81 FR 73449 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 206 (October 25, 2016)

Page Range		73449-73450
FR Document		2016-25708

Federal Register, Volume 81 Issue 206 (Tuesday, October 25, 2016)

[Federal Register Volume 81, Number 206 (Tuesday, October 25, 2016)]
[Notices]
[Pages 73449-73450]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-25708]


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

Extension:

[[Page 73450]]

    Securities Rule 477, SEC File No. 270-493, OMB Control No. 3235-
0550.

    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 (``Commission'') has submitted to the Office of Management 
and Budget this request for extension of the previously approved 
collection of information discussed below.
    Rule 477 (17 CFR 230.477) under the Securities Act of 1933 (15 
U.S.C. 77a et seq.) sets forth procedures for withdrawing a 
registration statement, including any amendments or exhibits to the 
registration statement. The rule provides that if an issuer intends to 
rely on the safe harbor contained in Securities Act Rule 155 to conduct 
an unregistered private offering of securities, the issuer must 
affirmatively state in the withdrawal application that it plans to 
undertake a subsequent private offering of its securities. Without this 
statement, the Commission would not be able to monitor a company's 
reliance on, and compliance with, Securities Act Rule 155(c). All 
information submitted to the Commission under Securities Act Rule 477 
is available to the public for review. Information provided under 
Securities Act Rule 477 is mandatory. The information is required on 
occasion. We estimate that approximately 327 issuers will file 
Securities Act Rule 477 submissions annually at an estimated one hour 
per response for a total annual burden of approximately 327 hours. We 
estimate that 100% of the reporting burden is prepared by the issuer.
    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: October 18, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-25708 Filed 10-24-16; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Notices 73449

