Proposed Collection; Comment Request, 1436 [2015-00138]
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Federal Register / Vol. 80, No. 6 / Friday, January 9, 2015 / Notices
Dated: January 5, 2015.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2015–00139 Filed 1–8–15; 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.
rljohnson on DSK3VPTVN1PROD with NOTICES
Extension:
Rule 15g–3, SEC File No. 270–346, OMB
Control No. 3235–0392.
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’’) is soliciting comments
on the existing collection of information
provided for in Rule 15g–3—Broker or
dealer disclosure of quotations and
other information relating to the penny
stock market (17 CFR 240.15g–3) under
the Securities Exchange Act of 1934 (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 15g–3 requires that brokers and
dealers disclose to customers current
quotation prices or similar market
information in connection with
transactions in penny stocks. The
purpose of the rule is to increase the
level of disclosure to investors
concerning penny stocks generally and
specific penny stock transactions.
The Commission estimates that
approximately 221 broker-dealers will
spend an average of 87 hours annually
to comply with this rule. Thus, the total
compliance burden is approximately
19,245 burden-hours per year.
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 shall have practical utility;
(b) the accuracy of the agency’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information to be 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
VerDate Sep<11>2014
14:56 Jan 08, 2015
Jkt 235001
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
under the PRA 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: January 5, 2015.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2015–00138 Filed 1–8–15; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
31404; File No. 812–14381]
Morgan Stanley Smith Barney LLC and
Morgan Stanley Global Investment
Solutions; Notice of Application
January 5, 2015
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice of application for an
order under section 12(d)(1)(J) of the
Investment Company Act of 1940
(‘‘Act’’) for an exemption from sections
12(d)(1)(A), (B) and (C) of the Act, and
under sections 6(c) and 17(b) of the Act
for an exemption from section 17(a) of
the Act.
AGENCY:
Summary of the Application:
Applicants request an order that would
permit certain series of a unit
investment trust (‘‘UIT’’) registered
under the Act to acquire shares of
registered management investment
companies and unit investment trusts or
series thereof (the ‘‘Funds’’) both within
and outside the same group of
investment companies.
Applicants: Morgan Stanley Smith
Barney LLC (the ‘‘Depositor’’), and
Morgan Stanley Global Investment
Solutions (‘‘MS GIS’’).
DATES: Filing Date: The application was
filed on October 22, 2014.
Hearing or Notification of Hearing: An
order granting the requested relief will
be issued unless the Commission orders
a hearing. Interested persons may
request a hearing by writing to the
Commission’s Secretary and serving
applicants with a copy of the request,
personally or by mail. Hearing requests
should be received by the Commission
SUMMARY:
PO 00000
Frm 00051
Fmt 4703
Sfmt 4703
by 5:30 p.m. on January 29, 2015, and
should be accompanied by proof of
service on applicants in the form of an
affidavit or, for lawyers, a certificate of
service. Pursuant to rule 0–5 under the
Act, hearing requests should state the
nature of the writer’s interest, any facts
bearing upon the desirability of a
hearing on the matter, the reason for the
request, and the issues contested.
Persons who wish to be notified of a
hearing may request notification by
writing to the Commission’s Secretary.
ADDRESSES: Secretary, U.S. Securities
and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090.
Applicants: 2000 Westchester Avenue,
Purchase, NY 10577.
FOR FURTHER INFORMATION CONTACT:
Emerson S. Davis, Senior Counsel, at
(202) 551–6868, or Daniele Marchesani,
Branch Chief, at (202) 551–6821
(Division of Investment Management,
Chief Counsel’s Office).
SUPPLEMENTARY INFORMATION: The
following is a summary of the
application. The complete application
may be obtained via the Commission’s
Web site by searching for the file
number, or for an applicant using the
Company name box, at https://
www.sec.gov/search/search.htm or by
calling (202) 551–8090.
Applicants’ Representations
1. The Trust is a UIT registered under
the Act.1 Each Series will be a series of
a Trust and will offer units for sale to
the public (‘‘Units’’). Each Series will be
created pursuant to a trust agreement
which will incorporate by reference a
master trust agreement between the
Depositor and a financial institution
that satisfies the criteria in section 26(a)
of the Act (the ‘‘Trustee’’). The
Depositor is a broker dealer registered
under the Securities Exchange Act of
1934 and is a member of the Financial
Industry Regulatory Authority, Inc.
(‘‘FINRA’’).
2. Applicants request relief to permit
a Series to invest in registered
investment companies or series thereof
(‘‘Funds’’) that are (a) part of the same
‘‘group of investment companies’’ (as
that term is defined in section
12(d)(1)(G) of the Act) as the Series
(‘‘Affiliated Funds’’), and (b) not part of
1 Applicants request that the order also extend to
future registered UITs sponsored by the Depositor
or an entity controlling, controlled by or under
common control with the Depositor and their
respective series (the future UITs, together with the
Trust, are collectively the ‘‘Trusts’’ and the series
of the Trusts are the ‘‘Series’’). All existing entities
that currently intend to rely on the requested order
are named as applicants. Any other entity that relies
on the order in the future will comply with the
terms and conditions of the application.
E:\FR\FM\09JAN1.SGM
09JAN1
]]>Agencies
[Federal Register Volume 80, Number 6 (Friday, January 9, 2015)]
[Notices]
[Page 1436]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-00138]
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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:
Rule 15g-3, SEC File No. 270-346, OMB Control No. 3235-0392.
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'') is soliciting comments on the existing
collection of information provided for in Rule 15g-3--Broker or dealer
disclosure of quotations and other information relating to the penny
stock market (17 CFR 240.15g-3) under the Securities Exchange Act of
1934 (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 15g-3 requires that brokers and dealers disclose to customers
current quotation prices or similar market information in connection
with transactions in penny stocks. The purpose of the rule is to
increase the level of disclosure to investors concerning penny stocks
generally and specific penny stock transactions.
The Commission estimates that approximately 221 broker-dealers will
spend an average of 87 hours annually to comply with this rule. Thus,
the total compliance burden is approximately 19,245 burden-hours per
year.
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 shall
have practical utility; (b) the accuracy of the agency's estimates of
the burden of the proposed collection of information; (c) ways to
enhance the quality, utility, and clarity of the information to be
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.
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.
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: January 5, 2015.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2015-00138 Filed 1-8-15; 8:45 am]
BILLING CODE 8011-01-P
