Proposed Collection; Comment Request, 44673 [2016-16191]

Download as PDF Federal Register / Vol. 81, No. 131 / Friday, July 8, 2016 / Notices in the Auditorium (L–002) at the Commission’s headquarters building, to hear oral argument in an appeal by the Respondents John J. Aesoph, CPA and Darren M. Bennett, CPA, and a crossappeal by the Division of Enforcement, from an initial decision of an administrative law judge. On June 27, 2014, the law judge found that Aesoph and Bennett engaged in ‘‘improper professional conduct’’ under Commission Rule of Practice 102(e) and Section 4C of the Securities Exchange Act of 1934, during their service as the engagement partner and senior manager of KPMG, LLP’s audit of the 2008 financial statements of TierOne Corporation, a holding company for TierOne Bank. The law judge suspended Aesoph from appearing or practicing before the Commission as an accountant for one year, and suspended Bennett from appearing or practicing before the Commission as an accountant for six months. Respondents appealed the law judge’s findings of liability and the sanctions imposed; the Division cross-appealed the sanctions imposed. The issues likely to be considered at oral argument include, among other things, whether Respondents engaged in ‘‘improper professional conduct’’ as alleged and, if so, the extent to which they should be sanctioned. Also likely to be considered at oral argument is whether these administrative proceedings violate the U.S. Constitution. For further information, please contact Brent J. Fields from the Office of the Secretary at (202) 551–5400. Dated: July 5, 2016. Lynn M. Powalski, Deputy Secretary. [FR Doc. 2016–16309 Filed 7–6–16; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; 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 17a–1; SEC File No. 270–244, OMB Control No. 3235–0208. 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 VerDate Sep<11>2014 17:00 Jul 07, 2016 Jkt 238001 provided for in Rule 17a–1 (17 CFR 240.17a–1) under the Securities Exchange Act of 1934, as amended (the ‘‘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 17a–1 requires that every national securities exchange, national securities association, registered clearing agency, and the Municipal Securities Rulemaking Board keep on file for a period of not less than five years, the first two years in an easily accessible place, at least one copy of all documents, including all correspondence, memoranda, papers, books, notices, accounts, and other such records made or received by it in the course of its business as such and in the conduct of its self-regulatory activity, and that such documents be available for examination by the Commission. There are 29 entities required to comply with the rule: 19 national securities exchanges, 1 national securities association, 8 registered clearing agencies, and the Municipal Securities Rulemaking Board. The Commission staff estimates that the average number of hours necessary for compliance with the requirements of Rule 17a–1 is 52 hours per year. In addition, 4 national securities exchanges notice-registered pursuant to Section 6(g) of the Act (15 U.S.C. 78f(g)) are required to preserve records of determinations made under Rule 3a55– 1 under the Act (17 CFR 240.3a55–1), which the Commission staff estimates will take 1 hour per exchange, for a total of 4 hours. Accordingly, the Commission staff estimates that the total number of hours necessary to comply with the requirements of Rule 17a–1 is 1,512 hours. The total internal cost of compliance for all respondents is $98,280, based on an average cost per hour of $65. 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 estimate of the burden of the proposed 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 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 44673 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, 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: July 5, 2016. Brent J. Fields, Secretary. [FR Doc. 2016–16191 Filed 7–7–16; 8:45 am] BILLING CODE 8011–01–P DEPARTMENT OF TRANSPORTATION Federal Highway Administration Environmental Impact Statement: King County, Washington Federal Highway Administration (FHWA), Department of Transportation (DOT). ACTION: Notice of intent to prepare an environmental impact statement. AGENCY: The FHWA is issuing this notice to advise the public that an environmental impact statement (EIS) will be prepared for a proposed project in King County, Washington. FOR FURTHER INFORMATION CONTACT: Lindsey Handel, Urban Area Engineer, Federal Highway Administration, 711 South Capitol Way, Suite 501, Olympia, WA 98501; telephone: (360) 753–9550; email: Lindsey.Handel@dot.gov. Jane Lewis, Project Coordinator, Washington State Convention Center, c/o Pine Street Group L.L.C., 1500 Fourth Ave., Suite 600, Seattle, WA 98101; telephone: (206) 340–9897; email: wscc@pinest.com. SUPPLEMENTARY INFORMATION: The FHWA, in cooperation with WSCC, will prepare an EIS on the Washington State Convention Center Addition Project to construct an addition to the Washington State Convention Center. The project requires FHWA approvals for closure of access to an Interstate ramp and use of Interstate airspace (air and ground lease), and related breaks in access. Preliminary alternatives under consideration include: (1) Taking no action; (2) construct approximately 1.50 million square feet of gross floor area composed of approximately 1.26 million square feet of addition to the convention SUMMARY: E:\FR\FM\08JYN1.SGM 08JYN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 81, Number 131 (Friday, July 8, 2016)]
[Notices]
[Page 44673]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-16191]


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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 17a-1; SEC File No. 270-244, OMB Control No. 3235-0208.

    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 17a-1 (17 CFR 240.17a-1) 
under the Securities Exchange Act of 1934, as amended (the ``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 17a-1 requires that every national securities exchange, 
national securities association, registered clearing agency, and the 
Municipal Securities Rulemaking Board keep on file for a period of not 
less than five years, the first two years in an easily accessible 
place, at least one copy of all documents, including all 
correspondence, memoranda, papers, books, notices, accounts, and other 
such records made or received by it in the course of its business as 
such and in the conduct of its self-regulatory activity, and that such 
documents be available for examination by the Commission.
    There are 29 entities required to comply with the rule: 19 national 
securities exchanges, 1 national securities association, 8 registered 
clearing agencies, and the Municipal Securities Rulemaking Board. The 
Commission staff estimates that the average number of hours necessary 
for compliance with the requirements of Rule 17a-1 is 52 hours per 
year. In addition, 4 national securities exchanges notice-registered 
pursuant to Section 6(g) of the Act (15 U.S.C. 78f(g)) are required to 
preserve records of determinations made under Rule 3a55-1 under the Act 
(17 CFR 240.3a55-1), which the Commission staff estimates will take 1 
hour per exchange, for a total of 4 hours. Accordingly, the Commission 
staff estimates that the total number of hours necessary to comply with 
the requirements of Rule 17a-1 is 1,512 hours. The total internal cost 
of compliance for all respondents is $98,280, based on an average cost 
per hour of $65.
    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 estimate of the 
burden of the proposed 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.
    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, 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: July 5, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-16191 Filed 7-7-16; 8:45 am]
 BILLING CODE 8011-01-P

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