80 FR 45693 - Submission for OMB Review; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 147 (July 31, 2015)
Federal Register Volume 80, Issue 147 (July 31, 2015)
| Page Range | 45693-45694 | |
| FR Document | 2015-18767 |
[Federal Register Volume 80, Number 147 (Friday, July 31, 2015)] [Notices] [Pages 45693-45694] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-18767] ----------------------------------------------------------------------- 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 N-3; SEC File No. 270-281, OMB Control No. 3235-0316. 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. The title for the collection of information is ``Form N-3 (17 CFR 239.17a and 274.11b) under the Securities Act of 1933 (15 U.S.C. 77) and under the Investment Company Act of 1940 (15 U.S.C. 80a), Registration Statement of Separate Accounts Organized as Management Investment Companies.'' Form N-3 is the form used by separate accounts offering variable annuity contracts which are organized as management investment companies [[Page 45694]] to register under the Investment Company Act of 1940 (``Investment Company Act'') and/or to register their securities under the Securities Act of 1933 (``Securities Act''). Form N-3 is also the form used to file a registration statement under the Securities Act (and any amendments thereto) for variable annuity contracts funded by separate accounts which would be required to be registered under the Investment Company Act as management investment companies except for the exclusion provided by Section 3(c)(11) of the Investment Company Act (15 U.S.C. 80a-3(c)(11)). Section 5 of the Securities Act (15 U.S.C. 77e) requires the filing of a registration statement prior to the offer of securities to the public and that the statement be effective before any securities are sold, and Section 8 of the Investment Company Act (15 U.S.C. 80a-8) requires a separate account to register as an investment company. Form N-3 also permits separate accounts offering variable annuity contracts which are organized as investment companies to provide investors with a prospectus and a statement of additional information covering essential information about the separate account when it makes an initial or additional offering of its securities. Section 5(b) of the Securities Act requires that investors be provided with a prospectus containing the information required in a registration statement prior to the sale or at the time of confirmation or delivery of the securities. The form also may be used by the Commission in its regulatory review, inspection, and policy-making roles. Commission staff estimates that there are zero initial registration statements and 10 post-effective amendments to initial registration statements filed on Form N-3 annually and that the average number of portfolios referenced in each post-effective amendment is 2. The Commission further estimates that the hour burden for preparing and filing a post-effective amendment on Form N-3 is 155.2 hours per portfolio. The total annual hour burden for preparing and filing post- effective amendments is 3104 hours (10 post-effective amendments x 2 portfolios x 155.2 hours per portfolio). The estimated annual hour burden for preparing and filing initial registration statements is 0 hours. The total annual hour burden for Form N-3, therefore, is estimated to be 3,104 hours (3,104 hours + 0 hours). The information collection requirements imposed by Form N-3 are 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 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: July 27, 2015. Robert W. Errett, Deputy Secretary. [FR Doc. 2015-18767 Filed 7-30-15; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Notices 45693
Electronic Comments SECURITIES AND EXCHANGE Form N–Q is mandatory. The
COMMISSION information provided by the form is not
• Use the Commission’s Internet kept confidential. An agency may not
comment form (http://www.sec.gov/ Submission for OMB Review; conduct or sponsor, and a person is not
rules/sro.shtml); or Comment Request required to respond to, a collection of
• Send an email to rule-comments@ Upon Written Request, Copies Available information unless it displays a
sec.gov. Please include File Number SR– From: Securities and Exchange currently valid control number.
NYSEARCA–2015–66 on the subject Commission, Office of FOIA Services, The public may view the background
line. 100 F Street NE., Washington, DC documentation for this information
20549–2736. collection at the following Web site,
Paper Comments www.reginfo.gov. Comments should be
Extension: directed to: (i) Desk Officer for the
• Send paper comments in triplicate Form N–Q SEC, File No. 270–519, OMB
Securities and Exchange Commission,
to Secretary, Securities and Exchange Control No. 3235–0578.
