81 FR 10716 - Agency Information Collection Activities: Information Collection Renewal; Comment Request; Municipal Securities Dealers and Government Securities Brokers and Dealers-Registration and Withdrawal
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency Federal Register Volume 81, Issue 40 (March 1, 2016)
Office of the Comptroller of the Currency
Federal Register Volume 81, Issue 40 (March 1, 2016)
| Page Range | 10716-10717 | |
| FR Document | 2016-04354 |
[Federal Register Volume 81, Number 40 (Tuesday, March 1, 2016)] [Notices] [Pages 10716-10717] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-04354] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency Agency Information Collection Activities: Information Collection Renewal; Comment Request; Municipal Securities Dealers and Government Securities Brokers and Dealers--Registration and Withdrawal AGENCY: Office of the Comptroller of the Currency (OCC), Treasury. ACTION: Notice and request for comment. ----------------------------------------------------------------------- SUMMARY: The OCC, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on a continuing information collection, as required by the Paperwork Reduction Act of 1995. Under the Paperwork Reduction Act of 1995 (the PRA), Federal Agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information and to allow 60 days for public comment in response to the notice. In accordance with the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35), the OCC may not conduct or sponsor, and the respondent is not required to respond to, an information collection unless it displays a currently valid Office of Management and Budget (OMB) control number. The OCC is soliciting comment concerning the renewal of its information collection titled, ''Municipal Securities Dealers and Government Securities Brokers and Dealers--Registration and Withdrawal.'' DATES: You should submit written comments by May 2, 2016. ADDRESSES: Because paper mail in the Washington, DC area and at the OCC is subject to delay, commenters are encouraged to submit comments by email, if possible. Comments may be sent to: Legislative and Regulatory Activities Division, Office of the Comptroller of the Currency, Mail Stop 9W-11, Attention: 1557-0184, Washington, DC 20219. In addition, comments may be sent by fax to (571) 465-4326 or by electronic mail to [email protected]. You may personally inspect and photocopy comments at the OCC, 400 7th Street SW., Washington, DC 20219. For security reasons, the OCC requires that visitors make an appointment to inspect comments. You may do so by calling (202) 649-6700 or, for persons who are deaf or hard of hearing, TTY, (202) 649-5597. Upon arrival, visitors will be required to present valid government-issued photo identification and to submit to security screening in order to inspect and photocopy comments. All comments received, including attachments and other supporting materials, are part of the public record and subject to public disclosure. Do not include any information in your comment or supporting materials that you consider confidential or inappropriate for public disclosure. FOR FURTHER INFORMATION CONTACT: Shaquita Merritt, Clearance Officer, (202) 649-5490 or, for persons who are deaf or hard of hearing, TTY, (202) 649-5597, Legislative and Regulatory Activities Division, Office of the Comptroller of the Currency, 400 7th Street SW., Washington, DC 20219. SUPPLEMENTARY INFORMATION: Under the PRA, Federal agencies must obtain approval from the OMB for each collection of information they conduct or sponsor. ``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) to include obtaining, causing to be obtained, soliciting, or requiring the disclosure to an Agency of information by means of identical questions posed to, or identical reporting, recordkeeping, or disclosure requirements imposed on, ten or more persons. Section 3506(c)(2)(A) of the PRA requires Federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information, including each proposed extension or revision of an existing collection of information, before submitting the collection to OMB for approval. In compliance with the PRA, the OCC is publishing notice of the proposed extension of the collection of information set forth in this document. The OCC is proposing to extend OMB approval of the following information collection: Title: Municipal Securities Dealers and Government Securities Brokers and Dealers--Registration and Withdrawal. OMB Control No.: 1557-0184. Form Numbers: MSD, MSDW,\1\ MSD-4, MSD-5, G-FIN, G-FINW, GFIN-4 and GFIN-5.\2\ --------------------------------------------------------------------------- \1\ The Securities and Exchange Commission (SEC) maintains collections for the MSD and MSDW under OMB Control Nos. 3235-0083 and 3235-0087, however, there is a requirement that these be filed with the OCC, which is covered by OMB Control No. 1557-0184. \2\ The Department of the Treasury maintains collections for the G-FIN-4 and G-FIN-5 under OMB Control No. 1535-0089, however there is a requirement that they be filed with the OCC, which is covered by OMB Control No. 1557-0184. --------------------------------------------------------------------------- Abstract: This information collection is required to satisfy the requirements of section 15B \3\ and section 15C \4\ of the Securities Exchange Act of 1934, which require, in part, any national bank or Federal savings association that acts as a government securities broker/dealer or a municipal securities dealer to file the appropriate form with the OCC to inform the agency of its broker/dealer activities. The OCC uses this information to determine which national banks and Federal savings associations are acting as government securities broker/dealers and municipal securities dealers and to monitor entry into and exit from these activities by