Submission for OMB Review; Comment Request, 4106-4107 [2019-02312]
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Federal Register / Vol. 84, No. 31 / Thursday, February 14, 2019 / Notices
TABLE 2—TEST STANDARD OSHA IS preparation of this notice. Accordingly,
ADDING TO THE NRTL PROGRAM’S the Agency is issuing this notice
LIST OF APPROPRIATE TEST STAND- pursuant to 29 U.S.C. 657(g)(2),
Secretary of Labor’s Order No. 1–2012
(77 FR 3912, Jan. 25, 2012), and 29 CFR
1910.7.
ARDS
Test standard
Test standard title
UL 1598C .......
Standard for Light Emitting
Diode (LED) Retrofit Luminaire Conversion Kits.
OSHA’s recognition of any NRTL for
a particular test standard is limited to
equipment or materials for which OSHA
standards require third-party testing and
certification before using them in the
workplace. Consequently, if a test
standard also covers any products for
which OSHA does not require such
testing and certification, a NRTL’s scope
of recognition does not include these
products.
The American National Standards
Institute (ANSI) may approve the test
standards listed above as American
National Standards. However, for
convenience, the use of the designation
of the standards-developing
organization for the standard as opposed
to the ANSI designation may occur.
Under the NRTL Program’s policy (see
OSHA Instruction CPL 1–0.3, Appendix
C, paragraph XIV), any NRTL
recognized for a particular test standard
may use either the proprietary version
of the test standard or the ANSI version
of that standard. Contact ANSI to
determine whether a test standard is
currently ANSI-approved.
A. Conditions
In addition to those conditions
already required by 29 CFR 1910.7, MET
must abide by the following conditions
of the recognition:
1. MET must inform OSHA as soon as
possible, in writing, of any change of
ownership, facilities, or key personnel,
and of any major change in its
operations as a NRTL, and provide
details of the change(s);
2. MET must meet all the terms of its
recognition and comply with all OSHA
policies pertaining to this recognition;
and
3. MET must continue to meet the
requirements for recognition, including
all previously published conditions on
MET’s scope of recognition, in all areas
for which it has recognition.
Pursuant to the authority in 29 CFR
1910.7, OSHA hereby expands the scope
of recognition of MET, subject to the
limitation and conditions specified
above.
III. Authority and Signature
Loren Sweatt, Deputy Assistant
Secretary of Labor for Occupational
Safety and Health, authorized the
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Signed at Washington, DC, on February 8,
2019.
Loren Sweatt,
Acting Assistant Secretary of Labor for
Occupational Safety and Health.
[FR Doc. 2019–02239 Filed 2–13–19; 8:45 am]
292–7000. Please refer to the National
Science Board website for additional
information. Meeting information and
schedule updates (time, place, subject
matter, and status of meeting) may be
found at https://www.nsf.gov/nsb/
meetings/notices.jsp#sunshine.
Chris Blair,
Executive Assistant, National Science Board
Office.
[FR Doc. 2019–02539 Filed 2–12–19; 4:15 pm]
BILLING CODE 7555–01–P
BILLING CODE 4510–26–P
NATIONAL SCIENCE FOUNDATION
Sunshine Act Meetings; National
Science Board
The National Science Board, pursuant
to NSF regulations (45 CFR part 614),
the National Science Foundation Act, as
amended, (42 U.S.C. 1862n–5), and the
Government in the Sunshine Act (5
U.S.C. 552b), hereby gives notice of
revisions to an announcement of
meetings for the transaction of National
Science Board business.
FEDERAL REGISTER CITATION OF PREVIOUS
ANNOUNCEMENT: 84 FR 2933–34,
published on Friday, February 8, 2019.
PREVIOUSLY ANNOUNCED SESSION
CANCELLED:
Plenary Board
February 12, 2019
Open Session: 1:00–2:00 p.m.
• Chair’s Opening Remarks and
Introductions
Æ Mr. Chris Liddell, White House
Deputy Chief of Staff for Policy
Coordination
This session has been CANCELLED,
per vote of the National Science Board.
ADDITIONAL TIME FOR COMMITTEE SESSION:
Committee on Awards and Facilities
(A&F)
February 12, 2019
Closed session: 9:30 a.m.–12:00 noon
• Committee Chair’s Opening Remarks
• Approval of Prior Minutes
• Action Item: Antarctic Infrastructure
Modernization for Science (AIMS)
• Action Item: International Ocean
Discovery Program (IODP)
• Update on Cornell High Energy
Synchrotron Source
• Context Item: Green Bank Observatory
• Update on National Ecological
Observatory Network
This session will be RECONVENED
DURING THE TIME 1:15 p.m. TO 2:00
p.m. February 12, 2019, per vote of the
National Science Board.
