Submission for OMB Review; Comment Request, 46979 [2019-19239]

Download as PDF Federal Register / Vol. 84, No. 173 / Friday, September 6, 2019 / Notices year. The mission of the CFC is to promote and support philanthropy through a program that is employee focused, cost-efficient, and effective in providing all federal employees the opportunity to improve the quality of life for all. The CFC charity applications collect information from about 10,000 national, international, and local charities for inclusion on the CFC charity list. There are no recommended revisions to this ICR. U.S. Office of Personnel Management. Stephen Hickman, Federal Register Liaison. [FR Doc. 2019–19242 Filed 9–5–19; 8:45 am] BILLING CODE 6325–46–P POSTAL SERVICE Product Change—Priority Mail Negotiated Service Agreement Postal ServiceTM. Notice. AGENCY: ACTION: The Postal Service gives notice of filing a request with the Postal Regulatory Commission to add a domestic shipping services contract to the list of Negotiated Service Agreements in the Mail Classification Schedule’s Competitive Products List. DATES: Date of required notice September 6, 2019. FOR FURTHER INFORMATION CONTACT: Sean Robinson, 202–268–8405. SUPPLEMENTARY INFORMATION: The United States Postal Service® hereby gives notice that, pursuant to 39 U.S.C. 3642 and 3632(b)(3), on September 3, 2019, it filed with the Postal Regulatory Commission a USPS Request to Add Priority Mail Contract 547 to Competitive Product List. Documents are available at www.prc.gov, Docket Nos. MC2019–189, CP2019–212. SUMMARY: Sean Robinson, Attorney, Corporate and Postal Business Law. [FR Doc. 2019–19287 Filed 9–5–19; 8:45 am] BILLING CODE 7710–12–P jspears on DSK3GMQ082PROD with NOTICES 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: VerDate Sep<11>2014 16:53 Sep 05, 2019 Jkt 247001 Rule 204A–1, SEC File No. 270–536, OMB Control No. 3235–0596 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. The title for the collection of information is ‘‘Rule 204A–1 (17 CFR 275.204A–1) under the Investment Advisers Act of 1940.’’ (15 U.S.C. 80b– 1 et seq.) Rule 204A–1 (the ‘‘Code of Ethics Rule’’) requires investment advisers registered with the SEC to (i) set forth standards of conduct expected of advisory personnel (including compliance with the federal securities laws); (ii) safeguard material nonpublic information about client transactions; and (iii) require the adviser’s ‘‘access persons’’ to report their personal securities transactions, including transactions in any mutual fund managed by the adviser. The Code of Ethics Rule requires access persons to obtain the adviser’s approval before investing in an initial public offering (‘‘IPO’’) or private placement. The Code of Ethics Rule also requires prompt reporting, to the adviser’s chief compliance officer or another person designated in the code of ethics, of any violations of the code. Finally, the Code of Ethics Rule requires the adviser to provide each supervised person with a copy of the code of ethics and any amendments, and require the supervised persons to acknowledge, in writing, their receipt of these copies. The purposes of the information collection requirements are to (i) ensure that advisers maintain codes of ethics applicable to their supervised persons; (ii) provide advisers with information about the personal securities transactions of their access persons for purposes of monitoring such transactions; (iii) provide advisory clients with information with which to evaluate advisers’ codes of ethics; and (iv) assist the Commission’s examination staff in assessing the adequacy of advisers’ codes of ethics and assessing personal trading activity by advisers’ supervised persons. The respondents to this information collection are investment advisers registered with the Commission. The Commission has estimated that compliance with rule 204A–1 imposes a burden of approximately 91 hours per adviser annually based on an average adviser having 63 access persons. Our latest data indicate that there were PO 00000 Frm 00048 Fmt 4703 Sfmt 9990 46979 13,173 advisers registered with the Commission. Based on this figure, the Commission estimates a total annual burden of 1,194,133 hours for this collection of information. Rule 204A–1 does not require recordkeeping or record retention. The collection of information requirements under the rule is mandatory. The information collected pursuant to the rule is not filed with the Commission, but rather takes the form of communications between advisers and their supervised persons. Investment advisers use the information collected to control and assess the personal trading activities of their supervised persons. Responses to the reporting requirements will be kept confidential to the extent each investment adviser provides confidentiality under its particular practices and procedures. 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 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: September 3, 2019. Jill M. Peterson, Assistant Secretary. [FR Doc. 2019–19239 Filed 9–5–19; 8:45 am] BILLING CODE 8011–01–P E:\FR\FM\06SEN1.SGM 06SEN1

Agencies

[Federal Register Volume 84, Number 173 (Friday, September 6, 2019)]
[Notices]
[Page 46979]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-19239]


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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 204A-1, SEC File No. 270-536, OMB Control No. 3235-0596

    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.
    The title for the collection of information is ``Rule 204A-1 (17 
CFR 275.204A-1) under the Investment Advisers Act of 1940.'' (15 U.S.C. 
80b-1 et seq.) Rule 204A-1 (the ``Code of Ethics Rule'') requires 
investment advisers registered with the SEC to (i) set forth standards 
of conduct expected of advisory personnel (including compliance with 
the federal securities laws); (ii) safeguard material nonpublic 
information about client transactions; and (iii) require the adviser's 
``access persons'' to report their personal securities transactions, 
including transactions in any mutual fund managed by the adviser. The 
Code of Ethics Rule requires access persons to obtain the adviser's 
approval before investing in an initial public offering (``IPO'') or 
private placement. The Code of Ethics Rule also requires prompt 
reporting, to the adviser's chief compliance officer or another person 
designated in the code of ethics, of any violations of the code. 
Finally, the Code of Ethics Rule requires the adviser to provide each 
supervised person with a copy of the code of ethics and any amendments, 
and require the supervised persons to acknowledge, in writing, their 
receipt of these copies. The purposes of the information collection 
requirements are to (i) ensure that advisers maintain codes of ethics 
applicable to their supervised persons; (ii) provide advisers with 
information about the personal securities transactions of their access 
persons for purposes of monitoring such transactions; (iii) provide 
advisory clients with information with which to evaluate advisers' 
codes of ethics; and (iv) assist the Commission's examination staff in 
assessing the adequacy of advisers' codes of ethics and assessing 
personal trading activity by advisers' supervised persons.
    The respondents to this information collection are investment 
advisers registered with the Commission. The Commission has estimated 
that compliance with rule 204A-1 imposes a burden of approximately 91 
hours per adviser annually based on an average adviser having 63 access 
persons. Our latest data indicate that there were 13,173 advisers 
registered with the Commission. Based on this figure, the Commission 
estimates a total annual burden of 1,194,133 hours for this collection 
of information.
    Rule 204A-1 does not require recordkeeping or record retention. The 
collection of information requirements under the rule is mandatory. The 
information collected pursuant to the rule is not filed with the 
Commission, but rather takes the form of communications between 
advisers and their supervised persons. Investment advisers use the 
information collected to control and assess the personal trading 
activities of their supervised persons. Responses to the reporting 
requirements will be kept confidential to the extent each investment 
adviser provides confidentiality under its particular practices and 
procedures. 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 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: 
[email protected]; 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: [email protected]. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: September 3, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-19239 Filed 9-5-19; 8:45 am]
 BILLING CODE 8011-01-P
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