80 FR 64016 - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds
DEPARTMENT OF LABOR
Office of the Secretary Federal Register Volume 80, Issue 204 (October 22, 2015)
Office of the Secretary
Federal Register Volume 80, Issue 204 (October 22, 2015)
| Page Range | 64016-64017 | |
| FR Document | 2015-26827 |
[Federal Register Volume 80, Number 204 (Thursday, October 22, 2015)] [Notices] [Pages 64016-64017] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-26827] ----------------------------------------------------------------------- DEPARTMENT OF LABOR Office of the Secretary Agency Information Collection Activities; Submission for OMB Review; Comment Request; Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Department of Labor (DOL) is submitting the Employee Benefits Security Administration (EBSA) sponsored information collection request (ICR) titled, ``Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds,'' to the Office of Management and Budget (OMB) for review and approval for continued use, without change, in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq. Public comments on the ICR are invited. DATES: The OMB will consider all written comments that agency receives on or before November 23, 2015. ADDRESSES: A copy of this ICR with applicable supporting documentation; including a description of the likely respondents, proposed frequency of response, and estimated total burden may be obtained free of charge from the RegInfo.gov Web site at http://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=201509-1210-004 (this link will only become active on the day following publication of this notice) or by contacting Michel Smyth by telephone at 202-693-4129, TTY 202-693-8064, (these are not toll-free numbers) or by email at [email protected]. Submit comments about this request by mail or courier to the Office of Information and Regulatory Affairs, Attn: OMB Desk Officer for DOL- EBSA, Office of Management and Budget, Room 10235, 725 17th Street NW., Washington, DC 20503; by Fax: 202-395-5806 (this is not a toll-free number); or by email: [email protected]. Commenters are encouraged, but not required, to send a courtesy copy of any comments by mail or courier to the U.S. Department of Labor-OASAM, Office of the Chief Information Officer, Attn: Departmental Information Compliance Management Program, Room N1301, 200 Constitution Avenue NW., Washington, DC 20210; or by email: [email protected]. FOR FURTHER INFORMATION CONTACT: Michel Smyth by telephone at 202-693- 4129, TTY 202-693-8064, (these are not toll-free numbers) or by email at [email protected]. Authority: 44 U.S.C. 3507(a)(1)(D). SUPPLEMENTARY INFORMATION: This ICR seeks to extend PRA authority for the Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds information collection. Prohibited Transaction Class Exemption 2002-12 permits cross-trades of securities between index and model-driven funds managed by investment managers and among such funds and certain large accounts to which such investment managers act as a trading adviser in connection with a specific portfolio-restructuring program. To ensure managers have complied with exemption requirements, the DOL has included in the exemption certain recordkeeping and disclosure obligations designed to safeguard plan assets by periodically providing information to plan fiduciaries, which generally must be independent about the cross- trading program. Employee Retirement Income Security Act section 408(a) authorizes this information collection. See 29 U.S.C. 1108(a). This information collection is subject to the PRA. A Federal agency generally cannot conduct or sponsor a collection of information, and the public is generally not required to respond to an information collection, unless it is approved by the OMB under the PRA and displays a currently valid OMB Control Number. In addition, notwithstanding any other provisions of law, no person shall generally be subject to penalty for failing to comply with a collection of information that does not display a valid Control Number. See 5 CFR 1320.5(a) and 1320.6. The DOL obtains OMB approval for this information collection under Control Number 1210-0115. OMB authorization for an ICR cannot be for more than three (3) years without renewal, and the current approval for this collection is scheduled to expire on October 31, 2015. The DOL seeks to extend PRA authorization for this information collection for three (3) more years, without any change to existing requirements. The DOL notes that existing information collection requirements submitted to the OMB receive a month-to-month extension while they undergo review. For additional substantive information about this ICR, see the related notice published in the Federal Register on June 17, 2015 (80 FR 34696). Interested parties are encouraged to send comments to the OMB, Office of Information and Regulatory Affairs at the address shown in the ADDRESSES section within thirty (30) days of publication of this notice in the Federal Register. In order to help ensure appropriate consideration, comments should mention OMB Control Number 1210-0115. The OMB is particularly interested in comments that:Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; Enhance the quality, utility, and clarity of the information to be collected; and Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses. Agency: DOL-EBSA. Title of Collection: Prohibited Transaction Class Exemption for Cross- [[Page 64017]] Trades of Securities by Index and Model-Driven Funds. OMB Control Number: 1210-0115. Affected Public: Private Sector--businesses or other for-profits. Total Estimated Number of Respondents: 60. Total Estimated Number of Responses: 840. Total Estimated Annual Time Burden: 855 hours. Total Estimated Annual Other Costs Burden: $800. Dated: October 18, 2015. Michel Smyth, Departmental Clearance Officer. [FR Doc. 2015-26827 Filed 10-21-15; 8:45 am] BILLING CODE 4510-29-P
![64016 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Notices
TA–W No. Subject firm Location Impact date
86,070 .......... Interplex Tech Group ................................................................ North Haven, CT. ....................