institutions and registered persons. The OCC also uses the information in planning national bank and Federal savings association examinations. --------------------------------------------------------------------------- \3\ 15 U.S.C. 78o-4. \4\ 15 U.S.C. 78o-5. --------------------------------------------------------------------------- Type of Review: Renewal of a currently approved collection. The collection has not changed. The OCC asks only that OMB approve its revised estimates and extend its approval of the forms. Affected Public: Businesses or other for-profit; individuals. Estimated Number of Respondents: 19 (8 government securities dealers; 1 municipal securities dealer; and 10 municipal and government securities dealers). Estimated Number of Responses: 802. Frequency of Response: On occasion. Estimated Annual Burden: 735.5 burden hours. Comments submitted in response to this notice will be summarized and included in the request for OMB approval. All comments will become a [[Page 10717]] matter of public record. Comments are invited on: (a) Whether the collection of information is necessary for the proper performance of the functions of the OCC, including whether the information has practical utility; (b) The accuracy of the OCC's estimate of the information collection burden; (c) Ways to enhance the quality, utility, and clarity of the information to be collected; (d) Ways to minimize the burden of the collection on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) Estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information. Dated: February 24, 2016. Mary Hoyle Gottlieb, Regulatory Specialist, Legislative & Regulatory Activities Division. [FR Doc. 2016-04354 Filed 2-29-16; 8:45 am] BILLING CODE 4810-33-P
![10716 Federal Register / Vol. 81, No. 40 / Tuesday, March 1, 2016 / Notices
noncompliance and to remedy the titled, ’’Municipal Securities Dealers for approval. In compliance with the
defect or noncompliance. Therefore, any and Government Securities Brokers and PRA, the OCC is publishing notice of
decision on this petition only applies to Dealers—Registration and Withdrawal.’’ the proposed extension of the collection
the subject vehicles that Volkswagen no DATES: You should submit written of information set forth in this
longer controlled at the time it comments by May 2, 2016. document.
determined that the noncompliance ADDRESSES: Because paper mail in the The OCC is proposing to extend OMB
existed. However, any decision on this Washington, DC area and at the OCC is approval of the following information
petition does not relieve vehicle subject to delay, commenters are collection:
distributors and dealers of the encouraged to submit comments by Title: Municipal Securities Dealers
prohibitions on the sale, offer for sale, email, if possible. Comments may be and Government Securities Brokers and
or introduction or delivery for sent to: Legislative and Regulatory Dealers—Registration and Withdrawal.
introduction into interstate commerce of Activities Division, Office of the OMB Control No.: 1557–0184.
the noncompliant vehicles under their Comptroller of the Currency, Mail Stop Form Numbers: MSD, MSDW,1 MSD–
control after Volkswagen notified them 9W–11, Attention: 1557–0184, 4, MSD–5, G–FIN, G–FINW, GFIN–4
that the subject noncompliance existed. Washington, DC 20219. In addition, and GFIN–5.2
comments may be sent by fax to (571) Abstract: This information collection
Authority: 49 U.S.C. 30118, 30120: is required to satisfy the requirements of
delegations of authority at 49 CFR 1.95 and 465–4326 or by electronic mail to
501.8. prainfo@occ.treas.gov. You may section 15B 3 and section 15C 4 of the
personally inspect and photocopy Securities Exchange Act of 1934, which
Jeffrey M. Giuseppe, require, in part, any national bank or
comments at the OCC, 400 7th Street
Director, Office of Vehicle Safety Compliance. SW., Washington, DC 20219. For Federal savings association that acts as
[FR Doc. 2016–04371 Filed 2–29–16; 8:45 am] security reasons, the OCC requires that a government securities broker/dealer or
BILLING CODE 4910–59–P visitors make an appointment to inspect a municipal securities dealer to file the
comments. You may do so by calling appropriate form with the OCC to
(202) 649–6700 or, for persons who are inform the agency of its broker/dealer
DEPARTMENT OF THE TREASURY deaf or hard of hearing, TTY, (202) 649– activities. The OCC uses this
5597. Upon arrival, visitors will be information to determine which
Office of the Comptroller of the required to present valid government- national banks and Federal savings
Currency issued photo identification and to associations are acting as government
submit to security screening in order to securities broker/dealers and municipal
Agency Information Collection inspect and photocopy comments. securities dealers and to monitor entry
Activities: Information Collection All comments received, including into and exit from these activities by
Renewal; Comment Request; attachments and other supporting institutions and registered persons. The
Municipal Securities Dealers and materials, are part of the public record OCC also uses the information in
Government Securities Brokers and and subject to public disclosure. Do not planning national bank and Federal
Dealers—Registration and Withdrawal include any information in your savings association examinations.
comment or supporting materials that Type of Review: Renewal of a
AGENCY: Office of the Comptroller of the currently approved collection. The
Currency (OCC), Treasury. you consider confidential or
inappropriate for public disclosure. collection has not changed. The OCC
ACTION: Notice and request for asks only that OMB approve its revised
FOR FURTHER INFORMATION CONTACT:
comment. estimates and extend its approval of the
Shaquita Merritt, Clearance Officer,
(202) 649–5490 or, for persons who are forms.
