60 day notice

60 day notice for rule 701.pdf

Regulation R-Rule Rule 701. Exemption from the definition of "broker" for certain institutional referrals.

60 day notice

OMB: 3235-0624

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34280

Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices

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: Shagufta_
[email protected]; and (ii) Pamela
Dyson, Director/Chief Information
Officer, Securities and Exchange
Commission, c/o Candace Kenner, 100 F
Street NE, Washington, DC 20549, or by
sending an email to: PRA_Mailbox@
sec.gov. Comments must be submitted to
OMB within 30 days of this notice.
Dated: July 13, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018–15377 Filed 7–18–18; 8:45 am]
BILLING CODE 8011–01–P

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

sradovich on DSK3GMQ082PROD with NOTICES

Extension:
Rules 17Ad–6 and 17Ad–7, SEC File No.
270–151, OMB Control No. 3235–0291

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
(‘‘OMB’’) a request for approval of
extension of the existing collection of
information provided for in the
following rules: Rule 17Ad–6 (17 CFR
240.17Ad–6) and Rule 17Ad–7 (17 CFR
240.17Ad–7) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (‘‘Exchange Act’’).
Rule 17Ad–6 under the Exchange Act
requires every registered transfer agent
to make and keep current records about
a variety of information, such as: (1)
Specific operational data regarding the
time taken to perform transfer agent
activities (to ensure compliance with
the minimum performance standards in
Rule 17Ad–2 (17 CFR 240.17Ad–2)); (2)
written inquiries and requests by
shareholders and broker-dealers and
response time thereto; (3) resolutions,
contracts, or other supporting
documents concerning the appointment
or termination of the transfer agent; (4)
stop orders or notices of adverse claims
to the securities; and (5) all canceled
registered securities certificates.

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17:34 Jul 18, 2018

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Rule 17Ad–7 under the Exchange Act
requires each registered transfer agent to
retain the records specified in Rule
17Ad–6 in an easily accessible place for
a period of six months to six years,
depending on the type of record or
document. Rule 17Ad–7 also specifies
the manner in which records may be
maintained using electronic, microfilm,
and microfiche storage methods.
These recordkeeping requirements are
designed to ensure that all registered
transfer agents are maintaining the
records necessary for transfer agents to
monitor and keep control over their own
performance and for the Commission to
adequately examine registered transfer
agents on an historical basis for
compliance with applicable rules.
The Commission estimates that
approximately 382 registered transfer
agents will spend a total of 191,000
hours per year complying with Rules
17Ad–6 and 17Ad–7 (500 hours per year
per transfer agent).
The retention period under Rule
17Ad–7 for the recordkeeping
requirements under Rule 17Ad–6 is six
months to six years, depending on the
particular record or document. The
recordkeeping and retention
requirements under Rules 17Ad–6 and
17Ad–7 are mandatory to assist the
Commission and other regulatory
agencies with monitoring transfer agents
and ensuring compliance with the rules.
These rules do not involve the
collection of confidential information.
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.
The public may view 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: Shagufta_
[email protected]; and (ii) Pamela
Dyson, Director/Chief Information
Officer, Securities and Exchange
Commission, c/o Candace Kenner, 100 F
Street NE, Washington, DC 20549, or by
sending an email to: PRA_Mailbox@
sec.gov. Comments must be submitted to
OMB within 30 days of this notice.
Dated: July 13, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018–15373 Filed 7–18–18; 8:45 am]
BILLING CODE 8011–01–P

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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:
Regulation R, Rule 701, SEC File No. 270–
562, OMB Control No. 3235–0624

Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Securities and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the existing collection of information
provided for in Regulation R, Rule 701
(17 CFR 247.701) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.). The Commission plans to submit
this existing collection of information to
the Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Regulation R, Rule 701 requires a
broker or dealer (as part of a written
agreement between the bank and the
broker or dealer) to notify the bank if the
broker or dealer makes certain
determinations regarding the financial
status of the customer, a bank
employee’s statutory disqualification
status, and compliance with suitability
or sophistication standards.
The Commission estimates that
brokers or dealers would, on average,
notify 1,000 banks approximately two
times annually about a determination
regarding a customer’s high net worth or
institutional status or suitability or
sophistication standing as well as a
bank employee’s statutory
disqualification status. Based on these
estimates, the Commission anticipates
that Regulation R, Rule 701 would result
in brokers or dealers making
approximately 2,000 notifications to
banks per year. The Commission further
estimates (based on the level of
difficulty and complexity of the
applicable activities) that a broker or
dealer would spend approximately 15
minutes per notice to a bank. Therefore,
the estimated total annual third party
disclosure burden for the requirements
in Regulation R, Rule 701 is 500 1 hours
for brokers or dealers.
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;
1 (2000 notices × 15 minutes) = 30,000 minutes/
60 minutes = 500 hours.

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Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices
(b) the accuracy of the Commission’s
estimates 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 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
under the PRA unless it displays a
currently valid OMB control number.
Please direct your written comments
to: Pamela Dyson, 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_
[email protected].
Dated: July 13, 2018.
Eduardo A. Aleman,
Assistant Secretary.

