Proposed Collection; Comment Request, 27254 [2020-09797]
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Federal Register / Vol. 85, No. 89 / Thursday, May 7, 2020 / Notices
approximately 0.5 hours creating a
record of its determination whether it
must register as an investment adviser
with each of the 15 states required to
rely on the exemption, and
approximately 0.5 hours to maintain
these records. Accordingly, we estimate
that rule 203A–2(d) results in an annual
aggregate burden of collection for SECregistered investment advisers of a total
of 848 hours. Estimates of average
burden hours are made solely for the
purposes of the Paperwork Reduction
Act, and are not derived from a
comprehensive or even a representative
survey or study of the costs of
Commission rules and forms.
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.
Dated: May 4, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–09796 Filed 5–6–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
khammond on DSKJM1Z7X2PROD with NOTICES
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:
Rule 0–2, Form ADV–NR, SEC File No.
270–214, OMB Control No. 3235–0240
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
VerDate Sep<11>2014
16:45 May 06, 2020
Jkt 250001
(‘‘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.
The title for the collection of
information is ‘‘Rule 0–2 and Form
ADV–NR under the Investment Advisers
Act of 1940.’’ Rule 0–2 and Form ADV–
NR facilitate service of process on a
non-resident investment adviser, or on a
non-resident general partner or nonresident managing agent of an
investment adviser. Form ADV–NR
designates the Secretary of the
Commission, among others, as the nonresident general partner’s or nonresident managing agent’s agent for
service of process. The collection of
information is necessary for us to obtain
appropriate consent to permit the
Commission and other parties to bring
actions against non-resident partners
and agents for violations of the federal
securities laws and to enable the
commencement of legal and/or
regulatory actions against investment
advisers that are doing business in the
United States, but are not residents.
The respondents to this information
collection would be each non-resident
general partner or non-resident
managing agent of an SEC-registered
investment adviser and each nonresident general partner or non-resident
managing agent of an exempt reporting
adviser. The Commission has estimated
that compliance with the requirement to
complete Form ADV–NR imposes a total
burden of approximately 1.0 hours for
an adviser. Based on our experience
with these filings, we estimate that we
will receive 53 Form ADV–NR filings
annually. Based on the 1.0 hours per
respondent estimate, the Commission
staff estimates a total annual burden of
53 hours for this collection of
information.
Rule 0–2 and Form ADV–NR do not
require recordkeeping or records
retention. The collection of information
requirements under the rule and form is
mandatory. The information collected
pursuant to Rule 0–2 and Form ADV–
NR is a filing with the Commission.
This filing is not kept confidential and
must be preserved until at least three
years after termination of the enterprise.
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.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
PO 00000
Frm 00051
Fmt 4703
Sfmt 4703
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. An agency may not conduct
or sponsor a collection of information
unless it displays a currently valid OMB
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid OMB control number.
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.
Dated: May 4, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–09797 Filed 5–6–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–88795; File No. SR–
CboeBZX–2020–036]
Self-Regulatory Organizations; Cboe
BZX Exchange, Inc.; Notice of Filing of
a Proposed Rule Change To Amend
Rule 14.11, Other Securities
May 1, 2020.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 1 and Rule 19b–4 thereunder,2
notice is hereby given that on April 29,
2020, Cboe BZX Exchange, Inc. (the
‘‘Exchange’’ or ‘‘BZX’’) filed with the
Securities and Exchange Commission
(the ‘‘Commission’’) the proposed rule
change as described in Items I, II, and
III 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.
1 15
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
E:\FR\FM\07MYN1.SGM
07MYN1
]]>Agencies
[Federal Register Volume 85, Number 89 (Thursday, May 7, 2020)]
[Notices]
[Page 27254]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-09797]
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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:
Rule 0-2, Form ADV-NR, SEC File No. 270-214, OMB Control No.
3235-0240
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.
The title for the collection of information is ``Rule 0-2 and Form
ADV-NR under the Investment Advisers Act of 1940.'' Rule 0-2 and Form
ADV-NR facilitate service of process on a non-resident investment
adviser, or on a non-resident general partner or non-resident managing
agent of an investment adviser. Form ADV-NR designates the Secretary of
the Commission, among others, as the non-resident general partner's or
non-resident managing agent's agent for service of process. The
collection of information is necessary for us to obtain appropriate
consent to permit the Commission and other parties to bring actions
against non-resident partners and agents for violations of the federal
securities laws and to enable the commencement of legal and/or
regulatory actions against investment advisers that are doing business
in the United States, but are not residents.
The respondents to this information collection would be each non-
resident general partner or non-resident managing agent of an SEC-
registered investment adviser and each non-resident general partner or
non-resident managing agent of an exempt reporting adviser. The
Commission has estimated that compliance with the requirement to
complete Form ADV-NR imposes a total burden of approximately 1.0 hours
for an adviser. Based on our experience with these filings, we estimate
that we will receive 53 Form ADV-NR filings annually. Based on the 1.0
hours per respondent estimate, the Commission staff estimates a total
annual burden of 53 hours for this collection of information.
Rule 0-2 and Form ADV-NR do not require recordkeeping or records
retention. The collection of information requirements under the rule
and form is mandatory. The information collected pursuant to Rule 0-2
and Form ADV-NR is a filing with the Commission. This filing is not
kept confidential and must be preserved until at least three years
after termination of the enterprise. 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.
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. An agency may not conduct or sponsor a
collection of information unless it displays a currently valid OMB
control number. No person shall be subject to any penalty for failing
to comply with a collection of information subject to the PRA that does
not display a valid OMB control number.
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: May 4, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-09797 Filed 5-6-20; 8:45 am]
BILLING CODE 8011-01-P
