Submission for OMB Review; Comment Request, 67764 [2019-26628]
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Federal Register / Vol. 84, No. 238 / Wednesday, December 11, 2019 / Notices
lotter on DSKBCFDHB2PROD with NOTICES
Rule 147(f)(1)(iii) Written Representation
as to Purchaser Residency, SEC File No.
270–805, OMB Control No. 3235–0756
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.
Rule 147 is a safe harbor under the
Securities Act Section 3(a)(11)(15 U.S.C.
77c(a)(11)) exemption from registration.
To qualify for the safe harbor, Rule
147(f)(1)(iii) (17 CFR 230.147) will
require the issuer to obtain from the
purchaser a written representation as to
the purchaser’s residency. Under Rule
147, the purchaser in the offering must
be a resident of the same state or
territory in which the issuer is a
resident. While the formal
representation of residency by itself is
not sufficient to establish a reasonable
belief that such purchasers are in-state
residents, the representation
requirement, together with the
reasonable belief standard, may result in
better compliance with the rule and
maintaining appropriate investor
protections. The representation of
residency is not provided to the
Commission. Approximately 700
respondents provide the information
required by Rule 147(f)(1)(iii) at an
estimated 2.75 hours per response for a
total annual reporting burden of 1,925
hours (2.75 hours × 700 responses).
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the
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
VerDate Sep<11>2014
16:23 Dec 10, 2019
Jkt 250001
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
Mailbox@sec.gov.
Dated: December 5, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–26627 Filed 12–10–19; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Extension:
Form SD, SEC File No. 270–647, OMB
Control No. 3235–0697
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 SD (17 CFR 249b–400) under
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’)
pursuant to Section 13(p) (15 U.S.C.
78m(p)) of the Exchange Act is filed by
issuers to provide disclosures regarding
the source and chain of custody of
certain minerals used in their products.
The information provided is mandatory
and all information is made available to
the public upon request. We estimate
that Form SD takes approximately
541.3596 hours per response to prepare
and is filed by approximately 1,481
issuers. We estimate that 75% of the
541.3596 hours per response (406.0197
hours) is prepared by the issuer
internally for a total annual burden of
601,315 hours (406.0197 hours per
response × 1,481 responses).
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
Frm 00062
Fmt 4703
Sfmt 4703
Dated: December 5, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–26628 Filed 12–10–19; 8:45 am]
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
PO 00000
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 Cynthia
Roscoe, 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.
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
[License No. 04/04–0330]
Ballast Point Ventures III, L.P.; Notice
Seeking Exemption Under Section 312
of the Small Business Investment Act,
Conflicts of Interest
Notice is hereby given that Ballast
Point Ventures III, L.P., 401 East Jackson
Street, Suite 2300, Tampa, FL 33602, a
Federal Licensee under the Small
Business Investment Act of 1958, as
amended (‘‘the Act’’), in connection
with the financing in a small concern,
has sought an exemption under Section
312 of the Act, Section 107.730,
Financings which constitute Conflicts of
Interest of the Small Business
Administration (‘‘SBA’’) Rules and
Regulations (13 CFR 107.730). Ballast
Point Ventures III, L.P. proposes to
invest $2 million in YPrime Inc., 9 Great
Valley Parkway, Malvern, PA 19355, in
a proposed $5 million follow-on
financing led by a significant
sophisticated third party. The financing
is brought within the purview of
§ 107.730(a)(1) of the Regulations
because Ballast Point Ventures II, LP
and Ballast Point Ventures EF II, LP
(together ‘‘BPV II’’) and YPrime Inc. are
Associates to the Licensee. YPrime is
expected to receive $5 million from a
proposed $5 million follow-on
financing. Thus, this transaction
constitutes a Conflict of Interest
requiring SBA’s prior written
exemption.
Notice is hereby given that any
interested person may submit written
comments on this transaction within
fifteen days of the date of this
publication to the Associate
Administrator, Office of Investment and
Innovation, U.S. Small Business
E:\FR\FM\11DEN1.SGM
11DEN1
]]>Agencies
[Federal Register Volume 84, Number 238 (Wednesday, December 11, 2019)]
[Notices]
[Page 67764]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-26628]
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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 SD, SEC File No. 270-647, OMB Control No. 3235-0697
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 SD (17 CFR 249b-400) under Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (``Exchange Act'') pursuant to Section 13(p) (15
U.S.C. 78m(p)) of the Exchange Act is filed by issuers to provide
disclosures regarding the source and chain of custody of certain
minerals used in their products. The information provided is mandatory
and all information is made available to the public upon request. We
estimate that Form SD takes approximately 541.3596 hours per response
to prepare and is filed by approximately 1,481 issuers. We estimate
that 75% of the 541.3596 hours per response (406.0197 hours) is
prepared by the issuer internally for a total annual burden of 601,315
hours (406.0197 hours per response x 1,481 responses).
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
Cynthia Roscoe, 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: December 5, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-26628 Filed 12-10-19; 8:45 am]
BILLING CODE 8011-01-P