DEPARTMENT OF STATE
[Public Notice: 10468]

Notice of Determinations; Culturally
Significant Object Imported for
Exhibition—Determinations: ‘‘Titian’s
Lady in White: A Renaissance Portrait
Revealed’’ Exhibition
Notice is hereby given of the
following determinations: I hereby
determine that a certain object to be
included in the exhibition ‘‘Titian’s
Lady in White: A Renaissance Portrait
Revealed,’’ imported from abroad for
temporary exhibition within the United
States, is of cultural significance. The
object is imported pursuant to a loan
agreement with the foreign owner or
custodian. I also determine that the
exhibition or display of the exhibit
object at the Columbus Museum of Art,
Columbus, Ohio, from on or about
August 30, 2018, until on or about
December 9, 2018, and at possible
additional exhibitions or venues yet to
be determined, is in the national
interest. I have ordered that Public
Notice of these determinations be
published in the Federal Register.
FOR FURTHER INFORMATION CONTACT: Julie
Simpson, Attorney-Adviser, Office of
the Legal Adviser, U.S. Department of
State (telephone: 202–632–6471; email:
[email protected]). The mailing
SUMMARY:

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[FR Doc. 2018–15409 Filed 7–18–18; 8:45 am]
BILLING CODE 4710–05–P

SURFACE TRANSPORTATION BOARD

Atlantic and Western Railway, Limited
Partnership—Acquisition and
Operation Exemption—CSX
Transportation, Inc.

BILLING CODE 8011–01–P

17:34 Jul 18, 2018

Jennifer Z. Galt,
Principal Deputy Assistant, Secretary for
Educational and Cultural Affairs, Department
of State.

[Docket No. FD 36205]

[FR Doc. 2018–15379 Filed 7–18–18; 8:45 am]

VerDate Sep<11>2014

address is U.S. Department of State, L/
PD, SA–5, Suite 5H03, Washington, DC
20522–0505.
SUPPLEMENTARY INFORMATION: The
foregoing determinations were made
pursuant to the authority vested in me
by the Act of October 19, 1965 (79 Stat.
985; 22 U.S.C. 2459), E.O. 12047 of
March 27, 1978, the Foreign Affairs
Reform and Restructuring Act of 1998
(112 Stat. 2681, et seq.; 22 U.S.C. 6501
note, et seq.), Delegation of Authority
No. 234 of October 1, 1999, Delegation
of Authority No. 236–3 of August 28,
2000, and Delegation of Authority No.
236–10 of July 6, 2018.

Jkt 244001

Atlantic and Western Railway,
Limited Partnership (ATW), a Class III
rail carrier, has filed a verified notice of
exemption under 49 CFR 1150.41 to
acquire and operate approximately 0.37
miles of rail line owned by CSX
Transportation, Inc. (CSXT) between
milepost S 198.55 and milepost S
198.92, in Sanford, N.C. (the Line).1
ATW states that it entered into a
Purchase and Sale Agreement with
CSXT dated January 2, 2018, to acquire
the Line in order to align operations and
ownership of tracks in this area where
ATW and CSXT operations converge.
ATW also states that the proposed
acquisition and operation of the Line
does not impose or include an
interchange commitment.
ATW certifies that the proposed
transaction will not result in ATW
becoming a Class II or Class I rail carrier
and that the projected annual revenue of
ATW will not exceed $5 million.
The transaction may be consummated
on or after August 2, 2018 (30 days after
the verified notice was filed).
If the verified notice contains false or
misleading information, the exemption
is void ab initio. Petitions to revoke the
exemption under 49 U.S.C. 10502(d)
may be filed at any time. The filing of
1 ATW states that it is also acquiring certain
additional excepted tracks that are not subject to the
Board’s jurisdiction.

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a petition to revoke will not
automatically stay the effectiveness of
the exemption. Petitions for stay must
be filed no later than July 26, 2018 (at
least seven days before the exemption
becomes effective).
An original and 10 copies of all
pleadings, referring to Docket No.
36205, must be filed with the Surface
Transportation Board, 395 E Street SW,
Washington, DC 20423–0001. In
addition, one copy of each pleading
must be served on Eric M. Hocky, Clark
Hill PLC, One Commerce Square, 2005
Market Street, Suite 1000, Philadelphia,
PA 19103.
According to ATW, this action is
excluded from environmental review
under 49 CFR 1105.6(c) and from
historic reporting requirements under
49 CFR 1105.8(b).
Board decisions and notices are
available on our website at
WWW.STB.GOV.
Decided: July 13, 2018.
By the Board, Scott M. Zimmerman, Acting
Director, Office of Proceedings.
Jeffrey Herzig,
Clearance Clerk.
[FR Doc. 2018–15361 Filed 7–18–18; 8:45 am]
BILLING CODE 4915–01–P

DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
Notice of Final Federal Agency Actions
on Proposed Highway in California
Federal Highway
Administration (FHWA), DOT.
ACTION: Notice of Limitation on Claims
for Judicial Review of Actions by the
California Department of Transportation
(Caltrans), pursuant to 23 U.S.C. 327,
U.S. Coast Guard, and U.S. Army Corps
of Engineers.
AGENCY:

The FHWA, on behalf of
Caltrans, is issuing this notice to
announce actions taken by Caltrans that
are final. The actions relate to a
proposed highway project, the State
Route 1 (SR 1) Lagunitas Creek Bridge
Project from post miles 28.4 to 28.6 on
SR 1 in the County of Marin, State of
California. Those actions grant licenses,
permits, and approvals for the project.
DATES: By this notice, the FHWA, on
behalf of Caltrans, is advising the public
of final agency actions subject to 23
U.S.C. 139(l)(1). A claim seeking
judicial review of the Federal agency
actions on the highway project will be
barred unless the claim is filed on or
before December 17, 2018. If the Federal
law that authorizes judicial review of a
SUMMARY:

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