83 FR 2247 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 10 (January 16, 2018)

Page Range		2247-2247
FR Document		2018-00514

Federal Register, Volume 83 Issue 10 (Tuesday, January 16, 2018)

[Federal Register Volume 83, Number 10 (Tuesday, January 16, 2018)]
[Notices]
[Page 2247]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-00514]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-002, OMB Control No. 3235-0071]


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:
    Regulation S-K.

    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'') 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 for extension and approval.
    Regulation S-K (17 CFR 229.101--et seq.) specifies the non-
financial disclosure requirements applicable to registration statements 
under the Securities Act of 1933 (15 U.S.C. 77a et seq.); and 
registration statements, periodic reports, going-private transaction 
and tender offer statements, proxy and information statements, and any 
other documents required to be filed under Sections 12, 13, 14, and 15 
of the Securities Exchange Act of 1934 (15 U.S.C. 78l, 78m, 78n, 
78o(d)). Regulation S-K is assigned one burden hour for administrative 
convenience.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden imposed by 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.
    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.
    Please direct your written comment 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: January 9, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-00514 Filed 1-12-18; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 83, No. 10 / Tuesday, January 16, 2018 / Notices 2247

(b) the accuracy of the agency’s estimate filed under Sections 12, 13, 14, and 15 Management and Budget for extension
of the burden imposed by the collection of the Securities Exchange Act of 1934 and approval.
of information; (c) ways to enhance the (15 U.S.C. 78l, 78m, 78n, 78o(d)). Section 11(a) of the Investment
quality, utility, and clarity of the Regulation S–K is assigned one burden Company Act of 1940 (‘‘Act’’) (15 U.S.C.
information collected; and (d) ways to hour for administrative convenience. 80a–11(a)) provides that it is unlawful
minimize the burden of the collection of Written comments are invited on: (a) for a registered open-end investment
information on respondents, including Whether the proposed collection of company (‘‘fund’’) or its underwriter to
through the use of automated collection information is necessary for the proper make an offer to the fund’s shareholders
techniques or other forms of information performance of the functions of the or the shareholders of any other fund to
technology. Consideration will be given agency, including whether the exchange the fund’s securities for
to comments and suggestions submitted information will have practical utility; securities of the same or another fund
in writing within 60 days of this (b) the accuracy of the agency’s estimate on any basis other than the relative net
publication. of the burden imposed by the collection asset values (‘‘NAVs’’) of the respective
An agency may not conduct or of information; (c) ways to enhance the securities to be exchanged, ‘‘unless the
sponsor, and a person is not required to quality, utility, and clarity of the terms of the offer have first been
respond to, a collection of information information collected; and (d) ways to submitted to and approved by the
unless it displays a currently valid minimize the burden of the collection of Commission or are in accordance with
control number. information on respondents, including such rules and regulations as the
Please direct your written comment to through the use of automated collection Commission may have prescribed in
Pamela Dyson, Director/Chief techniques or other forms of information respect of such offers.’’ Section 11(a)
Information Officer, Securities and technology. Consideration will be given was designed to prevent ‘‘switching,’’
Exchange Commission, c/o Remi Pavlik- to comments and suggestions submitted the practice of inducing shareholders of
Simon, 100 F Street NE, Washington, in writing within 60 days of this one fund to exchange their shares for
DC 20549 or send an email to: PRA_ publication. the shares of another fund for the
Mailbox@sec.gov. An agency may not conduct or purpose of exacting additional sales
Dated: January 9, 2018. sponsor, and a person is not required to charges.
respond to, a collection of information Rule 11a–3 (17 CFR 270.11a–3) under
Eduardo A. Aleman,
unless it displays a currently valid the Act is an exemptive rule that
Assistant Secretary. permits open-end investment
[FR Doc. 2018–00503 Filed 1–12–18; 8:45 am] control number.
Please direct your written comment to companies (‘‘funds’’), other than
BILLING CODE 8011–01–P
Pamela Dyson, Director/Chief insurance company separate accounts,
Information Officer, Securities and and funds’ principal underwriters, to
make certain exchange offers to fund
SECURITIES AND EXCHANGE Exchange Commission, c/o Remi Pavlik-
shareholders and shareholders of other
COMMISSION Simon, 100 F Street NE, Washington,
funds in the same group of investment
DC 20549 or send an email to: PRA_
[SEC File No. 270–002, OMB Control No. companies. The rule requires a fund,
Mailbox@sec.gov.
3235–0071] among other things, (i) to disclose in its
Dated: January 9, 2018. prospectus and advertising literature the
Proposed Collection; Comment Eduardo A. Aleman, amount of any administrative or
Request Assistant Secretary. redemption fee imposed on an exchange
Upon Written Request, Copies Available [FR Doc. 2018–00514 Filed 1–12–18; 8:45 am] transaction, (ii) if the fund imposes an
From: Securities and Exchange BILLING CODE 8011–01–P administrative fee on exchange
Commission, Office of FOIA Services, transactions, other than a nominal one,
100 F Street NE, Washington, DC to maintain and preserve records with
20549–2736. SECURITIES AND EXCHANGE respect to the actual costs incurred in
COMMISSION connection with exchanges for at least
Extension: six years, and (iii) give the fund’s
Regulation S–K. [SEC File No. 270–321, OMB Control No. shareholders a sixty day notice of a
Notice is hereby given that, pursuant 3235–0358] termination of an exchange offer or any
to the Paperwork Reduction Act of 1995 material amendment to the terms of an
(44 U.S.C. 3501 et seq.), the Securities Proposed Collection; Comment exchange offer (unless the only material
and Exchange Commission Request effect of an amendment is to reduce or
(‘‘Commission’’) is soliciting comments Upon Written Request, Copies Available eliminate an administrative fee, sales
on the collection of information From: Securities and Exchange load or redemption fee payable at the
summarized below. The Commission Commission, Office of FOIA Services, time of an exchange).
plans to submit this existing collection 100 F Street NE, Washington, DC The rule’s requirements are designed
of information to the Office of 20549–2736 to protect investors against abuses
Management and Budget for extension associated with exchange offers, provide
and approval. Extension: fund shareholders with information
Regulation S–K (17 CFR 229.101—et Rule 11a–3
necessary to evaluate exchange offers
seq.) specifies the non-financial Notice is hereby given that pursuant and certain material changes in the
disclosure requirements applicable to to the Paperwork Reduction Act of 1995 terms of exchange offers, and enable the
daltland on DSKBBV9HB2PROD with NOTICES

registration statements under the (44 U.S.C. 3501–3520), the Securities Commission staff to monitor funds’ use
Securities Act of 1933 (15 U.S.C. 77a et and Exchange Commission (the of administrative fees charged in
seq.); and registration statements, ‘‘Commission’’) is soliciting comments connection with exchange transactions.
periodic reports, going-private on the collection of information The staff estimates that there are
transaction and tender offer statements, summarized below. The Commission approximately 1,606 active open-end
proxy and information statements, and plans to submit this existing collection investment companies registered with
any other documents required to be of information to the Office of the Commission as of September 2017.

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Document Created: 2018-01-13 02:02:59
Document Modified: 2018-01-13 02:02:59

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		83 FR 2247