82_FR_43045 82 FR 42870 - Proposed Collection; Comment Request

82 FR 42870 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 175 (September 12, 2017)

Page Range42870-42871
FR Document2017-19235

Federal Register, Volume 82 Issue 175 (Tuesday, September 12, 2017) 
[Federal Register Volume 82, Number 175 (Tuesday, September 12, 2017)]
[Notices]
[Pages 42870-42871]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-19235]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of FOIA Services, 100 F Street NE., 
Washington, DC 20549-2736

Extension:
    Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the existing 
collection of information provided for in Rule 15c1-6 (17 CFR 240.15c1-
6) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) 
(``Exchange Act''). The Commission plans to submit this existing 
collection of information to the Office of Management and Budget 
(``OMB'') for extension and approval.
    Rule 15c1-6 states that any broker-dealer trying to sell to or buy 
from a customer a security in a primary or secondary distribution in 
which the broker-dealer is participating or is otherwise financially 
interested must give the customer written notification of the broker-
dealer's participation or interest at or before completion of the 
transaction. The Commission estimates that 394 respondents collect 
information annually under Rule 15c1-6 and that each respondent would 
spend approximately 10 hours annually complying with the collection of 
information requirement (approximately 3,940 hours in aggregate).
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information to 
be collected; and (d) ways to minimize the burden of the

[[Page 42871]]

collection of information on respondents, including through the use of 
automated collection techniques or other forms of information 
technology. Consideration will be given to comments and suggestions 
submitted in writing within 60 days of this publication.
    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.
    Please direct your written comments to: 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].

    Dated: September 6, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-19235 Filed 9-11-17; 8:45 am]
 BILLING CODE 8011-01-P

