Proposed Collection; Comment Request, 12629 [2020-04348]
Download as PDF
Federal Register / Vol. 85, No. 42 / Tuesday, March 3, 2020 / Notices
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.18
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–04287 Filed 3–2–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–180, OMB Control No.
3235–0247]
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.
lotter on DSKBCFDHB2PROD with NOTICES
Extension:
Form N–8B–4.
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 (‘‘OMB’’) for
extension and approval.
Form N–8B–4 (17 CFR 274.14) is the
form used by face-amount certificate
companies to comply with the filing and
disclosure requirements imposed by
Section 8(b) of the Investment Company
Act of 1940 (15 U.S.C. 80a–8(b)). Among
other items, Form N–8B–4 requires
disclosure of the following information
about the face-amount certificate
company: Date and form of
organization; controlling persons;
current business and contemplated
changes to the company’s business;
investment, borrowing, and lending
policies, as well as other fundamental
policies; securities issued by the
company; investment adviser;
depositaries; management personnel;
compensation paid to directors, officers,
and certain employees; and financial
statements. The Commission uses the
information provided in the collection
of information to determine compliance
with Section 8(b) of the Investment
Company Act of 1940.
Form N–8B–4 and the burden of
compliance have not changed since the
last approval. Each registrant files Form
N–8B–4 for its initial filing and does not
file post-effective amendments to Form
N–8B–4.1 Commission staff estimates
1 Pursuant to Section 30(b)(1) of the Act (15
U.S.C. 80a–29), each respondent keeps its
VerDate Sep<11>2014
17:19 Mar 02, 2020
Jkt 250001
that no respondents will file Form N–
8B–4 each year. There is currently only
one existing face-amount certificate
company, and no face-amount
certificate companies have filed a Form
N–8B–4 in many years. No new faceamount certificate companies have been
established since the last OMB
information collection approval for this
form, which occurred in 2017.
Accordingly, the staff estimates that,
each year, no face-amount certificate
companies will file Form N–8B–4, and
that the total burden for the information
collection is zero hours. Although
Commission staff estimates that there is
no hour burden associated with Form
N–8B–4, the staff is requesting a burden
of one hour for administrative purposes.
Estimates of the burden hours are made
solely for the purposes of the PRA and
are not derived from a comprehensive or
even a representative survey or study of
the costs of SEC rules and forms.
The information provided on Form
N–8B–4 is mandatory. The information
provided on Form N–8B–4 will not be
kept confidential. 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.
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 David Bottom, 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.
registration statement current through the filing of
periodic reports as required by Section 13 of the
Securities Exchange Act of 1934 (15 U.S.C. 78m)
and the rules thereunder. Post-effective
amendments are filed with the Commission on the
face-amount certificate company’s Form S–1.
Hence, respondents only file Form N–8B–4 for their
initial registration statement and not for posteffective amendments.
PO 00000
Frm 00136
Fmt 4703
Sfmt 4703
12629
Dated: February 27, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–04348 Filed 3–2–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–88294; File No. SR–ISE–
2020–07]
Self-Regulatory Organizations; Nasdaq
ISE, LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend Options 3,
Section 7 Related to Order Types and
Times-in-Force Provisions
February 26, 2020.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on February
14, 2020, Nasdaq ISE, LLC (‘‘ISE’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission (‘‘SEC’’ or
‘‘Commission’’) the proposed rule
change as described in Items I and II,
below, which Items have been prepared
by the Exchange. The Commission is
publishing this notice to solicit
comments on the proposed rule change
from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend
Options 3, Section 7, ‘‘Types of Orders’’
to permit the Exchange to determine the
availability of order types and time-inforce provisions.
The text of the proposed rule change
is available on the Exchange’s website at
https://ise.cchwallstreet.com/, at the
principal office of the Exchange, and at
the Commission’s Public Reference
Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
the most significant aspects of such
statements.
1 15
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
E:\FR\FM\03MRN1.SGM
03MRN1
Agencies
[Federal Register Volume 85, Number 42 (Tuesday, March 3, 2020)]
[Notices]
[Page 12629]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-04348]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-180, OMB Control No. 3235-0247]
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:
Form N-8B-4.
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 (``OMB'') for extension and approval.
Form N-8B-4 (17 CFR 274.14) is the form used by face-amount
certificate companies to comply with the filing and disclosure
requirements imposed by Section 8(b) of the Investment Company Act of
1940 (15 U.S.C. 80a-8(b)). Among other items, Form N-8B-4 requires
disclosure of the following information about the face-amount
certificate company: Date and form of organization; controlling
persons; current business and contemplated changes to the company's
business; investment, borrowing, and lending policies, as well as other
fundamental policies; securities issued by the company; investment
adviser; depositaries; management personnel; compensation paid to
directors, officers, and certain employees; and financial statements.
The Commission uses the information provided in the collection of
information to determine compliance with Section 8(b) of the Investment
Company Act of 1940.
Form N-8B-4 and the burden of compliance have not changed since the
last approval. Each registrant files Form N-8B-4 for its initial filing
and does not file post-effective amendments to Form N-8B-4.\1\
Commission staff estimates that no respondents will file Form N-8B-4
each year. There is currently only one existing face-amount certificate
company, and no face-amount certificate companies have filed a Form N-
8B-4 in many years. No new face-amount certificate companies have been
established since the last OMB information collection approval for this
form, which occurred in 2017. Accordingly, the staff estimates that,
each year, no face-amount certificate companies will file Form N-8B-4,
and that the total burden for the information collection is zero hours.
Although Commission staff estimates that there is no hour burden
associated with Form N-8B-4, the staff is requesting a burden of one
hour for administrative purposes. Estimates of the burden hours are
made solely for the purposes of the PRA and are not derived from a
comprehensive or even a representative survey or study of the costs of
SEC rules and forms.
---------------------------------------------------------------------------
\1\ Pursuant to Section 30(b)(1) of the Act (15 U.S.C. 80a-29),
each respondent keeps its registration statement current through the
filing of periodic reports as required by Section 13 of the
Securities Exchange Act of 1934 (15 U.S.C. 78m) and the rules
thereunder. Post-effective amendments are filed with the Commission
on the face-amount certificate company's Form S-1. Hence,
respondents only file Form N-8B-4 for their initial registration
statement and not for post-effective amendments.
---------------------------------------------------------------------------
The information provided on Form N-8B-4 is mandatory. The
information provided on Form N-8B-4 will not be kept confidential. 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.
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 David Bottom, 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].
Dated: February 27, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-04348 Filed 3-2-20; 8:45 am]
BILLING CODE 8011-01-P