correspondence from the NRC 2010 (ADAMS Accession No. • The class of communications in
requesting licensees, on a voluntary ML102720901); reference to occupational dose or dose
basis, to submit information to assist in • RIS 2011–02, ‘‘Licensing Submittal equivalent are withdrawn because the
planning and budgeting resources. The Information and Design Development information contained within each RIS
submittal of this information is strictly Activities for Small Modular Reactor has been consolidated into the guidance
voluntary. No specific action or written Designs,’’ February 2, 2011 (ADAMS in Regulatory Guide 8.40, ‘‘Methods for
response is required. After the voluntary Accession No. ML103260128); Measuring Effective Dose Equivalent
submittal period for this class of • RIS 2012–12, ‘‘Licensing Submittal from External Exposure,’’ dated July 31,
communication has expired, the Information and Design Development 2010 (ADAMS Accession No.
document is no longer needed and, in Activities for Small Modular Reactor ML100610534). Therefore, these generic
most cases, has been superseded by a Designs,’’ December 28, 2012 (ADAMS communications are being withdrawn:
new request for the next fiscal year or Accession No. ML12319A181); Æ RIS 2002–06, ‘‘Evaluating
time period. Therefore, the NRC is • RIS 2013–08, ‘‘Process for Occupational Dose for Individuals
withdrawing the following generic Scheduling Acceptance Reviews of New Exposed to NRC-Licensed Material and
communications: Reactor Licensing and Design Medical X-Rays,’’ April 16, 2002
• Administrative Letter (AL) 1998–03, Certification Applications and Process (ADAMS Accession No. ML021080436);
‘‘Operating Reactor Licensing Action for Determining Budget Needs for Fiscal Æ RIS 2003–04, ‘‘Use of the Effective
Estimates,’’ May 6, 1998 (ADAMS Year 2016,’’ May 28, 2013 (ADAMS Dose Equivalent in Place of the Deep
Accession No. ML031110198); Accession No. ML13077A148); Dose Equivalent in Dose Assessments,’’
• AL 1999–02, ‘‘Operating Reactor • RIS 2013–18, ‘‘Licensing Submittal February 13, 2003 (ADAMS Accession
Licensing Action Estimates,’’ June 3, Information and Design Development No. ML030370122);
1999 (ADAMS Accession No. Activities for Small Modular Reactor Æ RIS 2004–01, ‘‘Method for
ML031110137); Designs,’’ November 15, 2013 (ADAMS Estimating Effective Dose Equivalent
• Regulatory Issue Summary (RIS) Accession No. ML13263A227); from External Radiation Sources Using
2000–04, ‘‘Operating Reactor Licensing • RIS 2000–20, ‘‘Importance of Two Dosimeters,’’ February 17, 2004
Action Estimates,’’ March 16, 2000 Industry Providing NRC Advance Notice (ADAMS Accession No. ML040420042);
(ADAMS Accession No. ML003687730); of Intent to Pursue License Renewal,’’ and
• RIS 2001–08, ‘‘Operating Reactor November 14, 2000 (ADAMS Accession Æ RIS 2009–09, ‘‘Use of Multiple
Licensing Action Estimates,’’ April 2, No. ML003752145); and Dosimetry and Compartment Factors in
2001 (ADAMS Accession No. • RIS 2003–02, ‘‘Importance of Giving Determining Effective Dose Equivalent
ML010880474); NRC Advance Notice of Intent to Pursue from External Radiation Exposures, July
• RIS 2001–21, ‘‘Licensing Action License Renewal,’’ February 3, 2003 13, 2009 (ADAMS Accession No.
Estimates for Operating Reactors,’’ (ADAMS Accession No. ML030340042). ML082320040).
November 16, 2001 (ADAMS Accession • GL 1989–17, ‘‘Planned
2. Generic Communications Withdrawn Administrative Changes to the NRC
No. ML012840123); Because the Information Is Superseded,
• RIS 2014–13, ‘‘Planned Licensing Operator Licensing Written Exam
Out-Of-Date, No Longer Needed, or Process,’’ September 6, 1989 (ADAMS
Action Submittals for all Power Reactor Being Provided to Interested
Licensees,’’ December 17, 2014 Accession No. ML031140236), is
Stakeholders in a Different Manner withdrawn because the eligibility
(ADAMS Accession No. ML14329A165);
• RIS 2008–01, ‘‘Process for • RIS 2002–08, ‘‘Availability of the requirements for taking the generic
Scheduling Acceptance Reviews Based Topical Report Program Description and fundamentals examination section has
on Notification of Applicant Submission Status on Staff Reviews on the NRC’s been incorporated into Revision 10 of
Dates for Early Site Permits, Combined Web site,’’ dated May 22, 2002 (ADAMS NUREG–1021, ‘‘Operator Licensing
Licenses and Design Certifications and Accession No. ML012760489), is Examination Standards for Power
Process for Determining Budget Needs withdrawn because this RIS informed Reactors,’’ December 31, 2014 (ADAMS
for Fiscal Year 2010,’’ January 10, 2008 industry that the publication of Accession No. ML14352A297).
(ADAMS Accession No. ML080030011); NUREG–0390, ‘‘Topical Report Review Dated at Rockville, Maryland, this 19th day
• RIS 2009–03, ‘‘Process for Status,’’ was being discontinued and all of October, 2016.
Scheduling Acceptance Reviews of New information contained within the For the Nuclear Regulatory Commission.
Reactor Licensing Applications After NUREG would be available on the Sheldon Stuchell,
April 2009 and Process for Determining NRC’s Web site, http://www.nrc.gov/ Chief, Generic Communications Branch,
Budget Needs For Fiscal Year 2011,’’ about-nrc/regulatory/licensing/topical- Division of Policy and Rulemaking, Office
February 12, 2009 (ADAMS Accession reports.html. This RIS is being of Nuclear Reactor Regulation.
No. ML083260416); withdrawn because the information [FR Doc. 2016–25750 Filed 10–24–16; 8:45 am]
• RIS 2010–01, ‘‘Process for within the NUREG has been replaced by BILLING CODE 7590–01–P
Scheduling Acceptance Reviews of New technological innovations and is
Reactor Licensing Applications and available electronically.
Process for Determining Budget Needs • Circular 1980–18, ‘‘10 CFR 50.59 SECURITIES AND EXCHANGE
for Fiscal Year 2012,’’ February 3, 2010 [§ 50.59 of title 10 of the Code of Federal COMMISSION
(ADAMS Accession No. ML093230517); Regulations, ‘‘Changes, tests, and
• RIS 2010–03, ‘‘Licensing Submittal experiments’’] Safety Evaluations for Submission for OMB Review;
Information for Small Modular Reactor Changes to Radioactive Waste
mstockstill on DSK3G9T082PROD with NOTICES