Office of Information and Regulatory
Commission, 100 F Street NE., Notice is hereby given that, pursuant Affairs, Office of Management and
Washington, DC 20549–1090. to the Paperwork Reduction Act of 1995 Budget, Room 10102, New Executive
(44 U.S.C. 3501 et seq.) (‘‘Paperwork Office Building, Washington, DC 20503,
All submissions should refer to File
Reduction Act’’), the Securities and or by sending an email to: Shagufta_
Number SR–NYSEARCA–2015–66. This Exchange Commission (the
file number should be included on the Ahmed@omb.eop.gov; and (ii) Pamela
‘‘Commission’’) has submitted to the Dyson, Director/Chief Information
subject line if email is used. To help the Office of Management and Budget a
Commission process and review your Officer, Securities and Exchange
request for extension of the previously Commission, c/o Remi Pavlik-Simon,
comments more efficiently, please use approved collection of information 100 F Street NE., Washington, DC 20549
only one method. The Commission will discussed below. or send an email to: PRA_Mailbox@
post all comments on the Commission’s Form N–Q (17 CFR 249.332 and sec.gov. Comments must be submitted to
Internet Web site (http://www.sec.gov/ 274.130) is a reporting form used by OMB within 30 days of this notice.
rules/sro.shtml). Copies of the registered management investment
submission, all subsequent companies, other than small business Dated: July 27, 2015.
amendments, all written statements investment companies registered on Robert W. Errett,
with respect to the proposed rule Form N–5 (‘‘funds’’), under Section Deputy Secretary.
change that are filed with the 30(b) of the Investment Company Act of [FR Doc. 2015–18766 Filed 7–30–15; 8:45 am]
Commission, and all written 1940 (15 U.S.C. 80a–1 et seq.) BILLING CODE 8011–01–P
communications relating to the (‘‘Investment Company Act’’) and
proposed rule change between the Sections 13(a) or 15(d) of the Securities
Commission and any person, other than Exchange Act of 1934 (15 U.S.C. 78a et SECURITIES AND EXCHANGE
seq.). Pursuant to Rule 30b1–5 under the COMMISSION
those that may be withheld from the
Investment Company Act, funds are
public in accordance with the Submission for OMB Review;
required to file quarterly reports with
provisions of 5 U.S.C. 552, will be the Commission on Form N–Q not more Comment Request
available for Web site viewing and than 60 days after the close of the first
printing in the Commission’s Public Upon Written Request, Copies Available
and third quarters of each fiscal year From: Securities and Exchange
Reference Section, 100 F Street NE., containing their complete portfolio
Washington, DC 20549–1090 on official Commission, Office of FOIA Services,
holdings. Additionally, fund 100 F Street NE., Washington, DC
business days between the hours of management is required to evaluate the
10:00 a.m. and 3:00 p.m. Copies of the 20549–2736.
effectiveness of the fund’s disclosure
filing will also be available for controls and procedures within the 90- Extension:
inspection and copying at the NYSE’s day period prior to the filing of a report Form N–3; SEC File No. 270–281, OMB
Control No. 3235–0316.
principal office and on its Internet Web on Form N–Q, and such report must
site at www.nyse.com. All comments also be signed and certified by the Notice is hereby given that, pursuant
received will be posted without change; fund’s principal executive and financial to the Paperwork Reduction Act of 1995
the Commission does not edit personal officers. (44 U.S.C. 3501 et seq.), the Securities
identifying information from We estimate that there are 11,348 and Exchange Commission (the
submissions. You should submit only funds required to file reports on Form ‘‘Commission’’) has submitted to the
information that you wish to make N–Q. Based on staff experience and Office of Management and Budget a
available publicly. All submissions conversations with industry request for extension of the previously
should refer to File Number SR– representatives, we estimate that it takes approved collection of information
approximately 26 hours per fund to discussed below.
