Rules 7a-15 through 7a-37 60 Day Federal Register Notice

3235-0132 60 Day FR Notice.pdf

Trust Indenture Act Rules 7a-15 through 7a-37

Rules 7a-15 through 7a-37 60 Day Federal Register Notice

OMB: 3235-0132

Document [pdf]
Download: pdf | pdf
Federal Register / Vol. 84, No. 149 / Friday, August 2, 2019 / Notices
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

jbell on DSK3GLQ082PROD with NOTICES

Extension:
Rule 155, SEC File No. 270–492, OMB
Control No. 3235–0549

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.
Rule 155 (17 CFR 230.155) under the
Securities Act of 1933 (15 U.S.C. 77a et
seq.) provides safe harbors for a
registered offering of securities from
integration in two circumstances: (1) A
registered offering that follows an
abandoned private offering; and (2) a
private offering that follows a
withdrawn registered offering. Each of
the rule’s safe harbors imposes
conditions designed to assure that there
is a clean break between the abandoned
offering and the later offering. In each
safe harbor, these conditions include
specified disclosure designed to assure
that investors understand this break as
they consider an investment decision in
the later offering. We estimate Rule 155
takes approximately 4 hours per
response to prepare and is filed by
approximately 600 respondents
annually. We estimate that 50% of the
4 hours per response (2 hours per
response) is prepared by the filer for a
total annual reporting burden of 1,200
hours (2 hours per response x 600
responses).
Written comments are invited on: (a)
Whether this 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 imposed by 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

VerDate Sep<11>2014

18:02 Aug 01, 2019

Jkt 247001

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
unless it displays a currently valid
control number.
Please direct your written comments
to Charles Riddle, Acting 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 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–16532 Filed 8–1–19; 8:45 am]
BILLING CODE 8011–01–P

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

(b) the accuracy of the agency’s estimate
of the burden imposed by 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, and a person is not required to
respond to, a collection of information
unless it displays a currently valid
control number.
Please direct your written comment to
Charles Riddle, Acting 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 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–16528 Filed 8–1–19; 8:45 am]
BILLING CODE 8011–01–P

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

SECURITIES AND EXCHANGE
COMMISSION

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.
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 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.
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;

Proposed Collection; Comment
Request

PO 00000

Frm 00095

Fmt 4703

Sfmt 4703

37919

Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
Extension:
Rule 17a–1, SEC File No. 270–244, OMB
Control No. 3235–0208

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 existing collection of information
provided for in Rule 17a–1 (17 CFR
240.17a–1) under the Securities
Exchange Act of 1934, as amended (the
‘‘Act’’) (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.
Rule 17a–1 requires that every
national securities exchange, national
securities association, registered
clearing agency, and the Municipal
Securities Rulemaking Board keep on
file for a period of not less than five
years, the first two years in an easily
accessible place, at least one copy of all

E:\FR\FM\02AUN1.SGM

02AUN1

jbell on DSK3GLQ082PROD with NOTICES

37920

Federal Register / Vol. 84, No. 149 / Friday, August 2, 2019 / Notices

documents, including all
correspondence, memoranda, papers,
books, notices, accounts, and other such
records made or received by it in the
course of its business as such and in the
conduct of its self-regulatory activity,
and that such documents be available
for examination by the Commission.
There are 34 entities required to
comply with the rule: 23 national
securities exchanges, 1 national
securities association, 9 registered
clearing agencies, and the Municipal
Securities Rulemaking Board. The
Commission staff estimates that the
average number of hours necessary for
compliance with the requirements of
Rule 17a–1 is 52 hours per year. In
addition, 4 national securities
exchanges notice-registered pursuant to
Section 6(g) of the Act (15 U.S.C. 78f(g))
are required to preserve records of
determinations made under Rule 3a55–
1 under the Act (17 CFR 240.3a55–1),
which the Commission staff estimates
will take 1 hour per exchange, for a total
of 4 hours. Accordingly, the
Commission staff estimates that the total
number of hours necessary to comply
with the requirements of Rule 17a–1 is
1,772 hours. The total internal cost of
compliance for all respondents is
$124,040, based on an average cost per
hour of $70.
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 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: Charles Riddle, Acting 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].

VerDate Sep<11>2014

18:02 Aug 01, 2019

Jkt 247001

Dated: July 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–16522 Filed 8–1–19; 8:45 am]
BILLING CODE 8011–01–P

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:
Schedule 13E–4F; SEC File No. 270–340,
OMB Control No. 3235–0375

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.
Schedule 13E–4F (17 CFR 240.13e–
102) may be used by an issuer that is
incorporated or organized under the
laws of Canada to make a cash tender
or exchange offer for the issuer’s own
securities if less than 40 percent of the
class of such issuer’s securities
outstanding that are the subject of the
tender offer is held by U.S. holders. The
information collected must be filed with
the Commission and is publicly
available. We estimate that it takes
approximately 2 hours per response to
prepare Schedule 13E–4F and that the
information is filed by approximately 3
respondents for a total annual reporting
burden of 6 hours (2 hours per response
× 3 responses).
Written comments are invited on: (a)
Whether this 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 imposed by 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.

PO 00000

Frm 00096

Fmt 4703

Sfmt 4703

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.
Please direct your written comment to
Charles Riddle, Acting 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 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–16521 Filed 8–1–19; 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.
Extension:
Rule 607, SEC File No. 270–561, OMB
Control No. 3235–0747, Request for a
New OMB Control No.

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

E:\FR\FM\02AUN1.SGM

02AUN1


File Typeapplication/pdf
File Modified2019-08-01
File Created2019-08-02

© 2024 OMB.report | Privacy Policy