30 Day Notice

3235-0290 30 Day Notice.pdf

Rule 17f-1(g), 17 CFR 240.17f-1(g): Recordkeeping Requirements for the Lost & Stolen Securities Program

30 Day Notice

OMB: 3235-0290

Document [pdf]
Download: pdf | pdf
Federal Register / Vol. 84, No. 223 / Tuesday, November 19, 2019 / Notices
reporting burden of 6 hours (2 hours per
response × 3 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: PRA_
[email protected]. Comments must be
submitted to OMB within 30 days of
this notice.
Dated: November 8, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–25002 Filed 11–18–19; 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

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Extension:
Notice of Exempt Preliminary Roll-Up
Communication, SEC File No. 270–396,
OMB Control No. 3235–0452.

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.
Rule 14a–6(n) [17 CFR 240.14a–6(n)]
under the Securities Exchange Act of
1934 (‘‘Exchange Act’’) (U.S.C. 78a et
seq.) requires any person that engages in
a proxy solicitation is subject to
Exchange Act Rule 14a–2(b)(4) [17 CFR
240.14a–2(b)(4)] to file a Notice of
Exempt Preliminary Roll-Up
Communication (‘‘Notice’’) [17 CFR
240.14a–104] with the Commission. The

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Notice provides information regarding
ownership interest and any potential
conflicts of interest to be included in
statements submitted by or on behalf of
a person engaging in the solicitation.
The Notice is filed on occasion and the
information required is mandatory. All
information is provided to the public
upon request. We estimate the Notice
takes approximately 0.25 hours per
response and is filed by approximately
4 respondents for a total of one annual
burden hour (0.25 hours per response ×
4 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: PRA_
[email protected]. Comments must be
submitted to OMB within 30 days of
this notice.
Dated: November 8, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–25004 Filed 11–18–19; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION

63951

approved collection of information
discussed below.
Rules 7a–15 through 7a–37 (17 CFR
260.7a–15—260.7a–37) under the Trust
Indenture Act of 1939 (15 U.S.C. 77aaa
et seq.) set forth the general
requirements as to form and content of
applications, statements and reports that
must be filed under the Trust Indenture
Act. The respondents are persons and
entities subject to the requirements of
the Trust Indenture Act. Trust Indenture
Act Rules 7a–15 through 7a–37 are
disclosure guidelines and do not
directly result in any collection of
information. The rules are assigned only
one burden hour for administrative
convenience.
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: PRA_
[email protected]. Comments must be
submitted to OMB within 30 days of
this notice.
Dated: November 8, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–25006 Filed 11–18–19; 8:45 am]
BILLING CODE 8011–01–P

Submission for OMB Review;
Comment Request

SECURITIES AND EXCHANGE
COMMISSION

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

[SEC File No. 270–30, OMB Control No.
3235–0290]

Extension:
Rules 7a–15 through 7a–37, SEC File No.
270–115, OMB Control No. 3235–0132.

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
(‘‘Commission’’) has submitted to the
Office of Management and Budget this
request for extension of the previously

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Submission for OMB Review;
Comment Request

Extension:
Rule 17f–1(g)

Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501et seq.) (‘‘PRA’’), the

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63952

Federal Register / Vol. 84, No. 223 / Tuesday, November 19, 2019 / Notices

Securities and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17f–1(g) (17 CFR 240.17f–1(g)),
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 17f–1(g) requires that all
reporting institutions (i.e., every
national securities exchange, member
thereof, registered securities association,
broker, dealer, municipal securities
dealer, registered transfer agent,
registered clearing agency, participant
therein, member of the Federal Reserve
System, and bank insured by the FDIC)
maintain and preserve a number of
documents related to their participation
in the Lost and Stolen Securities
Program (‘‘Program’’) under Rule 17f–1.
The following documents must be kept
in an easily accessible place for three
years, according to paragraph (g): (1)
Copies of all reports of theft or loss
(Form X–17F–1A) filed with the
Commission’s designee: (2) All
agreements between reporting
institutions regarding registration in the
Program or other aspects of Rule 17f–1;
and (3) all confirmations or other
information received from the
Commission or its designee as a result
of inquiry.
Reporting institutions utilize these
records and reports (a) to report missing,
lost, stolen or counterfeit securities to
the database, (b) to confirm inquiry of
the database, and (c) to demonstrate
compliance with Rule 17f–1. The
Commission and the reporting
institutions’ examining authorities
utilize these records to monitor the
incidence of thefts and losses incurred
by reporting institutions and to
determine compliance with Rule 17f–1.
If such records were not retained by
reporting institutions, compliance with
Rule 17f–1 could not be monitored
effectively.
The Commission estimates that there
are approximately 10,018 reporting
institutions (respondents) and, on
average, each respondent would need to
retain 33 records annually, with each
retention requiring approximately 1
minute (a total of 33 minutes or 0.5511
hours per respondent per year). Thus,
the total estimated annual time burden
for all respondents is 5,521 hours
(10,018 × 0.5511 hours = 5,521).
Assuming an average hourly cost for
clerical work of $50.00, the average total
yearly record retention internal cost of
compliance for each respondent would
be $27.56 ($50 × 0.5511 hours). Based
on these estimates, the total annual
internal compliance cost for the

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estimated 10,018 reporting institutions
would be approximately $276,096
(10,018 × $27.56).
Rule 17f–1(g) does not require
periodic collection, but it does require
retention of records generated as a result
of compliance with Rule 17f–1. Under
Section 17(b) and (f) of the Act, the
information required by Rule 17f–1(g) is
available to the Commission and
Federal bank regulators for
examinations or collection purposes.
Rule 0–4 of the Securities Exchange Act
deems such information to be
confidential.
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:
[email protected]; and (ii)
Charles Riddle, Acting 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:
[email protected]. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: November 8, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–25009 Filed 11–18–19; 8:45 am]
BILLING CODE 8011–01–P

SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #16181 and #16182;
Florida Disaster Number FL–00147]

Administrative Declaration of a
Disaster for the State of Florida
U.S. Small Business
Administration.
ACTION: Notice.

Economic Injury (EIDL) Loan
Application Deadline Date: 08/13/2020.
Submit completed loan
applications to: U.S. Small Business
Administration, Processing and
Disbursement Center, 14925 Kingsport
Road, Fort Worth, TX 76155.

ADDRESSES:

A.
Escobar, Office of Disaster Assistance,
U.S. Small Business Administration,
409 3rd Street SW, Suite 6050,
Washington, DC 20416, (202) 205–6734.

FOR FURTHER INFORMATION CONTACT:

Notice is
hereby given that as a result of the
Administrator’s disaster declaration,
applications for disaster loans may be
filed at the address listed above or other
locally announced locations.
The following areas have been
determined to be adversely affected by
the disaster:

SUPPLEMENTARY INFORMATION:

Primary Counties: Polk.
Contiguous Counties:
Florida: Hardee, Highlands,
Hillsborough, Lake, Manatee,
Okeechobee, Orange, Osceola,
Pasco, Sumter.
The Interest Rates are:
Percent
For Physical Damage:
Homeowners With Credit
Available Elsewhere ............
Homeowners Without Credit
Available Elsewhere ............
Businesses With Credit Available Elsewhere ....................
Businesses Without Credit
Available Elsewhere ............
Non-Profit Organizations With
Credit Available Elsewhere
Non-Profit Organizations Without Credit Available Elsewhere ...................................
For Economic Injury:
Businesses & Small Agricultural Cooperatives Without
Credit Available Elsewhere
Non-Profit Organizations Without Credit Available Elsewhere ...................................

3.000
1.500
7.750
3.875
2.750

2.750

3.875

2.750

AGENCY:

This is a notice of an
Administrative declaration of a disaster
for the State of Florida dated 11/13/
2019.
Incident: Tornadoes as a result of
Tropical Storm Nestor.
Incident Period: 10/18/2019.
DATES: Issued on 11/13/2019.
Physical Loan Application Deadline
Date: 01/13/2020.
SUMMARY:

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The number assigned to this disaster
for physical damage is 16181 8 and for
economic injury is 16182 0.
The States which received an EIDL
Declaration # is Florida.
(Catalog of Federal Domestic Assistance
Number 59008)
Christopher Pilkerton,
Acting Administrator.
[FR Doc. 2019–25036 Filed 11–18–19; 8:45 am]
BILLING CODE 8026–03–P

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