NYSEARCA–2015–66 and should be
prepare reports on Form N–Q annually. The title for the collection of
submitted on or before August 21, 2015. information is ‘‘Form N–3 (17 CFR
Accordingly, we estimate that the total
For the Commission, by the Division of annual burden associated with Form 239.17a and 274.11b) under the
Trading and Markets, pursuant to delegated N–Q is 295,048 hours (26 hours per Securities Act of 1933 (15 U.S.C. 77)
asabaliauskas on DSK5VPTVN1PROD with NOTICES
authority.11 fund × 11,348 funds) per year. and under the Investment Company Act
Robert W. Errett, The estimates of average burden hours of 1940 (15 U.S.C. 80a), Registration
Deputy Secretary. are made solely for the purposes of the Statement of Separate Accounts
[FR Doc. 2015–18768 Filed 7–30–15; 8:45 am] Paperwork Reduction Act and are not Organized as Management Investment
derived from a comprehensive or even Companies.’’ Form N–3 is the form used
BILLING CODE 8011–01–P
representative survey or study of the by separate accounts offering variable
cost of Commission rules and forms. annuity contracts which are organized
11 17 CFR 200.30–3(a)(12). The collection of information under as management investment companies
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![45694 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Notices
to register under the Investment conduct or sponsor, and a person is not Primary Counties: (Physical Damage and
Company Act of 1940 (‘‘Investment required to respond to a collection of Economic Injury Loans): Adair,
Company Act’’) and/or to register their information unless it displays a Cherokee, Coal, Delaware, Garvin,
securities under the Securities Act of currently valid control number. Hughes, Lincoln, Logan, Love,
1933 (‘‘Securities Act’’). Form N–3 is The public may view the background Murray, Ottawa, Pontotoc.
also the form used to file a registration documentation for this information Contiguous Counties: (Economic Injury
statement under the Securities Act (and collection at the following Web site, Loans Only):
any amendments thereto) for variable www.reginfo.gov. Comments should be Oklahoma: Garfield, Noble, Payne.
annuity contracts funded by separate directed to: (i) Desk Officer for the Arkansas: Benton, Crawford,
accounts which would be required to be Securities and Exchange Commission, Washington.
registered under the Investment Office of Information and Regulatory Kansas: Cherokee.
Company Act as management Affairs, Office of Management and Missouri: Mcdonald, Newton.
investment companies except for the Budget, Room 10102, New Executive Texas: Cooke.
exclusion provided by Section 3(c)(11) Office Building, Washington, DC 20503, All other information in the original
of the Investment Company Act (15 or by sending an email to: Shagufta_ declaration remains unchanged.
U.S.C. 80a–3(c)(11)). Section 5 of the Ahmed@omb.eop.gov; and (ii) Pamela (Catalog of Federal Domestic Assistance
Securities Act (15 U.S.C. 77e) requires Dyson, Director/Chief Information Numbers 59002 and 59008)
the filing of a registration statement Officer, Securities and Exchange
prior to the offer of securities to the Commission, c/o Remi Pavlik-Simon, James E. Rivera,
public and that the statement be 100 F Street NE., Washington, DC 20549 Associate Administrator for Disaster
effective before any securities are sold, or send an email to: PRA_Mailbox@ Assistance.
and Section 8 of the Investment sec.gov. Comments must be submitted to [FR Doc. 2015–18748 Filed 7–30–15; 8:45 am]
Company Act (15 U.S.C. 80a–8) requires OMB within 30 days of this notice. BILLING CODE 8025–01–P
a separate account to register as an Dated: July 27, 2015.
investment company.
Form N–3 also permits separate Robert W. Errett, SMALL BUSINESS ADMINISTRATION
accounts offering variable annuity Deputy Secretary.
[Disaster Declaration #14295 and #14296]
contracts which are organized as [FR Doc. 2015–18767 Filed 7–30–15; 8:45 am]
investment companies to provide BILLING CODE 8011–01–P
Kentucky Disaster Number KY–00055
investors with a prospectus and a
statement of additional information AGENCY: U.S. Small Business
covering essential information about the SMALL BUSINESS ADMINISTRATION Administration.
separate account when it makes an ACTION: Amendment 2.
