80 FR 27223 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 91 (May 12, 2015)

Page Range		27223-27223
FR Document		2015-11369

Federal Register, Volume 80 Issue 91 (Tuesday, May 12, 2015)

[Federal Register Volume 80, Number 91 (Tuesday, May 12, 2015)]
[Notices]
[Page 27223]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-11369]



[[Page 27223]]

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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:
    Form 1-E, Regulation E, SEC File No. 270-221, OMB Control No. 
3235-0232.

    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.
    Form 1-E (17 CFR 239.200) under the Securities Act of 1933 (15 
U.S.C. 77a et seq.) (``Securities Act'') is the form that a small 
business investment company (``SBIC'') or business development company 
(``BDC'') uses to notify the Commission that it is claiming an 
exemption under Regulation E from registering its securities under the 
Securities Act. Rule 605 of Regulation E (17 CFR 230.605) under the 
Securities Act requires an SBIC or BDC claiming such an exemption to 
file an offering circular with the Commission that must also be 
provided to persons to whom an offer is made. Form 1-E requires an 
issuer to provide the names and addresses of the issuer, its 
affiliates, directors, officers, and counsel; a description of events 
which would make the exemption unavailable; the jurisdictions in which 
the issuer intends to offer the securities; information about 
unregistered securities issued or sold by the issuer within one year 
before filing the notification on Form 1-E; information as to whether 
the issuer is presently offering or contemplating offering any other 
securities; and exhibits, including copies of the rule 605 offering 
circular and any underwriting contracts.
    The Commission uses the information provided in the notification on 
Form 1-E and the offering circular to determine whether an offering 
qualifies for the exemption under Regulation E. The Commission 
estimates that, each year, one issuer files one notification on Form 1-
E, together with offering circulars, with the Commission.\1\ Based on 
the Commission's experience with disclosure documents, we estimate that 
the burden from compliance with Form 1-E and the offering circular 
requires approximately 100 hours per filing. The annual burden hours 
for compliance with Form 1-E and the offering circular would be 100 
hours (1 response x 100 hours per response). Estimates of the burden 
hours are made solely for the purposes of the PRA, and are not derived 
from a comprehensive or even a representative survey or study of the 
costs of SEC rules and forms.
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    \1\ According to Commission records, one issuer filed two 
notifications on Form 1-E, together with offering circulars, during 
2013 and 2014.
---------------------------------------------------------------------------

    Compliance with the information collection requirements of the 
rules is necessary to obtain the benefit of relying on the rules. The 
information provided on Form 1-E and in the offering circular 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.
    The public may view the background documentation for this 
information collection at the following Web site, 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) 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: [email protected]. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: May 6, 2015.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-11369 Filed 5-11-15; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 80, No. 91 / Tuesday, May 12, 2015 / Notices 27223