I hereby certify that the 693–8064, (these are not toll-free Control Number. In addition,
aforementioned determinations were numbers) or by email at DOL_PRA_ notwithstanding any other provisions of
issued during the period of August 25, PUBLIC@dol.gov. law, no person shall generally be subject
2015 through September 11, 2015. Submit comments about this request to penalty for failing to comply with a
These determinations are available on by mail or courier to the Office of collection of information that does not
the Department’s Web site Information and Regulatory Affairs, display a valid Control Number. See 5
www.tradeact/taa/taa_search_form.cfm Attn: OMB Desk Officer for DOL–EBSA, CFR 1320.5(a) and 1320.6. The DOL
under the searchable listing of Office of Management and Budget, obtains OMB approval for this
determinations or by calling the Office Room 10235, 725 17th Street NW., information collection under Control
of Trade Adjustment Assistance toll free Washington, DC 20503; by Fax: 202– Number 1210–0115.
at 888–365–6822. 395–5806 (this is not a toll-free OMB authorization for an ICR cannot
Signed at Washington, DC, this 16th day of number); or by email: OIRA_ be for more than three (3) years without
September 2015. submission@omb.eop.gov. Commenters renewal, and the current approval for
Hope D. Kinglock, are encouraged, but not required, to this collection is scheduled to expire on
Certifying Officer, Office of Trade Adjustment
send a courtesy copy of any comments October 31, 2015. The DOL seeks to
Assistance. by mail or courier to the U.S. extend PRA authorization for this
[FR Doc. 2015–26825 Filed 10–21–15; 8:45 am]
Department of Labor-OASAM, Office of information collection for three (3) more
the Chief Information Officer, Attn: years, without any change to existing
BILLING CODE 4510–FN–P
Departmental Information Compliance requirements. The DOL notes that
Management Program, Room N1301, existing information collection
DEPARTMENT OF LABOR 200 Constitution Avenue NW., requirements submitted to the OMB
Washington, DC 20210; or by email: receive a month-to-month extension
Office of the Secretary DOL_PRA_PUBLIC@dol.gov. while they undergo review. For
FOR FURTHER INFORMATION CONTACT: additional substantive information
Agency Information Collection Michel Smyth by telephone at 202–693– about this ICR, see the related notice
Activities; Submission for OMB 4129, TTY 202–693–8064, (these are not published in the Federal Register on
Review; Comment Request; Prohibited toll-free numbers) or by email at DOL_ June 17, 2015 (80 FR 34696).
Transaction Class Exemption for PRA_PUBLIC@dol.gov. Interested parties are encouraged to
Cross-Trades of Securities by Index send comments to the OMB, Office of
Authority: 44 U.S.C. 3507(a)(1)(D).