CONTACT PERSON FOR MORE INFORMATION:
Brad Gutierrez, bgutierr@nsf.gov, 703/
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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:
Form T–6, SEC File No. 270–344, OMB
Control No. 3235–0391
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’’) has submitted to the
Office of Management and Budget this
request for extension of the previously
approved collection of information
discussed below.
Form T–6 (17 CFR 269.9) is an
application for eligibility and
qualification for a foreign person or
corporation under the Trust Indenture
Act of 1939 (15 U.S.C. 77aaa et seq.).
Form T–6 provides the basis for
determining whether a foreign person or
corporation is eligible to serve as a
trustee for qualified indenture. Form T–
6 is filed on occasion. The information
collected must be filed with the
Commission and is publicly available.
Form T–6 takes approximately 17
burden hours per response and is filed
by approximately one respondent
annually. We estimate that 25% of the
17 hours (4.25 hours) is prepared by the
filer for an annual reporting burden of
4 hours (4.25 hours per response × 1
response).
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 website,
www.reginfo.gov. Comments should be
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Federal Register / Vol. 84, No. 31 / Thursday, February 14, 2019 / Notices
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:
Lindsay.M.Abate@omb.eop.gov; and (ii)
Charles Riddle, Acting Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Candace
Kenner, 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 11, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019–02312 Filed 2–13–19; 8:45 am]
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
Extension:
Rule 17j–1, SEC File No. 270–239, OMB
Control No. 3235–0224
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501–3520), 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.
Conflicts of interest between
investment company personnel (such as
portfolio managers) and their funds can
arise when these persons buy and sell
securities for their own accounts
(‘‘personal investment activities’’).
These conflicts arise because fund
personnel have the opportunity to profit
from information about fund
transactions, often to the detriment of
fund investors. Beginning in the early
1960s, Congress and the Securities and
Exchange Commission (‘‘Commission’’)
sought to devise a regulatory scheme to
effectively address these potential
conflicts. These efforts culminated in
the addition of section 17(j) to the
Investment Company Act of 1940 (the
‘‘Investment Company Act’’) (15 U.S.C.
80a–17(j)) in 1970 and the adoption by
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the Commission of rule 17j–1 (17 CFR
270.17j–1) in 1980.1 The Commission
proposed amendments to rule 17j–1 in
1995 in response to recommendations
made in the first detailed study of fund
policies concerning personal investment
activities by the Commission’s Division
of Investment Management since rule
17j–1 was adopted. Amendments to rule
17j–1, which were adopted in 1999,
enhanced fund oversight of personal
investment activities and the board’s
role in carrying out that oversight.2
Additional amendments to rule 17j–1
were made in 2004, conforming rule
17j–1 to rule 204A–1 under the
Investment Advisers Act of 1940 (15
U.S.C. 80b), avoiding duplicative
reporting, and modifying certain
definitions and time restrictions.3
Section 17(j) makes it unlawful for
persons affiliated with a registered
investment company (‘‘fund’’) or with
the fund’s investment adviser or
principal underwriter (each a ‘‘17j–1
organization’’), in connection with the
purchase or sale of securities held or to
be acquired by the investment company,
to engage in any fraudulent, deceptive,
or manipulative act or practice in
contravention of the Commission’s rules
and regulations. Section 17(j) also
authorizes the Commission to
promulgate rules requiring 17j–1
organizations to adopt codes of ethics.
In order to implement section 17(j),
rule 17j–1 imposes certain requirements
on 17j–1 organizations and ‘‘Access
Persons’’ 4 of those organizations. The
rule prohibits fraudulent, deceptive or
manipulative acts by persons affiliated
with a 17j–1 organization in connection
1 Prevention of Certain Unlawful Activities with
Respect to Registered Investment Companies,
Investment Company Act Release No. 11421 (Oct.
31, 1980) (45 FR 73915 (Nov. 7, 1980)).
2 Personal Investment Activities of Investment
Company Personnel, Investment Company Act
Release No. 23958 (Aug. 20, 1999) (64 FR 46821
(Aug. 27, 1999)).
3 Investment Adviser Codes of Ethics, Investment
Advisers Act Release No. 2256 (Jul. 2, 2004) (69 FR
41696 (Jul. 9, 2004)).
