Submission for OMB Review; Comment Request, 11242-11243 [2015-04223]

Download as PDF 11242 Federal Register / Vol. 80, No. 40 / Monday, March 2, 2015 / Notices ROUTINE USES OF RECORDS IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES * * * * * [CHANGE TO READ] k. Disclosure of employment and wage data records about current Postal Service employees may be made to the Bureau of Labor Statistics for use in their Occupational Employment Statistics program for the purpose of developing estimates of the number of jobs in certain occupations, and estimates of the wages paid to them. * * * * * RETRIEVABILITY [CHANGE TO READ] By employee name, Social Security Number, Employee Identification Number, occupation code, occupation title, or duty or pay location. * * * * * Stanley F. Mires, Attorney, Federal Requirements. [FR Doc. 2015–04211 Filed 2–27–15; 8:45 am] BILLING CODE 7710–12–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. asabaliauskas on DSK5VPTVN1PROD with NOTICES Extension: Form 13F. SEC File No. 270–22, OMB Control No. 3235–0006. 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 a request for extension of the previously approved collection of information discussed below. Section 13(f) 1 of the Securities Exchange Act of 1934 2 (the ‘‘Exchange Act’’) empowers the Commission to: (1) Adopt rules that create a reporting and disclosure system to collect specific information; and (2) disseminate such information to the public. Rule 13f–1 3 under the Exchange Act requires institutional investment managers that exercise investment discretion over accounts that have in the aggregate a fair market value of at least $100,000,000 of 1 15 U.S.C. 78m(f). U.S.C. 78a et seq. 3 17 CFR 240.13f–1. certain U.S. exchange-traded equity securities, as set forth in rule 13f–1(c), to file quarterly reports with the Commission on Form 13F.4 The information collection requirements apply to institutional investment managers that meet the $100 million reporting threshold. Section 13(f)(6) of the Exchange Act defines an ‘‘institutional investment manager’’ as any person, other than a natural person, investing in or buying and selling securities for its own account, and any person exercising investment discretion with respect to the account of any other person. Rule 13f–1(b) under the Exchange Act defines ‘‘investment discretion’’ for purposes of Form 13F reporting. The reporting system required by Section 13(f) of the Exchange Act is intended, among other things, to create in the Commission a central repository of historical and current data about the investment activities of institutional investment managers, and to improve the body of factual data available to regulators and the public. The Commission staff estimates that 5,044 respondents make approximately 20,176 responses under the rule each year. The staff estimates that on average, Form 13F filers spend 80.8 hours/year to prepare and submit the report. In addition, the staff estimates that 204 respondents file approximately 816 amendments each year. The staff estimates that on average, Form 13F filers spend 4 hours/year to prepare and submit amendments to Form 13F. The total annual burden of the rule’s requirements for all respondents therefore is estimated to be 408,371 hours [(407,555 hours (5,044 filers × 80.8 hours)) + (816 hours (204 filers × 4 hours))]. The estimate of average burden hours is made solely for the purposes of the Paperwork Reduction Act. The estimate is not derived from a comprehensive or even a representative survey or study of the costs of Commission rules. 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. 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, 2 15 VerDate Sep<11>2014 16:55 Feb 27, 2015 4 17 Jkt 235001 PO 00000 CFR 249.325. Frm 00089 Fmt 4703 Sfmt 4703 or by sending an email to: Shagufta_ Ahmed@omb.eop.gov; and (ii) Pamela Dyson, 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: February 24, 2015. Jill M. Peterson, Assistant Secretary. [FR Doc. 2015–04222 Filed 2–27–15; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Extension: Rule 35d–1; SEC File No. 270– 491, OMB Control No. 3235–0548] 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. 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 35d–1 (17 CFR 270.35d–1) under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) defines as ‘‘materially deceptive and misleading’’ for purposes of Section 35(d), among other things, a name suggesting that a registered investment company or series thereof (a ‘‘fund’’) focuses its investments in a particular type of investment or investments, in investments in a particular industry or group of industries, or in investments in a particular country or geographic region, unless, among other things, the fund adopts a certain investment policy. Rule 35d–1 further requires either that the investment policy is fundamental or that the fund has adopted a policy to provide its shareholders with at least 30 days prior notice of any change in the investment policy (‘‘notice to shareholders’’). The rule’s notice to shareholders provision is intended to ensure that when shareholders purchase shares in a fund based, at least in part, on its name, and with the expectation that it will follow the investment policy suggested by that name, they will have sufficient time to decide whether to redeem their shares in the event that the E:\FR\FM\02MRN1.SGM 02MRN1 Federal Register / Vol. 80, No. 40 / Monday, March 2, 2015 / Notices fund decides to pursue a different investment policy. The Commission estimates that there are approximately 11,400 open-end and closed-end funds that have names that are covered by the rule. The Commission estimates that of these 11,400 funds, approximately 32 will provide prior notice to shareholders pursuant to a policy adopted in accordance with this rule per year. The Commission estimates that the annual burden associated with the notice to shareholders requirement of the rule is 20 hours per response, for an annual total of 640 hours per year. 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 35d–1 is mandatory. The information provided under rule 35d–1 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, 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. Comments must be submitted to OMB within 30 days of this notice. Dated: February 24, 2015. Jill M. Peterson, Assistant Secretary. [FR Doc. 2015–04223 Filed 2–27–15; 8:45 am] asabaliauskas on DSK5VPTVN1PROD with NOTICES 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. VerDate Sep<11>2014 16:55 Feb 27, 2015 Jkt 235001 Extension: Rule 19d–2. SEC File No. 270–204, OMB Control No. 3235–0205. 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 existing collection of information provided for in Rule 19d–2— Applications for Stays of Final Disciplinary Sanction (17 CFR 240.19d– 2) under the Securities Exchange Act of 1943 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 19d–2 under the Exchange Act prescribes the form and content of applications to the Commission by persons desiring stays of final disciplinary sanctions and summary action of self-regulatory organizations (‘‘SROs’’) for which the Commission is the appropriate regulatory agency. It is estimated that approximately three respondents will utilize this application procedure annually, with a total burden of nine hours, based upon past submissions. The staff estimates that the average number of hours necessary to comply with the requirements of Rule 19d–2 is 3 hours. Based on the most recent available information, the Commission staff estimates that the internal labor cost to respondents of complying with the requirements of Rule 19d–2 is $990 per response. Therefore, the Commission staff estimates that the total internal labor cost per respondent is $990 (1 response/respondent/year × $990 cost/ response), for a total annual internal labor cost to all respondents of $2,970 ($990 cost/respondent × 3 respondents). 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 19d–2 is mandatory. The information provided under rule 19d–2 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 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 11243 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, 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: February 24, 2015. Jill M. Peterson, Assistant Secretary. [FR Doc. 2015–04221 Filed 2–27–15; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–74358; File No. SR–DTC– 2015–01] Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Discontinue the Prospectus Repository System Service February 24, 2015. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (‘‘Act’’) and Rule 19b–4 2 thereunder, notice is hereby given that on February 13, 2015, The Depository Trust Company (‘‘DTC’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I, II and III below, which Items have been prepared by DTC. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Clearing Agency’s Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change consists of a proposal to discontinue the Prospectus Repository System Service (‘‘PRS’’) and delete the PRS Terms of Use (‘‘Terms of Use’’) from DTC’s Rules and Procedures (‘‘Rules’’), as more fully described below.3 II. Clearing Agency’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, DTC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Terms not otherwise defined herein have their respective meanings set forth in the Rules. 2 17 E:\FR\FM\02MRN1.SGM 02MRN1

