82 FR 43279 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 177 (September 14, 2017)

Page Range		43279-43279
FR Document		2017-19511

Federal Register, Volume 82 Issue 177 (Thursday, September 14, 2017)

[Federal Register Volume 82, Number 177 (Thursday, September 14, 2017)]
[Notices]
[Page 43279]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-19511]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; 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:
    Rule 489 and Form F-N, SEC File No. 270-361, OMB Control No. 
3235-0411

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.) (``Paperwork Reduction Act''), the 
Securities and Exchange Commission (the ``Commission'') is soliciting 
comments on the collection of information summarized below. The 
Commission plans to submit this existing collection of information to 
the Office of Management and Budget (``OMB'') for extension and 
approval.
    Rule 489 (17 CFR 230.489) under the Securities Act of 1933 (15 
U.S.C. 77a et seq.) requires foreign banks and foreign insurance 
companies and holding companies and finance subsidiaries of foreign 
banks and foreign insurance companies that are exempted from the 
definition of ``investment company'' by virtue of rules 3a-1 (17 CFR 
270.3a-1), 3a-5 (17 CFR 270.3a-5), and 3a-6 (17 CFR 270.3a-6) under the 
Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) to file Form 
F-N (17 CFR 239.43) to appoint an agent for service of process when 
making a public offering of securities in the United States. The 
information is collected so that the Commission and private plaintiffs 
may serve process on foreign entities in actions and administrative 
proceedings arising out of or based on the offer or sales of securities 
in the United States by such foreign entities.
    The Commission received an average of 30 Form F-N filings from 22 
unique filers each year for the last three years (2014-2016). The 
Commission has previously estimated that the total annual burden 
associated with information collection and Form F-N preparation and 
submission is one hour per filing. Based on the Commission's experience 
with disclosure documents generally, the Commission continues to 
believe that this estimate is appropriate. Thus the estimated total 
annual burden for rule 489 and Form F-N is 30 hours.\1\
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    \1\ 30 responses x 1 hour per response = 30 hours per year.
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    Estimates of average burden hours are made solely for the purposes 
of the Paperwork Reduction Act and are not derived from a comprehensive 
or even representative survey or study of the costs of Commission rules 
and forms. Compliance with the collection of information requirements 
of rule 489 and Form F-N is mandatory to obtain the benefit of the 
exemption. Responses to the collection of information will not be kept 
confidential. 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 OMB control number.
    Written comments are invited on: (a) Whether the collection of 
information is necessary for the proper performance of the functions of 
the Commission, including whether the information has practical 
utility; (b) the accuracy of the Commission's estimate of the burden of 
the collection of information; (c) ways to enhance the quality, 
utility, and clarity of the information collected; and (d) ways to 
minimize the burden of the 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.
    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 11, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-19511 Filed 9-13-17; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 82, No. 177 / Thursday, September 14, 2017 / Notices 43279

