Submission for OMB Review; Comment Request; Extension: Rule 607, 54277 [2022-18980]

Download as PDF Federal Register / Vol. 87, No. 170 / Friday, September 2, 2022 / Notices lotter on DSK11XQN23PROD with NOTICES1 respondents, resulting in an estimated industry-wide ongoing annual cost of $25,200. The Commission estimates that the provisions of paragraph (b)(1) applicable to broker-dealer SBSDs and brokerdealer MSBSPs and paragraphs (b)(15) and (b)(16) of Rule 17a–4 impose ongoing annual cost of approximately $600 per firm. The Commission estimates that there are 17 respondents, resulting in an estimated industry-wide ongoing annual cost of $10,200. The Commission estimates that the provisions of paragraph (b)(1) of Rule 17a–4 that apply only to broker-dealer SBSDs imposes an additional ongoing annual cost of approximately $120 per firm to broker-dealer SBSDs. The Commission estimates that there are 16 broker-dealer SBSDs, resulting in an estimated industry-wide ongoing annual cost of $1,920. 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 by November 1, 2022. 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: David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email to: PRA_ Mailbox@sec.gov. Dated: August 29, 2022. J. Matthew DeLesDernier, Deputy Secretary. SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–561, OMB Control No. 3235–0747] Submission for OMB Review; Comment Request; Extension: Rule 607 Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 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 holidays) prior to its use.1 Commission staff reviews sales material filed under rule 607 for materially misleading statements and omissions. The requirements of rule 607 are designed to protect investors from the use of false or misleading sales material in connection with Regulation E offerings. Respondents to this collection of information include SBICs and BDCs making an offering of securities pursuant to Regulation E. No filings were submitted to the Commission under rule 607 in 2019, 2020 or 2021. Accordingly, we estimate no annual [FR Doc. 2022–18983 Filed 9–1–22; 8:45 am] 1 Sales material includes advertisements, articles or other communications to be published in newspapers, magazines, or other periodicals; radio and television scripts; and letters, circulars or other written communications proposed to be sent given or otherwise communicated to more than ten persons. BILLING CODE 8011–01–P VerDate Sep<11>2014 16:40 Sep 01, 2022 Jkt 256001 PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 54277 responses. Each respondent’s reporting burden under rule 607 relates to the internal burden associated with filing its sales material electronically, which is negligible. For administrative purposes, we estimate an annual burden of one hour. The requirements of this collection of information are mandatory. Responses 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 control number. The public may view background documentation for this information collection at the following website: www.reginfo.gov. Find this particular information collection by selecting ‘‘Currently under 30-day Review—Open for Public Comments’’ or by using the search function. Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice by October 3, 2022 to (i) MBX.OMB.OIRA.SEC_desk_officer@ omb.eop.gov and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/ o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. Dated: August 29, 2022. J. Matthew DeLesDernier, Deputy Secretary. [FR Doc. 2022–18980 Filed 9–1–22; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 34690; File No. 812–15286] John Hancock Asset-Based Lending Fund, et al. August 29, 2022. Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’). ACTION: Notice. AGENCY: Notice of application for an order under sections 17(d) and 57(i) of the Investment Company Act of 1940 (the ‘‘Act’’) and rule 17d–1 under the Act to permit certain joint transactions otherwise prohibited by sections 17(d) and 57(a)(4) of the Act and rule 17d–1 under the Act. SUMMARY OF APPLICATION: Applicants request an order to permit certain business development companies (‘‘BDCs’’) and closed-end management investment companies to co-invest in portfolio companies with each other and E:\FR\FM\02SEN1.SGM 02SEN1

Agencies

[Federal Register Volume 87, Number 170 (Friday, September 2, 2022)]
[Notices]
[Page 54277]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-18980]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-561, OMB Control No. 3235-0747]


Submission for OMB Review; Comment Request; Extension: Rule 607

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 
20549-2736

    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 holidays) prior to its use.\1\ Commission staff reviews 
sales material filed under rule 607 for materially misleading 
statements and omissions. The requirements of rule 607 are designed to 
protect investors from the use of false or misleading sales material in 
connection with Regulation E offerings.
---------------------------------------------------------------------------

    \1\ Sales material includes advertisements, articles or other 
communications to be published in newspapers, magazines, or other 
periodicals; radio and television scripts; and letters, circulars or 
other written communications proposed to be sent given or otherwise 
communicated to more than ten persons.
---------------------------------------------------------------------------

    Respondents to this collection of information include SBICs and 
BDCs making an offering of securities pursuant to Regulation E. No 
filings were submitted to the Commission under rule 607 in 2019, 2020 
or 2021. Accordingly, we estimate no annual responses. Each 
respondent's reporting burden under rule 607 relates to the internal 
burden associated with filing its sales material electronically, which 
is negligible. For administrative purposes, we estimate an annual 
burden of one hour.
    The requirements of this collection of information are mandatory. 
Responses 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 control number.
    The public may view background documentation for this information 
collection at the following website: www.reginfo.gov. Find this 
particular information collection by selecting ``Currently under 30-day 
Review--Open for Public Comments'' or by using the search function. 
Written comments and recommendations for the proposed information 
collection should be sent within 30 days of publication of this notice 
by October 3, 2022 to (i) [email protected] and 
(ii) David Bottom, Director/Chief Information Officer, Securities and 
Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 
20549, or by sending an email to: [email protected].

    Dated: August 29, 2022.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2022-18980 Filed 9-1-22; 8:45 am]
BILLING CODE 8011-01-P
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