80 FR 21785 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 75 (April 20, 2015)

Page Range		21785-21785
FR Document		2015-08991

Federal Register, Volume 80 Issue 75 (Monday, April 20, 2015)

[Federal Register Volume 80, Number 75 (Monday, April 20, 2015)]
[Notices]
[Page 21785]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-08991]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

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

Extension:
    Form N-5, SEC File No. 270-172, OMB Control No. 3235-0169.

    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'') 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 (``OMB'') for extension and approval.
    Form N-5 (17 CFR 239.24 and 274.5) is the form used by small 
business investment companies (``SBICs'') to register their securities 
under the Securities Act of 1933 (15 U.S.C. 77a et seq.) (``Securities 
Act'') and the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) 
(``Investment Company Act''). Form N-5 is the registration statement 
form adopted by the Commission for use by an SBIC that has been 
licensed as such under the Small Business Investment Act of 1958 or 
which has received the preliminary approval of the Small Business 
Administration (``SBA'') and has been notified by the SBA that the 
company may submit a license application Form N-5 is an integrated 
registration form and may be used as the registration statement under 
both the Securities Act and the Investment Company Act. The purpose of 
Form N-5 is to meet the filing and disclosure requirements of both the 
Securities Act and Investment Company Act, and to provide investors 
with information sufficient to evaluate an investment in an SBIC. The 
information that is required to be filed with the Commission permits 
verification of compliance with securities law requirements and assures 
the public availability and dissemination of the information.
    The Commission has received one filing on Form N-5 in the last 
three years, and we therefore estimate that SBICs will file about 0.333 
filings on Form N-5 per year. The currently approved burden of Form N-5 
is 352 hours per response. Therefore, the number of currently approved 
aggregate burden hours, when calculated using the current estimate for 
number of filings is about 117 hours per year. The currently approved 
cost burden of Form N-5 is $30,000 per filing. We continue to believe 
this estimate for Form N-5's cost burden is appropriate. Therefore, we 
estimate that the aggregate cost burden, when calculated using the 
Commission's estimate of 0.333 filings per year, is about $10,000 in 
external costs per year.
    Estimates of average burden hours and costs are made solely for the 
purposes of the Paperwork Reduction Act, and are not derived from a 
comprehensive or even representative survey or study of the costs of 
Commission rules and forms. Compliance with the collection of 
information requirements of Form N-5 is mandatory. Responses to the 
collection of information 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 OMB 
control number.
    Written comments are invited on: (a) Whether the collection of 
information is necessary for the proper performance of the functions of 
the Commission, including whether the information has practical 
utility; (b) the accuracy of the Commission'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 Pamela Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549; or send an email 
to: PRA_Mailbox@sec.gov.

    April 15, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-08991 Filed 4-17-15; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 80, No. 75 / Monday, April 20, 2015 / Notices 21785

