Proposed Collection; Comment Request, 11394-11395 [2017-03425]
Download as PDF
<![CDATA[
11394
Federal Register / Vol. 82, No. 34 / Wednesday, February 22, 2017 / Notices
response of approximately $1267.21
(i.e., $1,964,170.00/1550 responses).
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
estimates 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 PavlikSimon, 100 F Street NE., Washington,
DC 20549 or send an email to: PRA_
Mailbox@sec.gov.
Dated: February 15, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–03395 Filed 2–21–17; 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.
sradovich on DSK3GMQ082PROD with NOTICES
Extension:
Rule 203A–2(d), SEC File No. 270–630,
OMB Control No. 3235–0689.
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 collections of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
The title of the collection of
information is: ‘‘Exemption for Certain
VerDate Sep<11>2014
16:05 Feb 21, 2017
Jkt 241001
Multi-State Investment Advisers (Rule
203A–2(d)).’’ Its currently approved
OMB control number is 3235–0689. 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.
Pursuant to section 203A of the
Investment Advisers Act of 1940 (the
‘‘Act’’) (15 U.S.C. 80b–3a), an
investment adviser that is regulated or
required to be regulated as an
investment adviser in the state in which
it maintains its principal office and
place of business is prohibited from
registering with the Commission unless
that adviser has at least $25 million in
assets under management or advises a
Commission-registered investment
company. Section 203A also prohibits
from Commission registration an adviser
that: (i) Has assets under management
between $25 million and $100 million;
(ii) is required to be registered as an
investment adviser with the state in
which it maintains its principal office
and place of business; and (iii) if
registered, would be subject to
examination as an adviser by that state
(a ‘‘mid-sized adviser’’). A mid-sized
adviser that otherwise would be
prohibited may register with the
Commission if it would be required to
register with 15 or more states.
Similarly, Rule 203A–2(d) under the Act
(17 CFR 275.203a–2(d)) provides that
the prohibition on registration with the
Commission does not apply to an
investment adviser that is required to
register in 15 or more states. An
investment adviser relying on this
exemption also must: (i) Include a
representation on Schedule D of Form
ADV that the investment adviser has
concluded that it must register as an
investment adviser with the required
number of states; (ii) undertake to
withdraw from registration with the
Commission if the adviser indicates on
an annual updating amendment to Form
ADV that it would be required by the
laws of fewer than 15 states to register
as an investment adviser with the state;
and (iii) maintain in an easily accessible
place a record of the states in which the
investment adviser has determined it
would, but for the exemption, be
required to register for a period of not
less than five years from the filing of a
Form ADV relying on the rule.
Respondents to this collection of
information are investment advisers
required to register in 15 or more states
absent the exemption that rely on rule
203A–2(d) to register with the
Commission. The information collected
under rule 203A–2(d) permits the
Commission’s examination staff to
PO 00000
Frm 00059
Fmt 4703
Sfmt 4703
determine an adviser’s eligibility for
registration with the Commission under
this exemptive rule and is also
necessary for the Commission staff to
use in its examination and oversight
program. This collection of information
is codified at 17 CFR 275.203a–2(d) and
is mandatory to qualify for and maintain
Commission registration eligibility
under rule 203A–2(d). Responses to the
recordkeeping requirements under rule
203A–2(d) in the context of the
Commission’s examination and
oversight program are generally kept
confidential.
The estimated number of investment
advisers subject to the collection of
information requirements under the rule
is 142. These advisers will incur an
average one-time initial burden of
approximately 8 hours, and an average
ongoing burden of approximately 8
hours per year, to keep records
sufficient to demonstrate that they meet
the 15-state threshold. These estimates
are based on an estimate that each year
an investment adviser will spend
approximately 0.5 hours creating a
record of its determination whether it
must register as an investment adviser
with each of the 15 states required to
rely on the exemption, and
approximately 0.5 hours to maintain
these records. Accordingly, we estimate
that rule 203A–2(d) results in an annual
aggregate burden of collection for SECregistered investment advisers of a total
of 1,136 hours. 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 a representative
survey or study of the costs of
Commission rules and forms.
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.,
E:\FR\FM\22FEN1.SGM
22FEN1
Federal Register / Vol. 82, No. 34 / Wednesday, February 22, 2017 / Notices
Washington, DC 20549; or send an email
to: PRA_Mailbox@sec.gov.
Dated: February 15, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–03425 Filed 2–21–17; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF TRANSPORTATION
Maritime Administration.
[Docket No. MARAD–2017–0026]
Requested Administrative Waiver of
the Coastwise Trade Laws: Vessel
CHATON MOUILLE’; Invitation for
Public Comments
Maritime Administration
Notice.