2017. The Commission is extending this of process when making a public Dated: September 11, 2017.
45-day time period. offering of securities in the United Eduardo A. Aleman,
The Commission finds that it is States. The information is collected so Assistant Secretary.
appropriate to designate a longer period that the Commission and private [FR Doc. 2017–19511 Filed 9–13–17; 8:45 am]
within which to take action on the plaintiffs may serve process on foreign BILLING CODE 8011–01–P
proposed rule change so that it has entities in actions and administrative
sufficient time to consider the proposed proceedings arising out of or based on
rule change, as modified by Amendment the offer or sales of securities in the
No. 1. Accordingly, the Commission, United States by such foreign entities. SMALL BUSINESS ADMINISTRATION
pursuant to Section 19(b)(2) of the Act,6 The Commission received an average
designates October 26, 2017, as the date Celerity Partners SBIC, L.P.
of 30 Form F–N filings from 22 unique
by which the Commission shall either filers each year for the last three years [License No. 09/79–0445]
approve or disapprove or institute (2014–2016). The Commission has
proceedings to determine whether to previously estimated that the total Notice Seeking Exemption Under
disapprove the proposed rule change, as annual burden associated with Section 312 of the Small Business
modified by Amendment No. 1 (File information collection and Form F–N Investment Act, Conflicts of Interest
Number SR–BatsBZX–2017–46). preparation and submission is one hour Notice is hereby given that Celerity
For the Commission, by the Division of per filing. Based on the Commission’s Partners SBIC, L.P., 11150 Santa Monica
Trading and Markets, pursuant to delegated experience with disclosure documents
authority.7 Boulevard, Suite 1470, Los Angeles, CA
generally, the Commission continues to 90025, a Federal Licensee under the
Eduardo A. Aleman, believe that this estimate is appropriate. Small Business Investment Act of 1958,
Assistant Secretary. Thus the estimated total annual burden as amended (‘‘the Act’’), in connection
[FR Doc. 2017–19479 Filed 9–13–17; 8:45 am] for rule 489 and Form F–N is 30 hours.1 with the sale of a small concern, has
BILLING CODE 8011–01–P Estimates of average burden hours are sought an exemption under Section 312
made solely for the purposes of the of the Act, Section 107.730(a), you must
Paperwork Reduction Act and are not not self-deal to the prejudice of a Small
SECURITIES AND EXCHANGE derived from a comprehensive or even Business, the Licensee, its shareholders
COMMISSION representative survey or study of the or partners, or SBA., and Section
costs of Commission rules and forms. 107.730(e)(3), Associate must not
Proposed Collection; Comment Compliance with the collection of
Request receive any income or anything of value
information requirements of rule 489 from the Portfolio Concern unless it is
Upon Written Request, Copies Available and Form F–N is mandatory to obtain for your benefit, with the exception of
From: Securities and Exchange the benefit of the exemption. Responses director’s fees, expenses, and
Commission, Office of FOIA Services, to the collection of information will not distributions based upon the Associate’s
100 F Street NE., Washington, DC be kept confidential. An agency may not ownership interest in the Concern. The
20549–2736 conduct or sponsor, and a person is not transaction is brought within the
Extension: required to respond to, a collection of purview of Sections 107.730(a) and
Rule 489 and Form F–N, SEC File No. 270– information unless it displays a 107.730(e)(3) of the Regulations because
361, OMB Control No. 3235–0411 currently valid OMB control number. which constitutes Conflicts of Interest of
Notice is hereby given that, pursuant Written comments are invited on: (a) the Small Business Administration
to the Paperwork Reduction Act of 1995 Whether the collection of information is (‘‘SBA’’) Rules. Celerity Partners SBIC,
(44 U.S.C. 3501 et seq.) (‘‘Paperwork necessary for the proper performance of L.P. proposes to sell eStudy Site Inc.
Reduction Act’’), the Securities and the functions of the Commission, (‘‘eSS), 292 Euclid Ave, Suite 225, San
Exchange Commission (the including whether the information has Diego, California 92114, with NRI
‘‘Commission’’) is soliciting comments practical utility; (b) the accuracy of the Clinical Research (‘‘NRI’’) and, Meridien
on the collection of information Commission’s estimate of the burden of Research, Inc. (‘‘Meridien’’). Because the
summarized below. The Commission the collection of information; (c) ways to Associates, Mark Benham and Matt
plans to submit this existing collection enhance the quality, utility, and clarity Kraus, will receive proceeds from their
of information to the Office of of the information collected; and (d) investments and carried interests from
Management and Budget (‘‘OMB’’) for ways to minimize the burden of the Meridien and NRI, and a transaction fee,
extension and approval. collection of information on this transaction constitutes Conflict of
Rule 489 (17 CFR 230.489) under the respondents, including through the use Interest requiring SBA’s prior written
Securities Act of 1933 (15 U.S.C. 77a et of automated collection techniques or exemption.
seq.) requires foreign banks and foreign other forms of information technology. Notice is hereby given that any
insurance companies and holding Consideration will be given to interested person may submit written
companies and finance subsidiaries of comments and suggestions submitted in comments on this transaction within
foreign banks and foreign insurance writing within 60 days of this fifteen days of the date of this
companies that are exempted from the publication. publication to the Associate
definition of ‘‘investment company’’ by Please direct your written comments Administrator, Office of Investment and
asabaliauskas on DSKBBXCHB2PROD with NOTICES

virtue of rules 3a–1 (17 CFR 270.3a–1), to Pamela Dyson, Director/Chief Innovation, U.S. Small Business
3a–5 (17 CFR 270.3a–5), and 3a–6 (17 Information Officer, Securities and Administration, 409 Third Street SW.,
CFR 270.3a–6) under the Investment Exchange Commission, C/O Remi Washington, DC 20416.
Company Act of 1940 (15 U.S.C. 80a–1 Pavlik-Simon, 100 F Street NE.,
et seq.) to file Form F–N (17 CFR Washington, DC 20549; or send an email A. Joseph Shepard,
239.43) to appoint an agent for service to: PRA_Mailbox@sec.gov. Associate Administrator for Office of
Investment and Innovation.
6 Id. 1 30 responses × 1 hour per response = 30 hours [FR Doc. 2017–19484 Filed 9–13–17; 8:45 am]
7 17 CFR 200.30–3(a)(31). per year. BILLING CODE P

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Document Created: 2017-09-13 23:49:43
Document Modified: 2017-09-13 23:49:43

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		82 FR 43279