81 FR 28928 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 90 (May 10, 2016)

Page Range		28928-28929
FR Document		2016-10887

Federal Register, Volume 81 Issue 90 (Tuesday, May 10, 2016)

[Federal Register Volume 81, Number 90 (Tuesday, May 10, 2016)]
[Notices]
[Pages 28928-28929]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-10887]


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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,

[[Page 28929]]

100 F Street NE., Washington, DC 20549-2736.

Extension:
    Rule 19d-3; SEC File No. 270-245, OMB Control No. 3235-0204.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the 
previously approved collection of information provided for in Rule 19d-
3 (17 CFR 240.19d-3) under the Securities Exchange Act of 1934 (17 
U.S.C. 78a et seq.).
    Rule 19d-3 prescribes the form and content of applications to the 
Commission by persons seeking Commission review of final disciplinary 
actions against them taken by self-regulatory organizations (``SROs'') 
for which the Commission is the appropriate regulatory agency. The 
Commission uses the information provided in the application filed 
pursuant to Rule 19d-3 to review final actions taken by SROs including: 
(1) final disciplinary sanctions; (2) denial or conditioning of 
membership, participation or association; and (3) prohibitions or 
limitations of access to services offered by a SRO or member thereof.
    It is estimated that approximately six respondents will utilize 
this application procedure annually, with a total burden of 
approximately 108 hours, for all respondents to complete all 
submissions. This figure is based upon past submissions. The Commission 
staff estimates that each respondent will submit approximately one 
response and the average number of hours necessary to comply with the 
requirements of Rule 19d-3 is approximately eighteen hours. The average 
cost per hour, to complete each submission, is approximately $101. 
Therefore, it is estimated the internal labor cost of compliance for 
all respondents is approximately $10,908 (6 submissions x 18 hours per 
response x $101 per hour).
    The filing of an application pursuant to Rule 19d-3 is voluntary 
and does not involve the collection of confidential information. Rule 
19d-3 does not have a record retention requirement.
    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.
    The public may view 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 C. Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or by sending an 
email to: [email protected]. Comments must be submitted to OMB within 
30 days of this notice.

    Dated: May 4, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-10887 Filed 5-9-16; 8:45 am]
 BILLING CODE 8011-01-P

