80 FR 44406 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 143 (July 27, 2015)

Page Range		44406-44406
FR Document		2015-18323

Federal Register, Volume 80 Issue 143 (Monday, July 27, 2015)

[Federal Register Volume 80, Number 143 (Monday, July 27, 2015)]
[Notices]
[Page 44406]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-18323]


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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:
    Rule 17f-1(c) and Form X-17F-1A; SEC File No. 270-29, OMB 
Control No. 3235-0037

    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 Rule 17f-1(c) and Form X-17F-
1A (17 CFR 249.100) 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.
    Rule 17f-1(c) requires approximately 15,500 entities in the 
securities industry to report lost, stolen, missing, or counterfeit 
securities certificates to the Commission or its designee, to a 
registered transfer agent for the issue, and, when criminal activity is 
suspected, to the Federal Bureau of Investigation. Such entities are 
required to use Form X-17F-1A to make such reports. Filing these 
reports fulfills a statutory requirement that reporting institutions 
report and inquire about missing, lost, counterfeit, or stolen 
securities. Since these reports are compiled in a central database, the 
rule facilitates reporting institutions to access the database that 
stores information for the Lost and Stolen Securities Program.
    We estimate that 15,500 reporting institutions will report that 
securities are either missing, lost, counterfeit, or stolen annually 
and that each reporting institution will submit this report 30 times 
each year. The staff estimates that the average amount of time 
necessary to comply with Rule 17f-1(c) and Form X-17F-1A is five 
minutes. The total burden is approximately 38,750 hours annually for 
respondents (15,500 times 30 times 5 divided by 60).
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information shall 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the proposed collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information on 
respondents; 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.
    Rule 17f-1(c) is a reporting rule and does not specify a retention 
period. The rule requires an incident-based reporting requirement by 
the reporting institutions when securities certificates are discovered 
to be missing, lost, counterfeit, or stolen. Registering under Rule 
17f-1(c) is mandatory to obtain the benefit of a central database that 
stores information about missing, lost, counterfeit, or stolen 
securities for the Lost and Stolen Securities Program. Reporting 
institutions required to register under Rule 17f-1(c) will not be kept 
confidential; however, the Lost and Stolen Securities Program database 
will be kept 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.
    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.

    Dated: July 22, 2015.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-18323 Filed 7-24-15; 8:45 am]
BILLING CODE 8011-01-P