SUMMARY: The OCC, as part of its Affected Public: Businesses or other
continuing effort to reduce paperwork deaf or hard of hearing, TTY, (202) 649–
for-profit; individuals.
and respondent burden, invites the 5597, Legislative and Regulatory Estimated Number of Respondents: 19
general public and other Federal Activities Division, Office of the (8 government securities dealers; 1
agencies to take this opportunity to Comptroller of the Currency, 400 7th municipal securities dealer; and 10
comment on a continuing information Street SW., Washington, DC 20219. municipal and government securities
collection, as required by the Paperwork SUPPLEMENTARY INFORMATION: Under the dealers).
Reduction Act of 1995. PRA, Federal agencies must obtain Estimated Number of Responses: 802.
Under the Paperwork Reduction Act approval from the OMB for each Frequency of Response: On occasion.
of 1995 (the PRA), Federal Agencies are collection of information they conduct Estimated Annual Burden: 735.5
required to publish notice in the or sponsor. ‘‘Collection of information’’ burden hours.
Federal Register concerning each is defined in 44 U.S.C. 3502(3) and 5 Comments submitted in response to
proposed collection of information, CFR 1320.3(c) to include obtaining, this notice will be summarized and
including each proposed extension of an causing to be obtained, soliciting, or included in the request for OMB
existing collection of information and to requiring the disclosure to an Agency of approval. All comments will become a
allow 60 days for public comment in information by means of identical
response to the notice. questions posed to, or identical 1 The Securities and Exchange Commission (SEC)
In accordance with the requirements reporting, recordkeeping, or disclosure maintains collections for the MSD and MSDW
of the Paperwork Reduction Act of 1995 requirements imposed on, ten or more under OMB Control Nos. 3235–0083 and 3235–
asabaliauskas on DSK5VPTVN1PROD with NOTICES
0087, however, there is a requirement that these be
(44 U.S.C. chapter 35), the OCC may not persons. Section 3506(c)(2)(A) of the filed with the OCC, which is covered by OMB
conduct or sponsor, and the respondent PRA requires Federal agencies to Control No. 1557–0184.
is not required to respond to, an provide a 60-day notice in the Federal 2 The Department of the Treasury maintains
information collection unless it displays Register concerning each proposed collections for the G–FIN–4 and G–FIN–5 under
OMB Control No. 1535–0089, however there is a
a currently valid Office of Management collection of information, including requirement that they be filed with the OCC, which
and Budget (OMB) control number. The each proposed extension or revision of is covered by OMB Control No. 1557–0184.
OCC is soliciting comment concerning an existing collection of information, 3 15 U.S.C. 78o–4.
the renewal of its information collection before submitting the collection to OMB 4 15 U.S.C. 78o–5.
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![Federal Register / Vol. 81, No. 40 / Tuesday, March 1, 2016 / Notices 10717
matter of public record. Comments are instructions on the Web site for Service Providers to gather certain
invited on: submitting comments. personal data about authorized travelers
(a) Whether the collection of Fax: Attn: Request for Comments and provide it to licensed Carrier
information is necessary for the proper (Persons Providing Travel and Carrier Service Providers, which then
performance of the functions of the Services to Cuba) 202–622–1657. submitted this and certain other
OCC, including whether the information Mail: Attn: Request for Comments information to OFAC. OFAC now
has practical utility; (Persons Providing Travel and Carrier requires only that persons subject to
(b) The accuracy of the OCC’s Services to Cuba), Office of Foreign U.S. jurisdiction providing services
estimate of the information collection Assets Control, Department of the authorized pursuant to 31 CFR 515.572
burden; Treasury, 1500 Pennsylvania Avenue retain for at least five years from the
(c) Ways to enhance the quality, NW., Washington, DC 20220. date of the transaction a certification
utility, and clarity of the information to Instructions: All submissions received from each customer indicating the
be collected; must include the agency name and the section of the CACR that authorizes the
(d) Ways to minimize the burden of Federal Register Doc. number that person to travel to Cuba. In the case of
the collection on respondents, including appears at the end of this document. a customer traveling under a specific
through the use of automated collection Comments received will be made license, a copy of the license must be
techniques or other forms of information available to the public via maintained on file with the person
technology; and regulations.gov or upon request, without subject to U.S. jurisdiction providing
(e) Estimates of capital or start-up change and including any personal services authorized pursuant to 31 CFR
costs and costs of operation, information provided. 515.572. These records must be
maintenance, and purchase of services furnished to OFAC on demand.