AGENCY:
ACTION:
The Secretary of
Transportation, as represented by the
Maritime Administration (MARAD), is
authorized to grant waivers of the U.S.build requirement of the coastwise laws
under certain circumstances. A request
for such a waiver has been received by
MARAD. The vessel, and a brief
description of the proposed service, is
listed below.
DATES: Submit comments on or before
March 24, 2017.
ADDRESSES: Comments should refer to
docket number MARAD–2017–0026.
Written comments may be submitted by
hand or by mail to the Docket Clerk,
U.S. Department of Transportation,
Docket Operations, M–30, West
Building Ground Floor, Room W12–140,
1200 New Jersey Avenue SE.,
Washington, DC 20590. You may also
send comments electronically via the
Internet at https://www.regulations.gov.
All comments will become part of this
docket and will be available for
inspection and copying at the above
address between 10:00 a.m. and 5:00
p.m., Monday through Friday, except
federal holidays. An electronic version
of this document and all documents
entered into this docket is available at
https://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT:
Bianca Carr, U.S. Department of
Transportation, Maritime
Administration, 1200 New Jersey
Avenue SE., Room W23–453,
Washington, DC 20590. Telephone 202–
366–9309, Email Bianca.carr@dot.gov.
SUPPLEMENTARY INFORMATION: As
described by the applicant the intended
service of the vessel CHATON
MOUILLE’ is:
—INTENDED COMMERCIAL USE OF
VESSEL: Dinner cruises, private
sradovich on DSK3GMQ082PROD with NOTICES
SUMMARY:
VerDate Sep<11>2014
16:05 Feb 21, 2017
Jkt 241001
charter, site seeing, recreational dive
charters
—GEOGRAPHIC REGION: ‘‘Rhode
Island, Massachusetts, Connecticut,
New York, New Hampshire, Maine,
New Jersey, Maryland’’
The complete application is given in
DOT docket MARAD–2017–0026 at
https://www.regulations.gov. Interested
parties may comment on the effect this
action may have on U.S. vessel builders
or businesses in the U.S. that use U.S.flag vessels. If MARAD determines, in
accordance with 46 U.S.C. 12121 and
MARAD’s regulations at 46 CFR part
388, that the issuance of the waiver will
have an unduly adverse effect on a U.S.vessel builder or a business that uses
U.S.-flag vessels in that business, a
waiver will not be granted. Comments
should refer to the docket number of
this notice and the vessel name in order
for MARAD to properly consider the
comments. Comments should also state
the commenter’s interest in the waiver
application, and address the waiver
criteria given in § 388.4 of MARAD’s
regulations at 46 CFR part 388.
Privacy Act
In accordance with 5 U.S.C. 553(c),
DOT/MARAD solicits comments from
the public to better inform its
rulemaking process. DOT/MARAD posts
these comments, without edit, to
www.regulations.gov, as described in
the system of records notice, DOT/ALL–
14 FDMS, accessible through
www.dot.gov/privacy. In order to
facilitate comment tracking and
response, we encourage commenters to
provide their name, or the name of their
organization; however, submission of
names is completely optional. Whether
or not commenters identify themselves,
all timely comments will be fully
considered. If you wish to provide
comments containing proprietary or
confidential information, please contact
the agency for alternate submission
instructions.
By Order of the Maritime Administrator.
Dated: February 16, 2017.
T. Mitchell Hudson, Jr.,
Secretary, Maritime Administration.
[FR Doc. 2017–03403 Filed 2–21–17; 8:45 am]
BILLING CODE 4910–81–P
PO 00000
Frm 00060
Fmt 4703
Sfmt 4703
11395
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the
Currency
Agency Information Collection
Activities: Information Collection
Renewal; Submission for OMB Review;
Reporting, Recordkeeping, and
Disclosure Requirements Associated
With Proprietary Trading and Certain
Interests in and Relationships With
Covered Funds
Office of the Comptroller of the
Currency (OCC), Treasury.
ACTION: Notice and request for comment.
AGENCY:
The OCC, as part of its
continuing effort to reduce paperwork
and respondent burden, invites the
general public and other Federal
agencies to take this opportunity to
comment on a continuing information
collection as required by the Paperwork
Reduction Act of 1995 (PRA).
In accordance with the requirements
of the PRA, the OCC may not conduct
or sponsor, and the respondent is not
required to respond to, an information
collection unless it displays a currently
valid Office of Management and Budget
(OMB) control number.
The OCC is soliciting comment
concerning renewal of its information
collection titled, ‘‘Reporting,
Recordkeeping, and Disclosure
Requirements Associated with
Proprietary Trading and Certain
Interests in and Relationships with
Covered Funds.’’ The OCC also is giving
notice that it has sent the collection to
OMB for review.
