Proposed Collection; Comment Request, 8118 [2016-03114]

Download as PDF 8118 Federal Register / Vol. 81, No. 31 / Wednesday, February 17, 2016 / Notices 10:00 a.m. and 3:00 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–BATS– 2015–102 and should be submitted on or before March 9, 2016. VI. Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 2 The Commission finds good cause, pursuant to section 19(b)(2) of the Act, to approve the proposed rule change, as modified by Partial Amendment No. 2, prior to the 30th day after the date of publication of Partial Amendment No. 2 in the Federal Register. Partial Amendment No. 2 amends (1) proposed Rule 11.24(b)(4)(A) by deleting an erroneous cross-reference and replacing the phrase ‘‘pipe-delineated’’ with the phrase ‘‘required by their DEA’’ and (2) proposed Rule 11.27.03 by replacing the phrase ‘‘dually listed securities’’ to ‘‘securities that trade in a foreign market’’. The change to proposed Rule 11.24(b)(4)(A) is of a clarifying, technical nature. The change to proposed Interpretation and Policy .03 clarifies that foreign routing information will only be required for securities that trade in a foreign market. The Commission believes that these changes provide greater clarity on the application of the proposal. Accordingly, the Commission finds good cause for approving the proposed rule change, as modified by Partial Amendment No. 2, on an accelerated basis, pursuant to section 19(b)(2) of the Act. IV. Conclusion asabaliauskas on DSK5VPTVN1PROD with NOTICES It is therefore ordered, pursuant to section 19(b)(2) of the Act 74 that the proposed rule change, as modified by Partial Amendment No. 2 (SR–BATS– 2015–102) be, and hereby is, approved on an accelerated basis. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.75 Brent J. Fields, Secretary. [FR Doc. 2016–03128 Filed 2–16–16; 8:45 am] BILLING CODE 8011–01–P 74 15 75 17 U.S.C. 78s(b)(2). CFR 200.30–3(a)(12). VerDate Sep<11>2014 19:05 Feb 16, 2016 Jkt 238001 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 607, SEC File No. 270–561, OMB Control No. 3235–0634, Request for a New OMB Control No. 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 for extension and approval. Regulation E (17 CFR 230.601 to 230.610a) exempts from registration under the Securities Act of 1933 (15 U.S.C. 77a et seq.) (‘‘Securities Act’’) securities issued by a small business investment company (‘‘SBIC’’) which is registered under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) (‘‘Investment Company Act’’) or a closed-end investment company that has elected to be regulated as a business development company (‘‘BDC’’) under the Investment Company Act, so long as the aggregate offering price of all securities of the issuer that may be sold within a 12-month period does not exceed $5,000,000 and certain other conditions are met. Rule 607 under Regulation E (17 CFR 230.607) entitled, ‘‘Sales material to be filed,’’ requires sales material used in connection with securities offerings under Regulation E to be filed with the Commission at least five days (excluding weekends and holidays) prior to its use.1 Commission staff reviews sales material filed under rule 607 for materially misleading statements and omissions. The requirements of rule 607 are designed to protect investors from the use of false or misleading sales material in connection with Regulation E offerings. Respondents to this collection of information include SBICs and BDCs making an offering of securities under Regulation E. Each respondent’s 1 Sales material includes advertisements, articles or other communications to be published in newspapers, magazines, or other periodicals; radio and television scripts; and letters, circulars or other written communications proposed to be sent given or otherwise communicated to more than ten persons. PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 reporting burden under rule 607 relates to the burden associated with filing its sales material electronically. The burden of filing electronically, however, is negligible and there have been no filings made under this rule, so this collection of information does not impose any burden on the industry. However, we are requesting one annual response and an annual burden of one hour for administrative purposes. The estimate of average burden hours is made solely for purposes of the Paperwork Reduction Act and is not derived from a quantitative, comprehensive, or even representative survey or study of the burdens associated with Commission rules and forms. The requirements of this collection of information are mandatory. Responses 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 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, 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: February 10, 2016. Brent J. Fields, Secretary. [FR Doc. 2016–03114 Filed 2–16–16; 8:45 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION National Small Business Development Center Advisory Board U.S. Small Business Administration (SBA). AGENCY: E:\FR\FM\17FEN1.SGM 17FEN1

Agencies

[Federal Register Volume 81, Number 31 (Wednesday, February 17, 2016)]
[Notices]
[Page 8118]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-03114]


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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 607, SEC File No. 270-561, OMB Control No. 3235-0634, 
Request for a New OMB Control No.

    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 for extension and approval.
    Regulation E (17 CFR 230.601 to 230.610a) exempts from registration 
under the Securities Act of 1933 (15 U.S.C. 77a et seq.) (``Securities 
Act'') securities issued by a small business investment company 
(``SBIC'') which is registered under the Investment Company Act of 1940 
(15 U.S.C. 80a-1 et seq.) (``Investment Company Act'') or a closed-end 
investment company that has elected to be regulated as a business 
development company (``BDC'') under the Investment Company Act, so long 
as the aggregate offering price of all securities of the issuer that 
may be sold within a 12-month period does not exceed $5,000,000 and 
certain other conditions are met. Rule 607 under Regulation E (17 CFR 
230.607) entitled, ``Sales material to be filed,'' requires sales 
material used in connection with securities offerings under Regulation 
E to be filed with the Commission at least five days (excluding 
weekends and holidays) prior to its use.\1\ Commission staff reviews 
sales material filed under rule 607 for materially misleading 
statements and omissions. The requirements of rule 607 are designed to 
protect investors from the use of false or misleading sales material in 
connection with Regulation E offerings.
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    \1\ Sales material includes advertisements, articles or other 
communications to be published in newspapers, magazines, or other 
periodicals; radio and television scripts; and letters, circulars or 
other written communications proposed to be sent given or otherwise 
communicated to more than ten persons.
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    Respondents to this collection of information include SBICs and 
BDCs making an offering of securities under Regulation E. Each 
respondent's reporting burden under rule 607 relates to the burden 
associated with filing its sales material electronically. The burden of 
filing electronically, however, is negligible and there have been no 
filings made under this rule, so this collection of information does 
not impose any burden on the industry. However, we are requesting one 
annual response and an annual burden of one hour for administrative 
purposes. The estimate of average burden hours is made solely for 
purposes of the Paperwork Reduction Act and is not derived from a 
quantitative, comprehensive, or even representative survey or study of 
the burdens associated with Commission rules and forms.
    The requirements of this collection of information are mandatory. 
Responses 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 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, 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: February 10, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-03114 Filed 2-16-16; 8:45 am]
BILLING CODE 8011-01-P
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