28928 Federal Register / Vol. 81, No. 90 / Tuesday, May 10, 2016 / Notices

12. The expenses, if any, associated any other matter under either the Act or derivative securities products traded on
with acquiring, holding or disposing of applicable State law affecting the the SROs that are not deemed to be
any securities acquired in a Co- Board’s composition, size or manner of proposed rule changes and to determine
Investment Transaction (including, election. whether an SRO has properly availed
without limitation, the expenses of the For the Commission, by the Division of itself of the permission granted by Rule
distribution of any such securities Investment Management, under delegated 19b–4(e). The Commission reviews SRO
registered for sale under the Securities authority. compliance with Rule 19b-4(e) through
Act) will, to the extent not payable by Robert W. Errett, its routine inspections of the SROs.
the Advisers under their respective Deputy Secretary. The respondents to the collection of
investment advisory agreements with [FR Doc. 2016–10889 Filed 5–9–16; 8:45 am] information are SROs (as defined by the
Affiliated Funds and the Regulated BILLING CODE 8011–01–P Act), all of which are national securities
Funds, be shared by the Regulated exchanges. As of January, 2016 there are
Funds and the Affiliated Funds in eighteen entities registered as national
proportion to the relative amounts of the SECURITIES AND EXCHANGE securities exchanges with the
securities held or to be acquired or COMMISSION Commission. The Commission receives
disposed of, as the case may be. an average total of 2,088 responses per
13. Any transaction fee 12 (including Submission for OMB Review; year, which corresponds to an estimated
break-up or commitment fees but Comment Request annual response burden of 2,088 hours.
excluding broker’s fees contemplated At an average hourly cost of $64, the
Upon Written Request, Copies Available
section 17(e) or 57(k) of the Act, as aggregate related internal cost of
From: Securities and Exchange
applicable), received in connection with compliance with Rule 19b–4(e) is
Commission, Office of FOIA Services,
a Co-Investment Transaction will be $133,632 (2,088 burden hours
100 F Street NE., Washington, DC
distributed to the participating multiplied by $64/hour).
20549–2736.
Regulated Funds and Affiliated Funds Compliance with Rule 19b-4(e) is
on a pro rata basis based on the amounts Extension:
Rule 19b–4(e) and Form 19b–4(e); SEC File
mandatory. Information received in
they invested or committed, as the case response to Rule 19b-4(e) shall not be
No. 270–447, OMB Control No. 3235–
may be, in such Co-Investment 0504. kept confidential; the information
Transaction. If any transaction fee is to collected is public information.
be held by an Adviser pending Notice is hereby given that pursuant
An agency may not conduct or
consummation of the transaction, the to the Paperwork Reduction Act of 1995
sponsor, and a person is not required to
fee will be deposited into an account (44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission respond to, a collection of information
maintained by such Adviser at a bank or under the PRA unless it displays a
banks having the qualifications (‘‘Commission’’) has submitted to the
Office of Management and Budget currently valid OMB control number.
prescribed in section 26(a)(1) of the Act, The public may view background
and the account will earn a competitive (‘‘OMB’’) a request for approval of
extension of the previously approved documentation for this information
rate of interest that will also be divided collection at the following Web site,
pro rata among the participating collection of information provided for in
Rule 19b–4(e) (17 CFR 240.19b–4(e)) www.reginfo.gov. Comments should be
Regulated Funds and Affiliated Funds directed to: (i) Desk Officer for the
based on the amounts they invest in under the Securities Exchange Act of
1934 (15 U.S.C 78a et seq.) (the ‘‘Act’’). Securities and Exchange Commission,
such Co-Investment Transaction. None Office of Information and Regulatory
Rule 19b–4(e) permits a self-
of the Affiliated Funds, the Advisers, Affairs, Office of Management and
regulatory organization (‘‘SRO’’) to list
the other Regulated Funds or any Budget, Room 10102, New Executive
and trade a new derivative securities
affiliated person of the Regulated Funds Office Building, Washington, DC 20503,
product without submitting a proposed
or Affiliated Funds will receive or by sending an email to: Shagufta_
rule change pursuant to Section 19(b) of
additional compensation or Ahmed@omb.eop.gov; and (ii) Pamela
the Act (15 U.S.C. 78s(b)), so long as
remuneration of any kind as a result of Dyson, Director/Chief Information
such product meets the criteria of Rule
or in connection with a Co-Investment Officer, Securities and Exchange
19b–4(e) under the Act. However, in
Transaction (other than (a) in the case Commission, c/o Remi Pavlik-Simon,
order for the Commission to maintain an
of the Regulated Funds and the accurate record of all new derivative 100 F Street NE., Washington, DC 20549
Affiliated Funds, the pro rata securities products traded on the SROs, or send an email to: PRA_Mailbox@
transaction fees described above and Rule 19b–4(e) requires an SRO to file a sec.gov. Comments must be submitted to
fees or other compensation described in summary form, Form 19b–4(e), to notify OMB within 30 days of this notice.
condition 2(c)(iii)(C); and (b) in the case the Commission when the SRO begins
of an Adviser, investment advisory fees Dated: May 4, 2016.
trading a new derivative securities Robert W. Errett,
paid in accordance with the agreement product that is not required to be
between the Adviser and the Regulated Deputy Secretary.
submitted as a proposed rule change to
Fund or Affiliated Fund. the Commission. Form 19b–4(e) should
[FR Doc. 2016–10886 Filed 5–9–16; 8:45 am]
14. If the Holders own in the aggregate be submitted within five business days BILLING CODE 8011–01–P
more than 25% of the Shares of a after an SRO begins trading a new
Regulated Fund, then the Holders will derivative securities product that is not
asabaliauskas on DSK3SPTVN1PROD with NOTICES

vote such Shares as directed by an SECURITIES AND EXCHANGE
required to be submitted as a proposed
independent third party when voting on COMMISSION
rule change. In addition, Rule 19b–4(e)
(1) the election of directors; (2) the requires an SRO to maintain, on-site, a
removal of one or more directors; or (3) Submission for OMB Review;
copy of Form 19b–4(e) for a prescribed Comment Request
12 Applicants are not requesting and the staff is
period of time.
not providing any relief for transaction fees
This collection of information is Upon Written Request, Copies Available
received in connection with any Co-Investment designed to allow the Commission to From: Securities and Exchange
Transaction. maintain an accurate record of all new Commission, Office of FOIA Services,

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Federal Register / Vol. 81, No. 90 / Tuesday, May 10, 2016 / Notices 28929