4 Rule 17j–1(a)(1) defines an ‘‘access person’’ as
‘‘Any Advisory Person of a Fund or of a Fund’s
investment adviser. If an investment adviser’s
primary business is advising Funds or other
advisory clients, all of the investment adviser’s
directors, officers, and general partners are
presumed to be Access Persons of any Fund advised
by the investment adviser. All of a Fund’s directors,
officers, and general partners are presumed to be
Access Persons of the Fund.’’ The definition of
Access Person also includes ‘‘Any director, officer
or general partner of a principal underwriter who,
in the ordinary course of business, makes,
participates in or obtains information regarding, the
purchase or sale of Covered Securities by the Fund
for which the principal underwriter acts, or whose
functions or duties in the ordinary course of
business relate to the making of any
recommendation to the Fund regarding the
purchase or sale of Covered Securities.’’ Rule 17j–
1(a)(1).
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4107
with their personal securities
transactions in securities held or to be
acquired by the fund. The rule requires
each 17j–1 organization, unless it is a
money market fund or a fund that does
not invest in Covered Securities,5 to: (i)
Adopt a written codes of ethics, (ii)
submit the code and any material
changes to the code, along with a
certification that it has adopted
procedures reasonably necessary to
prevent Access Persons from violating
the code of ethics, to the fund board for
approval, (iii) use reasonable diligence
and institute procedures reasonably
necessary to prevent violations of the
code, (iv) submit a written report to the
fund describing any issues arising under
the code and procedures and certifying
that the 17j–1 entity has adopted
procedures reasonably necessary to
prevent Access Persons form violating
the code, (v) identify Access Persons
and notify them of their reporting
obligations, and (vi) maintain and make
available to the Commission for review
certain records related to the code of
ethics and transaction reporting by
Access Persons.
The rule requires each Access Person
of a fund (other than a money market
fund or a fund that does not invest in
Covered Securities) and of an
investment adviser or principal
underwriter of the fund, who is not
subject to an exception,6 to file: (i)
5 A ‘‘Covered Security’’ is any security that falls
within the definition in section 2(a)(36) of the Act,
except for direct obligations of the U.S.
Government, bankers’ acceptances, bank certificates
of deposit, commercial paper and high quality
short-term debt instruments, including repurchase
agreements, and shares issued by open-end funds.
Rule 17j–1(a)(4).
6 Rule 17j–1(d)(2) contains the following
exceptions: (i) An Access Person need not file a
report for transactions effected for, and securities
held in, any account over which the Access Person
does not have control; (ii) an independent director
of the fund, who would otherwise be required to
report solely by reason of being a fund director and
who does not have information with respect to the
fund’s transactions in a particular security, does not
have to file an initial holdings report or a quarterly
transaction report; (iii) an Access Person of a
principal underwriter of the fund does not have to
file reports if the principal underwriter is not
affiliated with the fund (unless the fund is a unit
investment trust) or any investment adviser of the
fund and the principal underwriter of the fund does
not have any officer, director, or general partner
who serves in one of those capacities for the fund
or any investment adviser of the fund; (iv) an
Access Person to an investment adviser need not
make quarterly reports if the report would duplicate
information provided under the reporting
provisions of the Investment Adviser’s Act of 1940;
(v) an Access Person need not make quarterly
transaction reports if the information provided in
the report would duplicate information received by
the 17j–1 organization in the form of broker trade
confirmations or account statements or information
otherwise in the records of the 17j–1 organization;
and (vi) an Access Person need not make quarterly
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]]>Agencies
[Federal Register Volume 84, Number 31 (Thursday, February 14, 2019)]
[Notices]
[Pages 4106-4107]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-02312]
=======================================================================
-----------------------------------------------------------------------
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:
Form T-6, SEC File No. 270-344, OMB Control No. 3235-0391
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'') has submitted to the Office of Management
and Budget this request for extension of the previously approved
collection of information discussed below.
Form T-6 (17 CFR 269.9) is an application for eligibility and
qualification for a foreign person or corporation under the Trust
Indenture Act of 1939 (15 U.S.C. 77aaa et seq.). Form T-6 provides the
basis for determining whether a foreign person or corporation is
eligible to serve as a trustee for qualified indenture. Form T-6 is
filed on occasion. The information collected must be filed with the
Commission and is publicly available. Form T-6 takes approximately 17
burden hours per response and is filed by approximately one respondent
annually. We estimate that 25% of the 17 hours (4.25 hours) is prepared
by the filer for an annual reporting burden of 4 hours (4.25 hours per
response x 1 response).
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 website, www.reginfo.gov.
Comments should be
[[Page 4107]]
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:
Lindsay.M.Abate@omb.eop.gov; and (ii) Charles Riddle, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o
Candace Kenner, 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 11, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-02312 Filed 2-13-19; 8:45 am]
BILLING CODE 8011-01-P
