Proposed Collection; Comment Request, 37920 [2019-16521]
Download as PDF
<![CDATA[
jbell on DSK3GLQ082PROD with NOTICES
37920
Federal Register / Vol. 84, No. 149 / Friday, August 2, 2019 / Notices
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 34 entities required to
comply with the rule: 23 national
securities exchanges, 1 national
securities association, 9 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
1,772 hours. The total internal cost of
compliance for all respondents is
$124,040, based on an average cost per
hour of $70.
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: 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.
VerDate Sep<11>2014
18:02 Aug 01, 2019
Jkt 247001
Dated: July 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–16522 Filed 8–1–19; 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.
Extension:
Schedule 13E–4F; SEC File No. 270–340,
OMB Control No. 3235–0375
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 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.
Schedule 13E–4F (17 CFR 240.13e–
102) may be used by an issuer that is
incorporated or organized under the
laws of Canada to make a cash tender
or exchange offer for the issuer’s own
securities if less than 40 percent of the
class of such issuer’s securities
outstanding that are the subject of the
tender offer is held by U.S. holders. The
information collected must be filed with
the Commission and is publicly
available. We estimate that it takes
approximately 2 hours per response to
prepare Schedule 13E–4F and that the
information is filed by approximately 3
respondents for a total annual reporting
burden of 6 hours (2 hours per response
× 3 responses).
Written comments are invited on: (a)
Whether this 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 imposed by 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.
PO 00000
Frm 00096
Fmt 4703
Sfmt 4703
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.
Please direct your written comment to
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.
Dated: July 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–16521 Filed 8–1–19; 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 607, SEC File No. 270–561, OMB
Control No. 3235–0747, 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’’) has submitted to the
Office of Management and Budget a
request for extension of the previously
approved collection of information
discussed below.
Regulation E (17 CFR 230.601–
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
E:\FR\FM\02AUN1.SGM
02AUN1
]]>Agencies
[Federal Register Volume 84, Number 149 (Friday, August 2, 2019)]
[Notices]
[Page 37920]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-16521]
-----------------------------------------------------------------------
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:
Schedule 13E-4F; SEC File No. 270-340, OMB Control No. 3235-0375
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 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.
Schedule 13E-4F (17 CFR 240.13e-102) may be used by an issuer that
is incorporated or organized under the laws of Canada to make a cash
tender or exchange offer for the issuer's own securities if less than
40 percent of the class of such issuer's securities outstanding that
are the subject of the tender offer is held by U.S. holders. The
information collected must be filed with the Commission and is publicly
available. We estimate that it takes approximately 2 hours per response
to prepare Schedule 13E-4F and that the information is filed by
approximately 3 respondents for a total annual reporting burden of 6
hours (2 hours per response x 3 responses).
Written comments are invited on: (a) Whether this 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 imposed by 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.
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.
Please direct your written comment to 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: [email protected].
Dated: July 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-16521 Filed 8-1-19; 8:45 am]
BILLING CODE 8011-01-P