SECURITIES AND EXCHANGE disclosure documents, we estimate that Effective Date: 05/04/2015
COMMISSION the burden from compliance with Form Physical Loan Application Deadline
1–E and the offering circular requires Date: 05/11/2015
Submission for OMB Review; approximately 100 hours per filing. The Economic Injury (EIDL) Loan
Comment Request annual burden hours for compliance Application Deadline Date: 12/14/2015
with Form 1–E and the offering circular ADDRESSES: Submit completed loan
Upon Written Request Copies Available
From: Securities and Exchange would be 100 hours (1 response × 100 applications to: U.S. Small Business
hours per response). Estimates of the Administration, Processing And
Commission, Office of FOIA Services,
burden hours are made solely for the Disbursement Center, 14925 Kingsport
100 F Street NE., Washington, DC
purposes of the PRA, and are not Road, Fort Worth, TX 76155.
20549–2736.
derived from a comprehensive or even FOR FURTHER INFORMATION CONTACT: A.
Extension: a representative survey or study of the Escobar, Office of Disaster Assistance,
Form 1–E, Regulation E, SEC File No. 270–
costs of SEC rules and forms. U.S. Small Business Administration,
221, OMB Control No. 3235–0232.
Compliance with the information 409 3rd Street SW., Suite 6050,
Notice is hereby given that, pursuant collection requirements of the rules is Washington, DC 20416.
to the Paperwork Reduction Act of 1995 necessary to obtain the benefit of relying SUPPLEMENTARY INFORMATION: The notice
(44 U.S.C. 3501 et seq.), the Securities on the rules. The information provided of the President’s major disaster
and Exchange Commission (the on Form 1–E and in the offering circular declaration for Private Non-Profit
‘‘Commission’’) has submitted to the will not be kept confidential. An agency organizations in the State of MAINE,
Office of Management and Budget a may not conduct or sponsor, and a dated 03/12/2015, is hereby amended to
request for extension of the previously person is not required to respond to, a include the following areas as adversely
approved collection of information collection of information unless it affected by the disaster.
discussed below. displays a currently valid OMB control Primary Counties: Sagadahoc.
Form 1–E (17 CFR 239.200) under the number. All other information in the original
Securities Act of 1933 (15 U.S.C. 77a et The public may view the background declaration remains unchanged.
seq.) (‘‘Securities Act’’) is the form that documentation for this information
a small business investment company (Catalog of Federal Domestic Assistance
collection at the following Web site, Numbers 59002 and 59008)
(‘‘SBIC’’) or business development www.reginfo.gov. Comments should be
company (‘‘BDC’’) uses to notify the directed to: (i) Desk Officer for the James E. Rivera,
Commission that it is claiming an Securities and Exchange Commission, Associate Administrator for Disaster
exemption under Regulation E from Office of Information and Regulatory Assistance.
registering its securities under the Affairs, Office of Management and [FR Doc. 2015–11354 Filed 5–11–15; 8:45 am]
Securities Act. Rule 605 of Regulation E Budget, Room 10102, New Executive BILLING CODE 8025–01–P
(17 CFR 230.605) under the Securities Office Building, Washington, DC 20503,
Act requires an SBIC or BDC claiming or by sending an email to: Shagufta_
such an exemption to file an offering Ahmed@omb.eop.gov; and (ii) Pamela SMALL BUSINESS ADMINISTRATION
circular with the Commission that must Dyson, Director/Chief Information [Disaster Declaration #14293 and #14294]
also be provided to persons to whom an Officer, Securities and Exchange
offer is made. Form 1–E requires an Commission, c/o Remi Pavlik-Simon, Federated States of Micronesia
issuer to provide the names and 100 F Street NE., Washington, DC 20549 Disaster #FM–00003
addresses of the issuer, its affiliates, or send an email to: PRA_Mailbox@
directors, officers, and counsel; a sec.gov. Comments must be submitted to AGENCY: U.S. Small Business
description of events which would OMB within 30 days of this notice. Administration.
make the exemption unavailable; the ACTION: Notice.
Dated: May 6, 2015.
jurisdictions in which the issuer intends
to offer the securities; information about Robert W. Errett, SUMMARY: This is a Notice of the
unregistered securities issued or sold by Deputy Secretary. Presidential declaration of a disaster for
the issuer within one year before filing [FR Doc. 2015–11369 Filed 5–11–15; 8:45 am] the Federated States of Micronesia,
the notification on Form 1–E; BILLING CODE 8011–01–P dated 04/28/2015.
information as to whether the issuer is Incident: Typhoon Maysak.
presently offering or contemplating Incident Period: 03/29/2015 through
offering any other securities; and SMALL BUSINESS ADMINISTRATION 04/01/2015.
exhibits, including copies of the rule [Disaster Declaration #14248 and #14249] DATES:
605 offering circular and any Effective Date: 04/28/2015.
underwriting contracts. Maine Disaster Number ME–00043 Physical Loan Application Deadline
The Commission uses the information Date: 06/29/2015.
provided in the notification on Form 1– AGENCY: U.S. Small Business
Economic Injury (EIDL) Loan
E and the offering circular to determine Administration.
Application Deadline Date: 01/28/2016.
whether an offering qualifies for the ACTION: Amendment 1.
ADDRESSES: Submit completed loan
exemption under Regulation E. The applications to: U.S. Small Business
Commission estimates that, each year, SUMMARY: This is an amendment of the
Administration, Processing AND
mstockstill on DSK4VPTVN1PROD with NOTICES

one issuer files one notification on Form Presidential declaration of a major
disaster for Public Assistance Only for Disbursement Center, 14925 Kingsport
1–E, together with offering circulars, Road, Fort Worth, TX 76155.
with the Commission.1 Based on the the State of MAINE (FEMA–4208–DR),
dated 03/12/2015. FOR FURTHER INFORMATION CONTACT: A.
Commission’s experience with
Incident: Severe Winter Storm, Escobar, Office of Disaster Assistance,
1 According to Commission records, one issuer Snowstorm, and Flooding U.S. Small Business Administration,
filed two notifications on Form 1–E, together with Incident Period: 01/26/2015 through 409 3rd Street SW., Suite 6050,
offering circulars, during 2013 and 2014. 01/28/2015 Washington, DC 20416.

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Document Created: 2015-12-16 07:55:49
Document Modified: 2015-12-16 07:55:49

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 27223