42870 Federal Register / Vol. 82, No. 175 / Tuesday, September 12, 2017 / Notices FOR FURTHER INFORMATION CONTACT: state that such transactions will be intended by the policy and provisions of Christine Y. Greenlees, Senior Counsel, consistent with the policies of each the Act. at (202) 551–6879, or Robert H. Shapiro, Fund of Funds and each Underlying For the Commission, by the Division of Branch Chief, at (202) 551–6821 Fund and with the general purposes of Investment Management, pursuant to (Division of Investment Management, the Act and will be based on the net delegated authority. Chief Counsel’s Office). asset values of the Underlying Funds. Eduardo A. Aleman, SUPPLEMENTARY INFORMATION: The 2. Applicants agree that any order Assistant Secretary. following is a summary of the granting the requested relief will be [FR Doc. 2017–19236 Filed 9–11–17; 8:45 am] application. The complete application subject to the terms and conditions BILLING CODE 8011–01–P may be obtained via the Commission’s stated in the application. Such terms Web site by searching for the file and conditions are designed to, among number, or for an applicant using the other things, help prevent any potential SECURITIES AND EXCHANGE Company name box, at http:// (i) undue influence over an Underlying COMMISSION www.sec.gov/search/search.htm, or by Fund that is not in the same ‘‘group of calling (202) 551–8090. investment companies’’ as the Fund of Proposed Collection; Comment Funds through control or voting power, Request Summary of the Application or in connection with certain services, 1. Applicants request an order to transactions, and underwritings, (ii) Upon Written Request, Copies Available permit (a) each Fund 1 (each a ‘‘Fund of excessive layering of fees, and (iii) From: U.S. Securities and Exchange Funds’’) to acquire shares of Underlying overly complex fund structures, which Commission, Office of FOIA Services, Funds 2 in excess of the limits in are the concerns underlying the limits 100 F Street NE., Washington, DC sections 12(d)(1)(A) and (C) of the Act in sections 12(d)(1)(A), (B), and (C) of 20549–2736 and (b) each Underlying Fund that is a the Act. Extension: registered open-end management 3. Section 12(d)(1)(J) of the Act Rule 15c1–6, SEC File No. 270–423, OMB investment company or series thereof, provides that the Commission may Control No. 3235–0472 their principal underwriters and any exempt any person, security, or Notice is hereby given that pursuant broker or dealer registered under the transaction, or any class or classes of to the Paperwork Reduction Act of 1995 Securities Exchange Act of 1934 to sell persons, securities, or transactions, from (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the shares of the Underlying Funds to the any provision of section 12(d)(1) if the Securities and Exchange Commission Fund of Funds in excess of the limits in exemption is consistent with the public (‘‘Commission’’) is soliciting comments section 12(d)(1)(B) of the Act.3 interest and the protection of investors. Applicants also request an order of on the existing collection of information Section 17(b) of the Act authorizes the provided for in Rule 15c1–6 (17 CFR exemption under sections 6(c) and 17(b) Commission to grant an order of the Act from the prohibition on 240.15c1–6) under the Securities permitting a transaction otherwise Exchange Act of 1934 (15 U.S.C. 78a et certain affiliated transactions in section prohibited by section 17(a) if it finds 17(a) of the Act to the extent necessary seq.) (‘‘Exchange Act’’). The that (a) the terms of the proposed Commission plans to submit this to permit the Underlying Funds to sell transaction are fair and reasonable and their shares to, and redeem their shares existing collection of information to the do not involve overreaching on the part Office of Management and Budget from, the Funds of Funds.4 Applicants of any person concerned; (b) the (‘‘OMB’’) for extension and approval. 