and Model-Driven Funds Information and Regulatory Affairs at
SUPPLEMENTARY INFORMATION: This ICR the address shown in the ADDRESSES
ACTION: Notice. seeks to extend PRA authority for the section within thirty (30) days of
Prohibited Transaction Class Exemption publication of this notice in the Federal
SUMMARY: The Department of Labor for Cross-Trades of Securities by Index
(DOL) is submitting the Employee Register. In order to help ensure
and Model-Driven Funds information appropriate consideration, comments
Benefits Security Administration collection. Prohibited Transaction Class
(EBSA) sponsored information should mention OMB Control Number
Exemption 2002–12 permits cross-trades 1210–0115. The OMB is particularly
collection request (ICR) titled, of securities between index and model-
‘‘Prohibited Transaction Class interested in comments that:
driven funds managed by investment • Evaluate whether the proposed
Exemption for Cross-Trades of managers and among such funds and collection of information is necessary
Securities by Index and Model-Driven certain large accounts to which such for the proper performance of the
Funds,’’ to the Office of Management investment managers act as a trading functions of the agency, including
and Budget (OMB) for review and adviser in connection with a specific whether the information will have
approval for continued use, without portfolio-restructuring program. To practical utility;
change, in accordance with the ensure managers have complied with • Evaluate the accuracy of the
Paperwork Reduction Act of 1995 exemption requirements, the DOL has agency’s estimate of the burden of the
(PRA), 44 U.S.C. 3501 et seq. Public included in the exemption certain proposed collection of information,
comments on the ICR are invited. recordkeeping and disclosure including the validity of the
DATES: The OMB will consider all obligations designed to safeguard plan methodology and assumptions used;
written comments that agency receives assets by periodically providing • Enhance the quality, utility, and
on or before November 23, 2015. information to plan fiduciaries, which clarity of the information to be
ADDRESSES: A copy of this ICR with generally must be independent about collected; and
applicable supporting documentation; the cross-trading program. Employee • Minimize the burden of the
including a description of the likely Retirement Income Security Act section collection of information on those who
respondents, proposed frequency of 408(a) authorizes this information are to respond, including through the
response, and estimated total burden collection. See 29 U.S.C. 1108(a). use of appropriate automated,
may be obtained free of charge from the This information collection is subject electronic, mechanical, or other
tkelley on DSK3SPTVN1PROD with NOTICES
RegInfo.gov Web site at http:// to the PRA. A Federal agency generally technological collection techniques or
www.reginfo.gov/public/do/ cannot conduct or sponsor a collection other forms of information technology,
PRAViewICR?ref_nbr=201509–1210–004 of information, and the public is e.g., permitting electronic submission of
(this link will only become active on the generally not required to respond to an responses.
day following publication of this notice) information collection, unless it is Agency: DOL–EBSA.
or by contacting Michel Smyth by approved by the OMB under the PRA Title of Collection: Prohibited
telephone at 202–693–4129, TTY 202– and displays a currently valid OMB Transaction Class Exemption for Cross-
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![Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Notices 64017
Trades of Securities by Index and Attn: OMB Desk Officer for DOL– while they undergo review. For
Model-Driven Funds. MSHA, Office of Management and additional substantive information
OMB Control Number: 1210–0115. Budget, Room 10235, 725 17th Street about this ICR, see the related notice
Affected Public: Private Sector— NW., Washington, DC 20503; by Fax: published in the Federal Register on
businesses or other for-profits. 202–395–5806 (this is not a toll-free June 4, 2015 (80 FR 31923).
Total Estimated Number of number); or by email: OIRA_
Respondents: 60. Interested parties are encouraged to
submission@omb.eop.gov. Commenters
Total Estimated Number of are encouraged, but not required, to send comments to the OMB, Office of
Responses: 840. send a courtesy copy of any comments Information and Regulatory Affairs at
Total Estimated Annual Time Burden: by mail or courier to the U.S. the address shown in the ADDRESSES
855 hours. Department of Labor-OASAM, Office of section within thirty (30) days of
Total Estimated Annual Other Costs the Chief Information Officer, Attn: publication of this notice in the Federal
Burden: $800. Departmental Information Compliance Register. In order to help ensure
Dated: October 18, 2015. Management Program, Room N1301, appropriate consideration, comments
Michel Smyth, 200 Constitution Avenue NW., should mention OMB Control Number
Departmental Clearance Officer. Washington, DC 20210; or by email: 1219–0121. The OMB is particularly
[FR Doc. 2015–26827 Filed 10–21–15; 8:45 am] DOL_PRA_PUBLIC@dol.gov. interested in comments that:
BILLING CODE 4510–29–P FOR FURTHER INFORMATION CONTACT: • Evaluate whether the proposed
Michel Smyth by telephone at 202–693– collection of information is necessary
4129, TTY 202–693–8064, (these are not for the proper performance of the
DEPARTMENT OF LABOR toll-free numbers) or by email at DOL_ functions of the agency, including
PRA_PUBLIC@dol.gov. whether the information will have
Office of the Secretary Authority: 44 U.S.C. 3507(a)(1)(D). practical utility;
Agency Information Collection SUPPLEMENTARY INFORMATION: This ICR • Evaluate the accuracy of the
Activities; Submission for OMB seeks to extend PRA authority for the agency’s estimate of the burden of the
Review; Comment Request; Safety Safety Standards for Roof Bolts in Metal proposed collection of information,
Standards for Roof Bolts in Metal and and Nonmetal Mines and Underground
including the validity of the
Nonmetal Mines and Underground Coal Mines information collection
methodology and assumptions used;
Coal Mines requirements codified in various
regulations. More specifically, this ICR • Enhance the quality, utility, and
ACTION: Notice. addresses recordkeeping requirements clarity of the information to be
associated with regulations 30 CFR collected; and
SUMMARY: The Department of Labor 56.3203, 57.3203, and 75.204(a) and
(DOL) is submitting the Mine Safety and • Minimize the burden of the
(f)(6). Federal Mine Safety & Health Act collection of information on those who
Health Administration (MSHA) of 1977 sections 103(a) and 103(h)
sponsored information collection are to respond, including through the
authorize this information collection. use of appropriate automated,
request (ICR) titled, ‘‘Safety Standards See 30 U.S.C. 813(a) and 30 U.S.C.
