Submission for OMB Review; Comment Request, 12165 [2016-05042]

Download as PDF Federal Register / Vol. 81, No. 45 / Tuesday, March 8, 2016 / Notices All submissions should refer to File Number SR–NYSEArca–2016–37. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet Web site (https://www.sec.gov/ rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street NE., Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the 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– NYSEArca–2016–37 and should be submitted on or before March 29, 2016. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.12 Robert W. Errett, Deputy Secretary. [FR Doc. 2016–05121 Filed 3–7–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request asabaliauskas on DSK3SPTVN1PROD with NOTICES Upon Written Request Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549–2736. Extension: Rule 17g–4; SEC File No. 270–566, OMB Control No. 3235–0627. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the Securities and Exchange Commission 12 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:02 Mar 07, 2016 Jkt 238001 (‘‘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 17g–4 (17 CFR 240.17g–4) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Credit Rating Agency Reform Act of 2006 added a new section 15E, ‘‘Registration of Nationally Recognized Statistical Rating Organizations,’’ 1 to the Exchange Act. Pursuant to the authority granted under section 15E of the Exchange Act, the Commission adopted Rule 17g–4, which requires that a nationally recognized statistical rating organization (‘‘NRSRO’’) establish, maintain, and enforce written policies and procedures to prevent the misuse of material nonpublic information, including policies and procedures reasonably designed to prevent: (a) The inappropriate dissemination of material nonpublic information obtained in connection with the performance of credit rating services; (b) a person within the NRSRO from trading on material nonpublic information; and (c) the inappropriate dissemination of a pending credit rating action.2 There are 10 credit rating agencies registered with the Commission as NRSROs under section 15E of the Exchange Act, which have already established the policies and procedures required by Rule 17g–4. Based on staff experience, an NRSRO is estimated to spend an average of approximately 10 hours per year reviewing its policies and procedures regarding material nonpublic information and updating them (if necessary), resulting in an average industry-wide annual hour burden of approximately 100 hours.3 The Commission may not conduct or sponsor a collection of information unless it displays a currently valid OMB control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the PRA that does not display a valid OMB control number. Background documentation for this information collection may be viewed 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 1 15 U.S.C. 78o–7. 17 CFR 240.17g–4; Release No. 34–55231 (Feb. 2, 2007), 72 FR 6378 (Feb. 9, 2007); Release No. 34–55857 (June 5, 2007), 72 FR 33564 (June 18, 2007). 3 10 currently registered NRSROs × 10 hours = 100 hours. 2 See PO 00000 Frm 00101 Fmt 4703 Sfmt 4703 12165 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 St. 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: March 1, 2016. Robert W. Errett, Deputy Secretary. [FR Doc. 2016–05042 Filed 3–7–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IC–32019; File No. 812–13754] Apollo Investment Corporation, et al.; Notice of Application March 2, 2016. Securities and Exchange Commission (‘‘Commission’’). ACTION: Notice of application for an order under sections 17(d) and 57(i) of the Investment Company Act of 1940 (the ‘‘Act’’) and rule 17d–1 under the Act to permit certain joint transactions otherwise prohibited by sections 17(d) and 57(a)(4) of the Act and rule 17d–1 under the Act. AGENCY: Summary of Application: Applicants request an order to permit certain business development companies and closed-end management investment companies to co-invest in portfolio companies with each other and with affiliated investment funds. Applicants: Apollo Investment Corporation (‘‘AIC’’), Apollo Tactical Income Fund Inc. (‘‘AIF’’), Apollo Investment Management, L.P. (‘‘AIM’’), Apollo Management VII, L.P., Apollo Management VIII, L.P., Apollo Global Real Estate Management, L.P., Apollo Capital Management, L.P., Apollo SVF Management, L.P., Apollo Value Management, L.P., Apollo Europe Management, L.P., Apollo EPF Management, L.P., Apollo Credit Opportunity Management III LLC, Apollo Credit Management II, L.P., Apollo Credit Management (CLO), LLC, Apollo Credit Management II GP, LLC, Athene Asset Management, L.P., Apollo Credit Management, LLC (‘‘ACM’’), Apollo Palmetto Strategic Partnership, L.P., Apollo Special Opportunities Managed Account, L.P., Apollo Investment Europe II, L.P., Apollo Credit Opportunity Fund III LP, Apollo Investment Fund VII, L.P., Apollo Investment Fund VIII, L.P., Apollo E:\FR\FM\08MRN1.SGM 08MRN1

Agencies

[Federal Register Volume 81, Number 45 (Tuesday, March 8, 2016)]
[Notices]
[Page 12165]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-05042]


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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 17g-4; SEC File No. 270-566, OMB Control No. 3235-0627.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), 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 17g-
4 (17 CFR 240.17g-4) under the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.) (``Exchange Act'').
    The Credit Rating Agency Reform Act of 2006 added a new section 
15E, ``Registration of Nationally Recognized Statistical Rating 
Organizations,'' \1\ to the Exchange Act. Pursuant to the authority 
granted under section 15E of the Exchange Act, the Commission adopted 
Rule 17g-4, which requires that a nationally recognized statistical 
rating organization (``NRSRO'') establish, maintain, and enforce 
written policies and procedures to prevent the misuse of material 
nonpublic information, including policies and procedures reasonably 
designed to prevent: (a) The inappropriate dissemination of material 
nonpublic information obtained in connection with the performance of 
credit rating services; (b) a person within the NRSRO from trading on 
material nonpublic information; and (c) the inappropriate dissemination 
of a pending credit rating action.\2\
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78o-7.
    \2\ See 17 CFR 240.17g-4; Release No. 34-55231 (Feb. 2, 2007), 
72 FR 6378 (Feb. 9, 2007); Release No. 34-55857 (June 5, 2007), 72 
FR 33564 (June 18, 2007).
---------------------------------------------------------------------------

    There are 10 credit rating agencies registered with the Commission 
as NRSROs under section 15E of the Exchange Act, which have already 
established the policies and procedures required by Rule 17g-4. Based 
on staff experience, an NRSRO is estimated to spend an average of 
approximately 10 hours per year reviewing its policies and procedures 
regarding material nonpublic information and updating them (if 
necessary), resulting in an average industry-wide annual hour burden of 
approximately 100 hours.\3\
---------------------------------------------------------------------------

    \3\ 10 currently registered NRSROs x 10 hours = 100 hours.
---------------------------------------------------------------------------

    The Commission may not conduct or sponsor a collection of 
information unless it displays a currently valid OMB control number. No 
person shall be subject to any penalty for failing to comply with a 
collection of information subject to the PRA that does not display a 
valid OMB control number.
    Background documentation for this information collection may be 
viewed 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 St. 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: March 1, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-05042 Filed 3-7-16; 8:45 am]
BILLING CODE 8011-01-P
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