sites, if any.
    The title for the collection of information for submitting risk/
return summary information in interactive data format is ``Mutual Fund 
Interactive Data.'' This collection of information relates to 
regulations and forms adopted under the Securities Act, the Securities 
Exchange Act of 1934 (15 U.S.C. 78a et seq.), and the Investment 
Company Act of 1940 (15 U.S.C. 80a-1 et seq.) that set forth disclosure 
requirements for funds and other issuers. The purpose of the

[[Page 71462]]

Mutual Fund Interactive Data requirements is to make risk/return 
summary information easier for investors to analyze and to assist in 
automating regulatory filings and business information processing.
    Funds are required to file an initial registration statement on 
Form N-1A and to update that registration statement annually. The 
Commission estimates that each fund will submit one interactive data 
document as an exhibit to a registration statement or a post-effective 
amendment thereto on Form N-1A that includes or amends information 
provided in response to Items 2, 3 or 4 annually. In addition, based on 
a review by Commission staff of Mutual Fund Interactive Data 
submissions in calendar year 2013, the Commission estimates that 36% of 
funds will provide risk/return summary information as interactive data 
in additional filings submitted pursuant to rule 485(b) (17 CFR 
230.485(b)) or rule 497 under the Securities Act annually.
    The Commission estimates that the total annual hour burden 
associated with tagging risk/return summary information is 
approximately 11 hours. Based on estimates of 10,559 funds each 
submitting one interactive data document as an exhibit to a 
registration statement or post-effective amendment thereto and 3,801 
funds submitting an additional interactive data document as an exhibit 
to a filing pursuant to rule 485(b) or rule 497, each incurring 11 
hours per year on average, the Commission estimates that, in the 
aggregate, the tagging of risk/return summary information will result 
in approximately 157,960 annual burden hours. In addition, the 
Commission estimates that funds will require an average of 
approximately one burden hour to post interactive data to their Web 
sites. Based on estimates of 10,559 funds each posting one interactive 
data document as an exhibit to a registration statement or post-
effective amendment thereto and 3,801 funds posting an additional 
interactive data document as an exhibit to a filing pursuant to rule 
485(b) or rule 497, each incurring one burden hour per year on average, 
the Commission estimates that, in the aggregate, Mutual Fund 
Interactive Data Web site posting requirements will result in 
approximately 14,360 annual burden hours.
    The Commission estimates that the average cost burden per fund is 
$890 per year. Based on the estimate of 10,559 funds using software 
and/or consulting services at an annual cost of $890, the Commission 
estimates that, in the aggregate, the total external costs to the 
industry will be approximately $9.4 million.
    Estimates of average burden hours are made solely for the purposes 
of the Paperwork Reduction Act and are not derived from a comprehensive 
or even representative survey or study of the costs of Commission rules 
and forms.
    The collection of information under the Mutual Fund Interactive 
Data requirements is mandatory for all funds. Responses to the 
disclosure requirements will not be 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.
    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 Pamela Dyson, Acting 
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: PRA_Mailbox@sec.gov.

    Dated: November 25, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-28312 Filed 12-1-14; 8:45 am]
BILLING CODE 8011-01-P
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