DATES: Comments must be submitted on
or before March 24, 2017.
ADDRESSES: Because paper mail in the
Washington, DC area and at the OCC is
subject to delay, commenters are
encouraged to submit comments by
email, if possible. Comments may be
sent to: Legislative and Regulatory
Activities Division, Office of the
Comptroller of the Currency, Attention:
1557–00309, 400 7th Street SW., Suite
3E–218, Mail Stop 9W–11, Washington,
DC 20219. In addition, comments may
be sent by fax to (571) 465–4326 or by
electronic mail to prainfo@occ.treas.gov.
You may personally inspect and
photocopy comments at the OCC, 400
7th Street SW., Washington, DC 20219.
For security reasons, the OCC requires
that visitors make an appointment to
inspect comments. You may do so by
calling (202) 649–6700 or, for persons
who are deaf or hard of hearing, TTY,
(202) 649–5597. Upon arrival, visitors
will be required to present valid
government-issued photo identification
SUMMARY:
E:\FR\FM\22FEN1.SGM
22FEN1
]]>Agencies
[Federal Register Volume 82, Number 34 (Wednesday, February 22, 2017)]
[Notices]
[Pages 11394-11395]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-03425]
-----------------------------------------------------------------------
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 203A-2(d), SEC File No. 270-630, OMB Control No. 3235-0689.
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 collections of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget (``OMB'') for extension and approval.
The title of the collection of information is: ``Exemption for
Certain Multi-State Investment Advisers (Rule 203A-2(d)).'' Its
currently approved OMB control number is 3235-0689. 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.
Pursuant to section 203A of the Investment Advisers Act of 1940
(the ``Act'') (15 U.S.C. 80b-3a), an investment adviser that is
regulated or required to be regulated as an investment adviser in the
state in which it maintains its principal office and place of business
is prohibited from registering with the Commission unless that adviser
has at least $25 million in assets under management or advises a
Commission-registered investment company. Section 203A also prohibits
from Commission registration an adviser that: (i) Has assets under
management between $25 million and $100 million; (ii) is required to be
registered as an investment adviser with the state in which it
maintains its principal office and place of business; and (iii) if
registered, would be subject to examination as an adviser by that state
(a ``mid-sized adviser''). A mid-sized adviser that otherwise would be
prohibited may register with the Commission if it would be required to
register with 15 or more states. Similarly, Rule 203A-2(d) under the
Act (17 CFR 275.203a-2(d)) provides that the prohibition on
registration with the Commission does not apply to an investment
adviser that is required to register in 15 or more states. An
investment adviser relying on this exemption also must: (i) Include a
representation on Schedule D of Form ADV that the investment adviser
has concluded that it must register as an investment adviser with the
required number of states; (ii) undertake to withdraw from registration
with the Commission if the adviser indicates on an annual updating
amendment to Form ADV that it would be required by the laws of fewer
than 15 states to register as an investment adviser with the state; and
(iii) maintain in an easily accessible place a record of the states in
which the investment adviser has determined it would, but for the
exemption, be required to register for a period of not less than five
years from the filing of a Form ADV relying on the rule.
Respondents to this collection of information are investment
advisers required to register in 15 or more states absent the exemption
that rely on rule 203A-2(d) to register with the Commission. The
information collected under rule 203A-2(d) permits the Commission's
examination staff to determine an adviser's eligibility for
registration with the Commission under this exemptive rule and is also
necessary for the Commission staff to use in its examination and
oversight program. This collection of information is codified at 17 CFR
275.203a-2(d) and is mandatory to qualify for and maintain Commission
registration eligibility under rule 203A-2(d). Responses to the
recordkeeping requirements under rule 203A-2(d) in the context of the
Commission's examination and oversight program are generally kept
confidential.
The estimated number of investment advisers subject to the
collection of information requirements under the rule is 142. These
advisers will incur an average one-time initial burden of approximately
8 hours, and an average ongoing burden of approximately 8 hours per
year, to keep records sufficient to demonstrate that they meet the 15-
state threshold. These estimates are based on an estimate that each
year an investment adviser will spend approximately 0.5 hours creating
a record of its determination whether it must register as an investment
adviser with each of the 15 states required to rely on the exemption,
and approximately 0.5 hours to maintain these records. Accordingly, we
estimate that rule 203A-2(d) results in an annual aggregate burden of
collection for SEC-registered investment advisers of a total of 1,136
hours. 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 a representative survey or study of the costs of
Commission rules and forms.
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.,
[[Page 11395]]
Washington, DC 20549; or send an email to: PRA_Mailbox@sec.gov.
Dated: February 15, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-03425 Filed 2-21-17; 8:45 am]
BILLING CODE 8011-01-P