for Roof Bolts in Metal and Nonmetal electronic, mechanical, or other
813(h). technological collection techniques or
Mines and Underground Coal Mines,’’ This information collection is subject
to the Office of Management and Budget to the PRA. A Federal agency generally other forms of information technology,
(OMB) for review and approval for cannot conduct or sponsor a collection e.g., permitting electronic submission of
continued use, without change, in of information, and the public is responses.
accordance with the Paperwork generally not required to respond to an Agency: DOL–MSHA.
Reduction Act of 1995 (PRA), 44 U.S.C. information collection, unless it is Title of Collection: Safety Standards
3501 et seq. Public comments on the approved by the OMB under the PRA
ICR are invited. for Roof Bolts in Metal and Nonmetal
and displays a currently valid OMB Mines and Underground Coal Mines.
DATES: The OMB will consider all Control Number. In addition,
written comments that agency receives notwithstanding any other provisions of OMB Control Number: 1219–0121.
on or before November 23, 2015. law, no person shall generally be subject Affected Public: Private Sector—
ADDRESSES: A copy of this ICR with to penalty for failing to comply with a businesses or other for-profits.
applicable supporting documentation; collection of information that does not Total Estimated Number of
including a description of the likely display a valid Control Number. See 5 Respondents: 844.
respondents, proposed frequency of CFR 1320.5(a) and 1320.6. The DOL
response, and estimated total burden obtains OMB approval for this Total Estimated Number of
may be obtained free of charge from the information collection under Control Responses: 87,674.
RegInfo.gov Web site at http:// Number 1219–0121. Total Estimated Annual Time Burden:
www.reginfo.gov/public/do/ OMB authorization for an ICR cannot 537 hours.
PRAViewICR?ref_nbr=201507-1219-006 be for more than three (3) years without
Total Estimated Annual Other Costs
(this link will only become active on the renewal, and the current approval for
this collection is scheduled to expire on Burden: $0.
day following publication of this notice)
or by contacting Michel Smyth by October 31, 2015. The DOL seeks to Dated: October 17, 2015.
tkelley on DSK3SPTVN1PROD with NOTICES
telephone at 202–693–4129, TTY 202– extend PRA authorization for this Michel Smyth,
693–8064, (these are not toll-free information collection for three (3) more Departmental Clearance Officer.
numbers) or by email at DOL_PRA_ years, without any change to existing [FR Doc. 2015–26829 Filed 10–21–15; 8:45 am]
PUBLIC@dol.gov. requirements. The DOL notes that
BILLING CODE 4510–43–P
Submit comments about this request existing information collection
by mail or courier to the Office of requirements submitted to the OMB
Information and Regulatory Affairs, receive a month-to-month extension
VerDate Sep<11>2014 18:05 Oct 21, 2015 Jkt 238001 PO 00000 Frm 00061 Fmt 4703 Sfmt 9990 E:\FR\FM\22OCN1.SGM 22OCN1](https://thefederalregister.org/doc/80_FR_64220/page/2.svg)
Document Created: 2015-12-14 15:33:46
Document Modified: 2015-12-14 15:33:46
| 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 | |
| Action | Notice. | |
| Dates | The OMB will consider all written comments that agency receives on or before November 23, 2015. | |
| Contact | Michel Smyth by telephone at 202-693- 4129, TTY 202-693-8064, (these are not toll-free numbers) or by email at [email protected] | |
| FR Citation | 80 FR 64016 |
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