44406 Federal Register / Vol. 80, No. 143 / Monday, July 27, 2015 / Notices

any fees paid to the Affiliated Sub- (‘‘Commission’’) is soliciting comments Rule 17f–1(c) is mandatory to obtain the
Adviser. on the existing collection of information benefit of a central database that stores
3. Applicants agree that any order provided for in Rule 17f–1(c) and Form information about missing, lost,
granting the requested relief will be X–17F–1A (17 CFR 249.100) under the counterfeit, or stolen securities for the
subject to the terms and conditions Securities Exchange Act of 1934 (15 Lost and Stolen Securities Program.
stated in the Application. Such terms U.S.C. 78a et seq.). The Commission Reporting institutions required to
and conditions provide for, among other plans to submit this existing collection register under Rule 17f–1(c) will not be
safeguards, appropriate disclosure to of information to the Office of kept confidential; however, the Lost and
Fund shareholders and notification Management and Budget (‘‘OMB’’) for Stolen Securities Program database will
about sub-advisory changes and extension and approval. be kept confidential.
enhanced Board oversight to protect the Rule 17f–1(c) requires approximately An agency may not conduct or
interests of the Funds’ shareholders. 15,500 entities in the securities industry sponsor, and a person is not required to
4. Section 6(c) of the Act provides that to report lost, stolen, missing, or respond to, a collection of information
the Commission may exempt any counterfeit securities certificates to the under the PRA unless it displays a
person, security, or transaction or any Commission or its designee, to a currently valid OMB control number.
class or classes of persons, securities, or registered transfer agent for the issue, Please direct your written comments
transactions from any provisions of the and, when criminal activity is to: Pamela Dyson, Director/Chief
Act, or any rule thereunder, if such suspected, to the Federal Bureau of Information Officer, Securities and
relief is necessary or appropriate in the Investigation. Such entities are required Exchange Commission, c/o Remi Pavlik-
public interest and consistent with the to use Form X–17F–1A to make such Simon, 100 F Street NE., Washington
protection of investors and purposes reports. Filing these reports fulfills a DC 20549, or send an email to: PRA_
fairly intended by the policy and statutory requirement that reporting Mailbox@sec.gov.
provisions of the Act. Applicants institutions report and inquire about Dated: July 22, 2015.
believe that the requested relief meets missing, lost, counterfeit, or stolen Robert W. Errett,
this standard because, as further securities. Since these reports are Deputy Secretary.
explained in the Application, the compiled in a central database, the rule
[FR Doc. 2015–18323 Filed 7–24–15; 8:45 am]
Advisory Agreements will remain facilitates reporting institutions to
BILLING CODE 8011–01–P
subject to shareholder approval, while access the database that stores
the role of the Sub-Advisers is information for the Lost and Stolen
substantially similar to that of Securities Program. SECURITIES AND EXCHANGE
individual portfolio managers, so that We estimate that 15,500 reporting
COMMISSION
requiring shareholder approval of Sub- institutions will report that securities
Advisory Agreements would impose are either missing, lost, counterfeit, or [Release No. 34–75499; File No. SR–
unnecessary delays and expenses on the stolen annually and that each reporting NASDAQ–2015–036]
Funds. Applicants believe that the institution will submit this report 30
requested relief from the Disclosure times each year. The staff estimates that Self-Regulatory Organizations; The
Requirements meets this standard the average amount of time necessary to NASDAQ Stock Market LLC; Order
because it will improve the Adviser’s comply with Rule 17f–1(c) and Form X– Granting Approval of Proposed Rule
ability to negotiate fees paid to the Sub- 17F–1A is five minutes. The total Change, as Modified by Amendments
Advisers that are more advantageous for burden is approximately 38,750 hours Nos. 1 and 2 Thereto, Relating to the
the Funds. annually for respondents (15,500 times Listing and Trading of the Shares of 18
30 times 5 divided by 60). Eaton Vance NextShares ETMFs of
For the Commission, by the Division of Either the Eaton Vance ETMF Trust or
Investment Management, under delegated Written comments are invited on: (a)
authority. Whether the proposed collection of the Eaton Vance ETMF Trust II
Robert W. Errett, information is necessary for the proper July 21, 2015.
Deputy Secretary. performance of the functions of the
agency, including whether the I. Introduction
[FR Doc. 2015–18324 Filed 7–24–15; 8:45 am]
information shall have practical utility; On April 10, 2015, The NASDAQ
BILLING CODE 8011–01–P
(b) the accuracy of the agency’s estimate Stock Market LLC (‘‘Nasdaq’’ or
of the burden of the proposed collection ‘‘Exchange’’) filed with the Securities
SECURITIES AND EXCHANGE of information; (c) ways to enhance the and Exchange Commission
COMMISSION quality, utility, and clarity of the (‘‘Commission’’), pursuant to Section
information on respondents; and (d) 19(b)(1) of the Securities Exchange Act
Proposed Collection; Comment ways to minimize the burden of the of 1934 (‘‘Act’’) 1 and Rule 19b–4
Request collection of information on thereunder,2 a proposed rule change to
respondents, including through the use list and trade the shares (‘‘Shares’’) of
Upon Written Request, Copies Available of automated collection techniques or the following 18 exchange-traded
From: Securities and Exchange other forms of information technology. managed funds: Eaton Vance Balanced
Commission, Office of FOIA Services, Consideration will be given to NextSharesTM; Eaton Vance Global
100 F Street NE., Washington, DC comments and suggestions submitted in Dividend Income NextSharesTM; Eaton
20549–2736. writing within 60 days of this Vance Growth NextSharesTM; Eaton
Extension: publication. Vance Large-Cap Value NextSharesTM;
tkelley on DSK3SPTVN1PROD with NOTICES

Rule 17f–1(c) and Form X–17F–1A; SEC Rule 17f–1(c) is a reporting rule and Eaton Vance Richard Bernstein All
File No. 270–29, OMB Control No. 3235– does not specify a retention period. The Asset Strategy NextSharesTM; Eaton
0037 rule requires an incident-based Vance Richard Bernstein Equity Strategy
Notice is hereby given that pursuant reporting requirement by the reporting NextSharesTM; Eaton Vance Small-Cap
to the Paperwork Reduction Act of 1995 institutions when securities certificates
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the are discovered to be missing, lost, 1 15 U.S.C. 78s(b)(1).
Securities and Exchange Commission counterfeit, or stolen. Registering under 2 17 CFR 240.19b–4.

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Document Created: 2018-02-23 09:27:03
Document Modified: 2018-02-23 09:27:03

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 44406