FOR FURTHER INFORMATION CONTACT: The
to provide information. Type of Review: Revision of a
Department of the Treasury’s Office of
Dated: February 24, 2016. Foreign Assets Control: Assistant currently approved collection.
Mary Hoyle Gottlieb, Director for Licensing, tel.: 202–622– Affected Public: Individuals,
Regulatory Specialist, Legislative & 2480, Assistant Director for Regulatory households, businesses, banking
Regulatory Activities Division. Affairs, tel.: 202–622–4855, Assistant institutions.
[FR Doc. 2016–04354 Filed 2–29–16; 8:45 am] Director for Sanctions Compliance & Estimated Number of Respondents:
BILLING CODE 4810–33–P Evaluation, tel.: 202–622–2490; or the 1,750,000.
Department of the Treasury’s Office of Estimated Time per Respondent: 1
the Chief Counsel (Foreign Assets minute.
DEPARTMENT OF THE TREASURY Control), Office of the General Counsel, Estimated Total Annual Burden
tel.: 202–622–2410. Hours: 29,167.
Office of Foreign Assets Control SUPPLEMENTARY INFORMATION: The following paragraph applies to all
Proposed Collection; Comment Title: Persons Providing Travel and of the collections of information covered
Request for Providers of Travel and Carrier Services Submission. by this notice:
Carrier Services Submission OMB Number: 1505–0168. An agency may not conduct or
Abstract: The information is required sponsor, and a person is not required to
AGENCY: Office of Foreign Assets of persons subject to the jurisdiction of respond to, a collection of information
Control, Treasury. the United States who have been unless the collection of information
ACTION: Notice and request for authorized by OFAC to provide travel displays a valid OMB control number.
comments. and carrier services in connection with Books or records relating to a collection
travel-related transactions involving of information must be retained for five
SUMMARY: The Department of the Cuba pursuant to the general licenses in years.
Treasury, as part of its continuing effort section 515.572 of the Cuban Assets
to reduce paperwork and respondent Request for Comments
Control Regulations, 31 CFR part 515
burden, invites the general public and (CACR). Persons providing services Comments submitted in response to
other federal agencies to comment on authorized pursuant to 31 CFR 515.572 this notice will be summarized and/or
proposed and/or continuing information are required to retain for at least five included in the request for OMB
collections, as required by the years from the date of the transaction approval. All comments will become a
Paperwork Reduction Act of 1995, certain documentation from customers matter of public record. Comments are
Public Law 104–13 (44 U.S.C. indicating the source of their invited on: (a) Whether the collection of
3506(c)(2)(A)). Currently, the Office of authorization to travel to Cuba, which information is necessary for the proper
Foreign Assets Control (OFAC) within must be furnished to OFAC on demand. performance of the functions of the
the Department of the Treasury is Current Actions: As a result of policy agency, including whether the
soliciting comments concerning changes, which were implemented in information has practical utility; (b) the
information collection requirements for regulatory changes published by OFAC accuracy of the agency’s estimate of the
OFAC’s Provider of Travel and Carrier on January 16, 2015 (80 FR 2291), burden of the collection of information,
Services information collection, which September 21, 2015 (80 FR 56915), and including the validity of the
are contained within the Cuban Assets January 27, 2016 (81 FR 4583), OFAC methodology and assumptions used; (c)
Control Regulations set forth at 31 CFR modified the information collection ways to enhance the quality, utility, and
asabaliauskas on DSK5VPTVN1PROD with NOTICES
part 515. requirements on persons providing clarity of the information to be
DATES: Written comments must be travel and carrier services for the collected; (d) ways to minimize the
submitted on or before May 2, 2016 to collection of that information as burden of the collection of information
be assured of consideration. previously approved by the Office of on respondents, including through the
ADDRESSES: You may submit comments Management and Budget (OMB) (No. use of automated collection techniques
by any of the following methods: 1505–0168). As to information or other forms of information
Federal eRulemaking Portal: collection requirements, OFAC technology; and (e) estimates of capital
www.regulations.gov. Follow the previously required licensed Travel or start-up costs and costs of operation,
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Document Created: 2018-02-02 14:59:54
Document Modified: 2018-02-02 14:59:54
| 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 and request for comment. | |
| Dates | You should submit written comments by May 2, 2016. | |
| Contact | Shaquita Merritt, Clearance Officer, (202) 649-5490 or, for persons who are deaf or hard of hearing, TTY, (202) 649-5597, Legislative and Regulatory Activities Division, Office of the Comptroller of the Currency, 400 7th Street SW., Washington, DC 20219. | |
| FR Citation | 81 FR 10716 |
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