information on respondents, including may submit a license application Form comments and suggestions submitted in
through the use of automated collection N–5 is an integrated registration form writing within 60 days of this
techniques or other forms of information and may be used as the registration publication.
technology. Consideration will be given statement under both the Securities Act Please direct your written comments
to comments and suggestions submitted and the Investment Company Act. The to Pamela Dyson, Director/Chief
in writing within 60 days of this purpose of Form N–5 is to meet the Information Officer, Securities and
publication. filing and disclosure requirements of Exchange Commission, c/o Remi Pavlik-
An agency may not conduct or both the Securities Act and Investment Simon, 100 F Street NE., Washington,
sponsor, and a person is not required to Company Act, and to provide investors DC 20549; or send an email to: PRA_
respond to, a collection of information with information sufficient to evaluate Mailbox@sec.gov.
unless it displays a currently valid an investment in an SBIC. The April 15, 2015.
control number. information that is required to be filed Brent J. Fields,
Please direct your written comment to with the Commission permits Secretary.
Pamela Dyson, Director/Chief verification of compliance with
[FR Doc. 2015–08991 Filed 4–17–15; 8:45 am]
Information Officer, Securities and securities law requirements and assures
BILLING CODE 8011–01–P
Exchange Commission, c/o Remi Pavlik- the public availability and
Simon, 100 F Street NE., Washington, dissemination of the information.
DC 20549 or send an email to: PRA_ The Commission has received one
SECURITIES AND EXCHANGE
Mailbox@sec.gov. filing on Form N–5 in the last three
COMMISSION
years, and we therefore estimate that
April 15, 2015.
SBICs will file about 0.333 filings on [Release No. 34–74727; File No. SR–
Brent J. Fields, NYSEArca–2015–30]
Form N–5 per year. The currently
Secretary. approved burden of Form N–5 is 352
[FR Doc. 2015–08993 Filed 4–17–15; 8:45 am] hours per response. Therefore, the Self-Regulatory Organizations; NYSE
BILLING CODE 8011–01–P number of currently approved aggregate Arca, Inc.; Notice of Filing and
burden hours, when calculated using Immediate Effectiveness of Proposed
the current estimate for number of Rule Change Amending the NYSE Arca
SECURITIES AND EXCHANGE filings is about 117 hours per year. The Options Fee Schedule
COMMISSION currently approved cost burden of Form April 14, 2015.
N–5 is $30,000 per filing. We continue Pursuant to Section 19(b)(1) 1 of the
Proposed Collection; Comment to believe this estimate for Form N–5’s
Request Securities Exchange Act of 1934 (the
cost burden is appropriate. Therefore, ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
Upon Written Request, Copy Available we estimate that the aggregate cost notice is hereby given that on April 9,
From: Securities and Exchange burden, when calculated using the 2015, NYSE Arca, Inc. (‘‘Exchange’’ or
Commission, Office of FOIA Services, Commission’s estimate of 0.333 filings ‘‘NYSE Arca’’) filed with the Securities
100 F Street NE., Washington, DC per year, is about $10,000 in external and Exchange Commission
20549–2736. costs per year. (‘‘Commission’’) the proposed rule
Estimates of average burden hours change as described in Items I, II and III
Extension: and costs are made solely for the
Form N–5, SEC File No. 270–172, OMB below, which Items have been prepared
Control No. 3235–0169.
purposes of the Paperwork Reduction by the self-regulatory organization. The
Act, and are not derived from a Commission is publishing this notice to
Notice is hereby given that, pursuant comprehensive or even representative
to the Paperwork Reduction Act of 1995 solicit comments on the proposed rule
survey or study of the costs of change from interested persons.
(44 U.S.C. 3501 et seq.), the Securities Commission rules and forms.
and Exchange Commission (the Compliance with the collection of I. Self-Regulatory Organization’s
‘‘Commission’’) is soliciting comments information requirements of Form N–5 Statement of the Terms of Substance of
on the collection of information is mandatory. Responses to the the Proposed Rule Change
summarized below. The Commission collection of information will not be The Exchange proposes to amend the
plans to submit this existing collection kept confidential. An agency may not NYSE Arca Options Fee Schedule (‘‘Fee
of information to the Office of conduct or sponsor, and a person is not Schedule’’) in a number of different
Management and Budget (‘‘OMB’’) for required to respond to, a collection of ways as described below. The Exchange
extension and approval. information unless it displays a proposes to implement the fee change
Form N–5 (17 CFR 239.24 and 274.5) currently valid OMB control number. effective April 9, 2015. The text of the
is the form used by small business Written comments are invited on: (a) proposed rule change is available on the
investment companies (‘‘SBICs’’) to Whether the collection of information is Exchange’s Web site at www.nyse.com,
register their securities under the necessary for the proper performance of at the principal office of the Exchange,
Securities Act of 1933 (15 U.S.C. 77a et the functions of the Commission, and at the Commission’s Public
seq.) (‘‘Securities Act’’) and the including whether the information has Reference Room.
Investment Company Act of 1940 (15 practical utility; (b) the accuracy of the
U.S.C. 80a–1 et seq.) (‘‘Investment Commission’s estimate of the burden of II. Self-Regulatory Organization’s
Company Act’’). Form N–5 is the the collection of information; (c) ways to Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
mstockstill on DSK4VPTVN1PROD with NOTICES

registration statement form adopted by enhance the quality, utility, and clarity
the Commission for use by an SBIC that of the information collected; and (d) Change
has been licensed as such under the ways to minimize the burden of the In its filing with the Commission, the
Small Business Investment Act of 1958 collection of information on self-regulatory organization included
or which has received the preliminary respondents, including through the use
approval of the Small Business of automated collection techniques or 1 15 U.S.C. 78s(b)(1).
Administration (‘‘SBA’’) and has been other forms of information technology. 2 15 U.S.C. 78a.
notified by the SBA that the company Consideration will be given to 3 17 CFR 240.19b–4.

VerDate Sep<11>2014 17:56 Apr 17, 2015 Jkt 235001 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 E:\FR\FM\20APN1.SGM 20APN1

Document Created: 2018-02-21 10:12:50
Document Modified: 2018-02-21 10:12:50

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
FR Citation		80 FR 21785