Agencies

[Federal Register Volume 80, Number 40 (Monday, March 2, 2015)]
[Notices]
[Pages 11242-11243]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-04223]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Extension: Rule 35d-1; SEC File No. 270-491, OMB Control No. 3235-
0548]


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.

    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 35d-1 (17 CFR 270.35d-1) under the Investment Company Act of 
1940 (15 U.S.C. 80a-1 et seq.) defines as ``materially deceptive and 
misleading'' for purposes of Section 35(d), among other things, a name 
suggesting that a registered investment company or series thereof (a 
``fund'') focuses its investments in a particular type of investment or 
investments, in investments in a particular industry or group of 
industries, or in investments in a particular country or geographic 
region, unless, among other things, the fund adopts a certain 
investment policy. Rule 35d-1 further requires either that the 
investment policy is fundamental or that the fund has adopted a policy 
to provide its shareholders with at least 30 days prior notice of any 
change in the investment policy (``notice to shareholders''). The 
rule's notice to shareholders provision is intended to ensure that when 
shareholders purchase shares in a fund based, at least in part, on its 
name, and with the expectation that it will follow the investment 
policy suggested by that name, they will have sufficient time to decide 
whether to redeem their shares in the event that the

[[Page 11243]]

fund decides to pursue a different investment policy.
    The Commission estimates that there are approximately 11,400 open-
end and closed-end funds that have names that are covered by the rule. 
The Commission estimates that of these 11,400 funds, approximately 32 
will provide prior notice to shareholders pursuant to a policy adopted 
in accordance with this rule per year. The Commission estimates that 
the annual burden associated with the notice to shareholders 
requirement of the rule is 20 hours per response, for an annual total 
of 640 hours per year.
    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 35d-1 is mandatory. 
The information provided under rule 35d-1 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, 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. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: February 24, 2015.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-04223 Filed 2-27-15; 8:45 am]
BILLING CODE 8011-01-P
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