100 F Street NE., Washington, DC directed to: (i) Desk Officer for the DEPARTMENT OF TRANSPORTATION
20549–2736. Securities and Exchange Commission,
Extension: Office of Information and Regulatory Federal Aviation Administration
Rule 19d–3; SEC File No. 270–245, OMB Affairs, Office of Management and
Control No. 3235–0204. Budget, Room 10102, New Executive Agency Information Collection
Office Building, Washington, DC 20503 Activities: Requests for Comments;
Notice is hereby given that pursuant Clearance of Renewed Approval of
or by sending an email to: Shagufta_
to the Paperwork Reduction Act of 1995 Information Collection: Small
Ahmed@omb.eop.gov; and (ii) Pamela C.
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the Unmanned Aircraft Registration
Dyson, Director/Chief Information
Securities and Exchange Commission System (sUAS)
Officer, Securities and Exchange
(‘‘Commission’’) has submitted to the
Commission, c/o Remi Pavlik-Simon, AGENCY: Federal Aviation
Office of Management and Budget
100 F Street NE., Washington, DC Administration (FAA), DOT.
(‘‘OMB’’) a request for approval of
20549, or by sending an email to: PRA_
extension of the previously approved ACTION: Notice and request for
Mailbox@sec.gov. Comments must be
collection of information provided for in comments.
submitted to OMB within 30 days of
Rule 19d–3 (17 CFR 240.19d–3) under
this notice. SUMMARY: In accordance with the
the Securities Exchange Act of 1934 (17
U.S.C. 78a et seq.). Dated: May 4, 2016. Paperwork Reduction Act of 1995, FAA
Rule 19d–3 prescribes the form and Robert W. Errett, invites public comments about our
content of applications to the Deputy Secretary. intention to request the Office of
Commission by persons seeking [FR Doc. 2016–10887 Filed 5–9–16; 8:45 am] Management and Budget (OMB)
Commission review of final disciplinary BILLING CODE 8011–01–P
approval to renew an information
actions against them taken by self- collection. Aircraft registration is
regulatory organizations (‘‘SROs’’) for necessary to ensure personal
which the Commission is the SECURITIES AND EXCHANGE accountability among all users of the
appropriate regulatory agency. The COMMISSION national airspace system. Aircraft
Commission uses the information registration also allows the FAA and
provided in the application filed [File No. 500–1] law enforcement agencies to address
pursuant to Rule 19d–3 to review final non-compliance by providing the means
In the Matter of Striper Energy, Inc.;
actions taken by SROs including: (1) by which to identify an aircraft’s owner
Order of Suspension of Trading
final disciplinary sanctions; (2) denial and operator.
or conditioning of membership, May 6, 2016. DATES: Written comments should be
participation or association; and (3) It appears to the Securities and submitted by June 9, 2016.
prohibitions or limitations of access to Exchange Commission that there is a ADDRESSES: Interested persons are
services offered by a SRO or member lack of current and accurate information invited to submit written comments on
thereof. concerning the securities of Striper the proposed information collection to
It is estimated that approximately six Energy, Inc. (‘‘Striper’’) due to questions the Office of Information and Regulatory
respondents will utilize this application regarding the accuracy and adequacy of Affairs, Office of Management and
procedure annually, with a total burden publicly disseminated information in Budget. Comments should be addressed
of approximately 108 hours, for all the company’s December 31, 2015 to the attention of the Desk Officer,
respondents to complete all annual report and accompanying Department of Transportation/FAA, and
submissions. This figure is based upon financials provided to OTC Markets sent via electronic mail to oira_
past submissions. The Commission staff Group, Inc. (‘‘OTC Markets’’) submission@omb.eop.gov, or faxed to
estimates that each respondent will concerning, among other things, (202) 395–6974, or mailed to the Office
submit approximately one response and Striper’s operations and financial of Information and Regulatory Affairs,
the average number of hours necessary obligations. Striper is a Florida Office of Management and Budget,
to comply with the requirements of Rule corporation based in Addison, Texas. Its Docket Library, Room 10102, 725 17th
19d–3 is approximately eighteen hours. securities are quoted on OTC Link Street NW., Washington, DC 20503.
The average cost per hour, to complete (previously ‘‘Pink Sheets’’), operated by Public Comments Invited: You are
each submission, is approximately $101. OTC Markets, under the ticker symbol asked to comment on any aspect of this
Therefore, it is estimated the internal ‘‘CPCCD.’’ information collection, including (a)
labor cost of compliance for all The Commission is of the opinion that Whether the proposed collection of
respondents is approximately $10,908 (6 the public interest and the protection of information is necessary for FAA’s
submissions × 18 hours per response × investors require a suspension of trading performance; (b) the accuracy of the
$101 per hour). in the securities of the above-listed estimated burden; (c) ways for FAA to
The filing of an application pursuant company. enhance the quality, utility and clarity
to Rule 19d–3 is voluntary and does not Therefore, it is ordered, pursuant to of the information collection; and (d)
involve the collection of confidential Section 12(k) of the Securities Exchange ways that the burden could be
information. Rule 19d–3 does not have Act of 1934, that trading in the minimized without reducing the quality
a record retention requirement. securities of the above-listed company is of the collected information. The agency
An agency may not conduct or
asabaliauskas on DSK3SPTVN1PROD with NOTICES

suspended for the period from 9:30 a.m. will summarize and/or include your
sponsor, and a person is not required to EDT on May 6, 2016, through 11:59 p.m. comments in the request for OMB’s
respond to, a collection of information EDT on May 19, 2016. clearance of this information collection.
under the PRA unless it displays a
By the Commission. FOR FURTHER INFORMATION CONTACT:
currently valid OMB control number.
The public may view background Lynn M. Powalski, Ronda Thompson at (202) 267–1416, or
documentation for this information Deputy Secretary. by email at: Ronda.Thompson@faa.gov.
collection at the following Web site: [FR Doc. 2016–11065 Filed 5–6–16; 4:15 pm] SUPPLEMENTARY INFORMATION:
www.reginfo.gov. Comments should be BILLING CODE 8011–01–P OMB Control Number: 2120–0765.

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Document Created: 2016-05-10 05:18:27
Document Modified: 2016-05-10 05:18:27

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		81 FR 28928