1 Applicants request that the order apply not only proposed transaction is consistent with Rule 15c1–6 states that any broker- to any existing series of the Trust, but that the order the policies of each registered dealer trying to sell to or buy from a also extend to any future series of the Trust and any investment company involved; and (c) customer a security in a primary or other existing or future registered open-end the proposed transaction is consistent secondary distribution in which the management investment companies and any series thereof that are, or may in the future be, advised with the general purposes of the Act. broker-dealer is participating or is by the Initial Advisor or its successor or any other Section 6(c) of the Act permits the otherwise financially interested must investment adviser controlling, controlled by, or Commission to exempt any persons or give the customer written notification of under common control with the Initial Advisor or transactions from any provision of the its successor and that are part of the same group of the broker-dealer’s participation or investment companies, as defined in section Act if such exemption is necessary or interest at or before completion of the 12(d)(1)(G)(ii) of the Act, as the Trust (together with appropriate in the public interest and transaction. The Commission estimates the existing series of the Trust, each series a ‘‘Fund’’ consistent with the protection of that 394 respondents collect information and collectively, the ‘‘Funds’’). For purposes of the investors and the purposes fairly requested order, ‘‘successor’’ is limited to an entity annually under Rule 15c1–6 and that that results from a reorganization into another each respondent would spend jurisdiction or a change in the type of business Fund that operates as an ETF or closed-end fund approximately 10 hours annually organization. For purposes of the request for relief, through secondary market transactions rather than the term ‘‘group of investment companies’’ means through principal transactions with the Underlying complying with the collection of any two or more registered investment companies, Fund. Applicants nevertheless request relief from information requirement (approximately including closed-end investment companies and sections 17(a)(l) and (2) to permit each Fund of 3,940 hours in aggregate). BDCs, that hold themselves out to investors as Funds that is an affiliated person, or an affiliated Written comments are invited on: (a) related companies for purposes of investment and person of an affiliated person, as defined in section investor services. 2(a)(3) of the 1940 Act, of an ETF or closed-end Whether the proposed collection of 2 Certain of the Underlying Funds have obtained fund to purchase or redeem shares from the ETF or information is necessary for the proper exemptions from the Commission necessary to closed-end fund. Applicants are not seeking relief performance of the functions of the pmangrum on DSK3GDR082PROD with NOTICES1 permit their shares to be listed and traded on a from section 17(a) for, and the requested relief will Commission, including whether the national securities exchange at negotiated prices not apply to, transactions where an ETF, BDC or and, accordingly, to operate as an exchange-traded closed-end fund could be deemed an affiliated information shall have practical utility; fund (‘‘ETF’’). person, or an affiliated person of an affiliated (b) the accuracy of the Commission’s 3 Applicants are not requesting relief for a Fund person, of a Fund of Funds because an investment estimates of the burden of the proposed of Funds to invest in BDCs and registered closed- adviser to the ETF, BDC or closed-end fund or an collection of information; (c) ways to end investment companies that are not listed and entity controlling, controlled by or under common traded on a national securities exchange. control with the investment adviser to the ETF, enhance the quality, utility, and clarity 4 Applicants note that a Fund of Funds generally BDC or closed-end fund is also an investment of the information to be collected; and would purchase and sell shares of an Underlying adviser to the Fund of Funds. (d) ways to minimize the burden of the VerDate Sep<11>2014 15:19 Sep 11, 2017 Jkt 241001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 E:\FR\FM\12SEN1.SGM 12SEN1