Comment Request
Designs,’’ February 25, 2010 (ADAMS Treatment Systems,’’ dated August 22,
Accession No. ML100260855); 1980 (ADAMS Accession No. Upon Written Request Copies Available
• RIS 2010–10, ‘‘Process for ML103420467), is withdrawn because From: Securities and Exchange
Scheduling Acceptance Reviews of New the information is no longer applicable Commission, Office of FOIA Services,
Reactor Licensing Applications and following the NRC rulemaking (65 FR 100 F Street NE., Washington, DC
Process for Determining Budget Needs 53613; October 4, 1999) that went into 20549–2736.
for Fiscal Year 2013,’’ November 15, effect on March 13, 2001. Extension:

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73450 Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Notices

Securities Rule 477, SEC File No. 270–493, Dated: October 18, 2016. Upon its implementation, the proposed
OMB Control No. 3235–0550. Brent J. Fields, rule change would enhance efficiencies
Secretary. for Participants and DTC by providing a
Notice is hereby given that, pursuant secure, centralized environment for the
[FR Doc. 2016–25708 Filed 10–24–16; 8:45 am]
to the Paperwork Reduction Act of 1995 submission of Older Issue Eligibility
BILLING CODE 8011–01–P
(44 U.S.C. 3501 et seq.), the Securities Requests.
and Exchange Commission
(‘‘Commission’’) has submitted to the II. Clearing Agency’s Statement of the
SECURITIES AND EXCHANGE Purpose of, and Statutory Basis for, the
Office of Management and Budget this COMMISSION
request for extension of the previously Proposed Rule Change
approved collection of information [Release No. 34–79122; File No. SR–DTC– In its filing with the Commission, the
discussed below. 2016–010] clearing agency included statements
Rule 477 (17 CFR 230.477) under the concerning the purpose of and basis for
Self-Regulatory Organizations; The
Securities Act of 1933 (15 U.S.C. 77a et the proposed rule change and discussed
Depository Trust Company; Notice of
seq.) sets forth procedures for Filing and Immediate Effectiveness of any comments it received on the
withdrawing a registration statement, a Proposed Rule Change To Allow DTC proposed rule change. The text of these
including any amendments or exhibits To Automate the Process for statements may be examined at the
to the registration statement. The rule Participants To Submit Eligibility places specified in Item IV below. The
provides that if an issuer intends to rely Requests for Older Issues clearing agency has prepared
on the safe harbor contained in summaries, set forth in sections A, B,
Securities Act Rule 155 to conduct an October 19, 2016. and C below, of the most significant
unregistered private offering of Pursuant to Section 19(b)(1) of the aspects of such statements.
securities, the issuer must affirmatively Securities Exchange Act of 1934 (A) Clearing Agency’s Statement of the
state in the withdrawal application that (‘‘Act’’) 1 and Rule 19b–4,2 notice is Purpose of, and Statutory Basis for, the
it plans to undertake a subsequent hereby given that on October 14, 2016, Proposed Rule Change
private offering of its securities. Without The Depository Trust Company (‘‘DTC’’)
this statement, the Commission would filed with the Securities and Exchange 1. Purpose
not be able to monitor a company’s Commission (‘‘Commission’’) the
The proposed rule change would
reliance on, and compliance with, proposed rule change as described in
change the method of submission of
Securities Act Rule 155(c). All Items I, II and III below, which Items
Older Issue Eligibility Requests by
information submitted to the have been prepared by DTC. DTC filed
Participants from the current email
Commission under Securities Act Rule the proposed rule change pursuant to
method to instead utilize DTC’s
477 is available to the public for review. Section 19(b)(3)(A) of the Act 3 and Rule
Securities Origination, Underwriting
Information provided under Securities 19b–4(f)(4) thereunder.4 The proposed
and Reliable Corporate Action
Act Rule 477 is mandatory. The rule change was effective upon filing