[Disaster Declaration #14330 and #14331]
initial or additional offering of its
securities. Section 5(b) of the Securities SUMMARY: This is an amendment of the
Oklahoma Disaster Number OK–00092 Presidential declaration of a major
Act requires that investors be provided
with a prospectus containing the AGENCY: U.S. Small Business disaster for Public Assistance Only for
information required in a registration Administration. the Commonwealth of Kentucky
statement prior to the sale or at the time ACTION: Amendment 9. (FEMA–4216–DR), dated 04/30/2015.
of confirmation or delivery of the Incident: Severe Winter Storms,
securities. The form also may be used by SUMMARY: This is an amendment of the Snowstorms, Flooding, Landslides, and
the Commission in its regulatory review, Presidential declaration of a major Mudslides.
inspection, and policy-making roles. disaster for the State of Oklahoma Incident Period: 02/15/2015 through
Commission staff estimates that there (FEMA—4222—DR), dated 05/26/2015. 02/22/2015.
are zero initial registration statements Incident: Severe storms, tornadoes, DATES: Effective Date: 07/24/2015.
and 10 post-effective amendments to straight line winds, and flooding. Physical Loan Application Deadline
initial registration statements filed on Incident Period: 05/05/2015 through Date: 06/29/2015.
Form N–3 annually and that the average 06/22/2015. Economic Injury (EIDL) Loan
number of portfolios referenced in each Effective Date: 07/24/2015.
Physical Loan Application Deadline Application Deadline Date: 02/01/2016.
post-effective amendment is 2. The ADDRESSES: Submit completed loan
Commission further estimates that the Date: 08/26/2015.
EIDL Loan Application Deadline Date: applications to: U.S. Small Business
hour burden for preparing and filing a Administration, Processing and
02/26/2016.
post-effective amendment on Form N–3 Disbursement Center, 14925 Kingsport
is 155.2 hours per portfolio. The total ADDRESSES: Submit completed loan
applications to: U.S. Small Business Road, Fort Worth, TX 76155.
annual hour burden for preparing and
Administration, Processing And FOR FURTHER INFORMATION CONTACT: A.
filing post-effective amendments is 3104
Disbursement Center, 14925 Kingsport Escobar, Office of Disaster Assistance,
hours (10 post-effective amendments × 2
portfolios × 155.2 hours per portfolio). Road, Fort Worth, TX 76155. U.S. Small Business Administration,
The estimated annual hour burden for FOR FURTHER INFORMATION CONTACT: A. 409 3rd Street SW., Suite 6050,
preparing and filing initial registration Escobar, Office of Disaster Assistance, Washington, DC 20416.
statements is 0 hours. The total annual U.S. Small Business Administration, SUPPLEMENTARY INFORMATION: The notice
asabaliauskas on DSK5VPTVN1PROD with NOTICES
hour burden for Form N–3, therefore, is 409 3rd Street SW., Suite 6050, of the President’s major disaster
estimated to be 3,104 hours (3,104 hours Washington, DC 20416. declaration for Private Non-Profit
+ 0 hours). SUPPLEMENTARY INFORMATION: The notice organizations in the Commonwealth of
The information collection of the Presidential disaster declaration Kentucky, dated 04/30/2015, is hereby
requirements imposed by Form N–3 are for the State of Oklahoma, dated 05/26/ amended to include the following areas
mandatory. Responses to the collection 2015 is hereby amended to include the as adversely affected by the disaster.
of information will not be kept following areas as adversely affected by Primary Counties: Adair, Anderson,
confidential. An agency may not the disaster: Butler, Edmonson, Franklin, Lewis,
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Document Created: 2015-12-15 12:59:56
Document Modified: 2015-12-15 12:59:56
| 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 45693 |
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