Federal Register / Vol. 82, No. 175 / Tuesday, September 12, 2017 / Notices 42871 collection of information on The following areas have been SUPPLEMENTARY INFORMATION: The respondents, including through the use determined to be adversely affected by foregoing determinations were made of automated collection techniques or the disaster: pursuant to the authority vested in me other forms of information technology. Primary Counties: Warren by the Act of October 19, 1965 (79 Stat. Consideration will be given to Contiguous Counties: 985; 22 U.S.C. 2459), E.O. 12047 of comments and suggestions submitted in Mississippi: Claiborne, Hinds, March 27, 1978, the Foreign Affairs writing within 60 days of this Issaquena, Yazoo Reform and Restructuring Act of 1998 publication. Louisiana: East Carroll, Madison, (112 Stat. 2681, et seq.; 22 U.S.C. 6501 An agency may not conduct or Tensas note, et seq.), Delegation of Authority sponsor, and a person is not required to The Interest Rates are: No. 234 of October 1, 1999, Delegation respond to, a collection of information of Authority No. 236–3 of August 28, under the PRA unless it displays a Percent 2000 (and, as appropriate, Delegation of currently valid OMB control number. Authority No. 257–1 of December 11, Please direct your written comments Businesses and Small Agricultural 2015). I have ordered that Public Notice to: Pamela Dyson, Director/Chief Cooperatives Without Credit of these determinations be published in Information Officer, Securities and Available Elsewhere .................. 3.215 the Federal Register. Exchange Commission, c/o Remi Pavlik- Non-Profit Organizations Without Credit Available Elsewhere ....... 2.500 Alyson Grunder, Simon, 100 F Street NE., Washington, Deputy Assistant Secretary for Policy, Bureau DC 20549, or send an email to: PRA_ The number assigned to this disaster of Educational and Cultural Affairs, Mailbox@sec.gov. Department of State. for economic injury is 152830. Dated: September 6, 2017. The States which received an EIDL [FR Doc. 2017–19257 Filed 9–11–17; 8:45 am] Eduardo A. Aleman, Declaration # are Mississippi, Louisiana. BILLING CODE 4710–05–P Assistant Secretary. (Catalog of Federal Domestic Assistance [FR Doc. 2017–19235 Filed 9–11–17; 8:45 am] Number 59008) BILLING CODE 8011–01–P DEPARTMENT OF STATE Dated: September 1, 2017. Linda E. McMahon, [Public Notice: 10122] Administrator. SMALL BUSINESS ADMINISTRATION Notice of Determinations; Culturally [FR Doc. 2017–19317 Filed 9–11–17; 8:45 am] Significant Objects Imported for [Disaster Declaration #15283; MISSISSIPPI BILLING CODE 8025–01–P Exhibition Determinations: ‘‘Bosch to Disaster Number MS–00102 Declaration of Economic Injury] Bloemaert: Early Netherlandish Drawings From the Museum Boijmans Administrative Declaration of an DEPARTMENT OF STATE van Beuningen, Rotterdam’’ Exhibition Economic Injury Disaster for the State [Public Notice: 10123] SUMMARY: Notice is hereby given of the of Mississippi following determinations: I hereby Notice of Determinations; Culturally AGENCY: U.S. Small Business determine that certain objects to be Significant Objects Imported for Administration. included in the exhibition ‘‘Bosch to Exhibition Determinations: ‘‘Mark ACTION: Notice. Bloemaert: Early Netherlandish Tobey: Threading Light’’ Exhibition Drawings from the Museum Boijmans SUMMARY: This is a notice of an SUMMARY: Notice is hereby given of the van Beuningen, Rotterdam,’’ imported Economic Injury Disaster Loan (EIDL) following determinations: I hereby from abroad for temporary exhibition declaration for the State of Mississippi, determine that certain objects to be within the United States, are of cultural dated September 1, 2017. included in the exhibition ‘‘Mark Tobey: significance. The objects are imported DATES: Issued on 09/01/2017. Threading Light,’’ imported from abroad pursuant to a loan agreement with the Economic Injury (EIDL) Loan for temporary exhibition within the foreign owner or custodian. I also Application Deadline Date: 06/01/2018. United States, are of cultural determine that the exhibition or display ADDRESS: Submit completed loan significance. The objects are imported of the exhibit objects at the National applications to: U.S. Small Business pursuant to loan agreements with the Gallery of Art, Washington, District of Administration, Processing and foreign owners or custodians. I also Columbia, from on or about October 8, Disbursement Center, 14925 Kingsport determine that the exhibition or display 2017, until on or about January 7, 2018, Road, Fort Worth, TX 76155. of the exhibit objects at the Addison and at possible additional exhibitions or FOR FURTHER INFORMATION CONTACT: A. Gallery of American Art at Phillips venues yet to be determined, is in the Escobar, Office of Disaster Assistance, Academy, Andover, Massachusetts, national interest. U.S. Small Business Administration, from on or about November 4, 2017, FOR FURTHER INFORMATION CONTACT: For 409 3rd Street SW., Suite 6050, until on or about March 11, 2018, and further information, including a list of Washington, DC 20416, (202) 205–6734. at possible additional exhibitions or the imported objects, contact Elliot Chiu SUPPLEMENTARY INFORMATION: Notice is venues yet to be determined, is in the in the Office of the Legal Adviser, U.S. hereby given that as a result of the national interest. Department of State (telephone: 202– Administrator’s EIDL declaration, FOR FURTHER INFORMATION CONTACT: For 632–6471; email: section2459@ pmangrum on DSK3GDR082PROD with NOTICES1 applications for economic injury further information, including a list of state.gov). The mailing address is U.S. disaster loans may be filed at the the imported objects, contact Elliot Chiu Department of State, L/PD, SA–5, Suite address listed above or other locally in the Office of the Legal Adviser, U.S. 5H03, Washington, DC 20522–0505. announced locations. Department of State (telephone: 202– SUPPLEMENTARY INFORMATION: The Incident: City of Vicksburg’s Main 632–6471; email: section2459@ foregoing determinations were made Waterline Rupture. state.gov). The mailing address is U.S. pursuant to the authority vested in me Incident Period: 05/17/2017 through Department of State, L/PD, SA–5, Suite by the Act of October 19, 1965 (79 Stat. 05/24/2017. 5H03, Washington, DC 20522–0505. 985; 22 U.S.C. 2459), E.O. 12047 of VerDate Sep<11>2014 15:19 Sep 11, 2017 Jkt 241001 PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 E:\FR\FM\12SEN1.SGM 12SEN1


Document Created: 2018-10-24 14:16:12
Document Modified: 2018-10-24 14:16:12
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation82 FR 42870 
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