Environment (‘‘UW SOURCE’’) for this
information is required on occasion. We with the Commission. The Commission
purpose.8
estimate that approximately 327 issuers is publishing this notice to solicit
will file Securities Act Rule 477 comments on the proposed rule change In order for an Older Issue to be made
submissions annually at an estimated from interested persons. eligible for Deposit and book-entry
one hour per response for a total annual transfer services at DTC, a Participant
I. Clearing Agency’s Statement of the must submit an Older Issue Eligibility
burden of approximately 327 hours. We Terms of Substance of the Proposed
estimate that 100% of the reporting Request to DTC 9 that evidences that the
Rule Change Older Issue meets DTC’s requirements
burden is prepared by the issuer.
The proposed rule change would for Securities to become and remain
An agency may not conduct or amend the DTC Operational eligible for DTC services 10 as set forth
sponsor, and a person is not required to Arrangements for Securities to Become in the OA (‘‘Eligibility
respond to, a collection of information and Remain Eligible for DTC Services Requirements’’).11 The Older Issue
unless it displays a currently valid (‘‘OA’’) 5 and the DTC Underwriting Eligibility Request must at a minimum
control number. Service Guide (‘‘Guide’’) 6 to allow DTC include a questionnaire (‘‘Older
The public may view the background to automate the process by which
documentation for this information Participants submit requests and related (‘‘Rules’’), available at http://www.dtcc.com/legal/
collection at the following Web site, documents for Securities that are rules-and-procedures.aspx.
8 UW SOURCE is an existing Internet-based
www.reginfo.gov. Comments should be already issued and outstanding (‘‘Older system currently used by Participants to submit
directed to: (i) Desk Officer for the Issues’’) to become eligible for Deposit eligibility requests for newly-issued Securities
Securities and Exchange Commission, and book-entry transfer services at DTC (‘‘New Issues’’). See OA, supra note 5, at 1. The
Office of Information and Regulatory (‘‘Older Issue Eligibility Requests’’).7 process for submitting eligibility requests for New
Issues through UW SOURCE would not change as
Affairs, Office of Management and a result of the proposed rule change. See generally
Budget, Room 10102, New Executive 1 15 U.S.C. 78s(b)(1). DTC UW Reengineering Web page, available at
2 17 CFR 240.19b–4.
Office Building, Washington, DC 20503, http://dtcc.com/matching-settlement-and-asset-
3 15 U.S.C. 78s(b)(3)(A).
or by sending an email to: Shagufta_ services/underwriting/uw-source-info (providing
4 17 CFR 240.19b–4(f)(4). background and links to additional information on
Ahmed@omb.eop.gov; and (ii) Pamela
mstockstill on DSK3G9T082PROD with NOTICES

5 Available at http://www.dtcc.com/∼/media/ UW SOURCE).
Dyson, Director/Chief Information Files/Downloads/legal/issue-eligibility/eligibility/ 9 Only Participants can request that DTC make a

Officer, Securities and Exchange operational-arrangements.pdf. Security eligible. See OA, supra note 5, at 1–2.
Commission, c/o Remi Pavlik-Simon, 6 Available at http://www.dtcc.com/∼/media/ 10 It is the responsibility of the Participant

100 F Street NE., Washington, DC 20549 Files/Downloads/Settlement-Asset-Services/ requesting eligibility for the Securities to provide
Underwriting/Underwriting-Service-Guide.pdf. evidence that the Securities satisfy the criteria set
or send an email to: PRA_Mailbox@ 7 Capitalized terms not otherwise defined herein forth in DTC’s OA. See id.
sec.gov. Comments must be submitted to have the respective meanings set forth in the DTC 11 See OA, supra note 5, at 2–13 (for DTC’s

OMB within 30 days of this notice. Rules, By-laws and Organization Certificate eligibility criteria).

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Document Created: 2018-02-13 16:38:07
Document Modified: 2018-02-13 16:38:07

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 73449