83_FR_5180 83 FR 5156 - Proposed Collection; Comment Request

83 FR 5156 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 24 (February 5, 2018)

Page Range5156-5157
FR Document2018-02256

Federal Register, Volume 83 Issue 24 (Monday, February 5, 2018) 
[Federal Register Volume 83, Number 24 (Monday, February 5, 2018)]
[Notices]
[Pages 5156-5157]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-02256]


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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,

[[Page 5157]]

100 F Street NE, Washington, DC 20549-2736

Extension:
    Rule 17g-10 and Form ABS Due Diligence-15 E SEC File No. 270-
563, OMB Control No. 3235-0694

    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 existing 
collection of information provided for in Rule 17g-10 and Form ABS Due 
Diligence-15 E under the Securities Exchange Act of 1934 (15 U.S.C. 78a 
et seq.).\1\ The Commission plans to submit this existing collection of 
information to the Office of Management and Budget for extension and 
approval.
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    \1\ See 17 CFR 240.17g-1 and 17 CFR 249b.300.
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    Rule 17g-10 contains certain certification requirements for third-
party due diligence service providers that are employed by an NRSRO, an 
issuer, or an underwriter, which must be made on Form ABS Due 
Diligence-15E. The Commission estimates that the total burden for 
respondents to comply with Rule 17g-10 is 238 hours.
    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 on 
respondents; 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.
    The Commission may not conduct or sponsor a collection of 
information unless it displays a currently valid control number. No 
person shall be subject to any penalty for failing to comply with a 
collection of information subject to the PRA that does not display a 
valid Office of Management and Budget (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 St NE, Washington, DC 20549 or send an email to: 
[email protected].

     Dated: January 31, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-02256 Filed 2-2-18; 8:45 am]
 BILLING CODE 8011-01-P

5156 Federal Register / Vol. 83, No. 24 / Monday, February 5, 2018 / Notices Commission, Office of FOIA Services, costs of Commission rules and forms. of information to the Office of 100 F Street NE, Washington, DC The collection of information under rule Management and Budget for extension 20549–2736 35d–1 is mandatory. The information and approval. Extension: provided under rule 35d–1 will not be Rule 17g–3 contains certain reporting Rule 35d–1, SEC File No. 270–491, OMB kept confidential. An agency may not requirements for NRSROs including Control No. 3235–0548 conduct or sponsor, and a person is not financial statements and information Notice is hereby given that, pursuant required to respond to, a collection of concerning its financial condition that to the Paperwork Reduction Act of 1995 information unless it displays a the Commission, by rule, may prescribe (44 U.S.C. 3501 et seq.), the Securities currently valid OMB control number. as necessary or appropriate in the public Written comments are invited on: (a) interest or for the protection of and Exchange Commission (the Whether the proposed collection of investors. Currently, there are 10 credit ‘‘Commission’’) is soliciting comments information is necessary for the proper rating agencies registered as NRSROs on the collection of information performance of the functions of the with the Commission. The Commission summarized below. The Commission agency, including whether the estimates that the total burden for plans to submit this existing collection information will have practical utility; respondents to comply with Rule 17g– of information to the Office of (b) the accuracy of the agency’s estimate 3 is 3,650 hours. Management and Budget for extension of the burden of the collection of Written comments are invited on: (a) and approval. Rule 35d–1 (17 CFR 270.35d–1) under information; (c) ways to enhance the Whether the proposed collection of the Investment Company Act of 1940 quality, utility, and clarity of the information is necessary for the proper (15 U.S.C. 80a–1 et seq.) defines as information collected; and (d) ways to performance of the functions of the ‘‘materially deceptive and misleading’’ minimize the burden of the collection of Commission, including whether the for purposes of Section 35(d), among information on respondents, including information shall have practical utility; other things, a name suggesting that a through the use of automated collection (b) the accuracy of the Commission’s registered investment company or series techniques or other forms of information estimates of the burden of the proposed thereof (a ‘‘fund’’) focuses its technology. Consideration will be given collection of information; (c) ways to investments in a particular type of to comments and suggestions submitted enhance the quality, utility, and clarity investment or investments, in in writing within 60 days of this of the information on respondents; and investments in a particular industry or publication. (d) ways to minimize the burden of the group of industries, or in investments in Please direct your written comments collection of information on a particular country or geographic to Pamela Dyson, Director/Chief respondents, including through the use region, unless, among other things, the Information Officer, Securities and of automated collection techniques or fund adopts a certain investment policy. Exchange Commission, c/o Remi Pavlik- other forms of information technology. Rule 35d–1 further requires either that Simon, 100 F Street NE, Washington, Consideration will be given to the investment policy is fundamental or DC 20549; or send an email to: PRA_ comments and suggestions submitted in that the fund has adopted a policy to Mailbox@sec.gov. writing within 60 days of this provide its shareholders with at least 60 Dated: January 31, 2018. publication. days prior notice of any change in the Eduardo A. Aleman, The Commission may not conduct or investment policy (‘‘notice to Assistant Secretary. sponsor a collection of information shareholders’’). The rule’s notice to [FR Doc. 2018–02257 Filed 2–2–18; 8:45 am] unless it displays a currently valid shareholders provision is intended to BILLING CODE 8011–01–P control number. No person shall be ensure that when shareholders purchase subject to any penalty for failing to shares in a fund based, at least in part, comply with a collection of information on its name, and with the expectation SECURITIES AND EXCHANGE subject to the PRA that does not display that it will follow the investment policy COMMISSION a valid Office of Management and suggested by that name, they will have Budget (OMB) control number. sufficient time to decide whether to Proposed Collection; Comment Please direct your written comments redeem their shares in the event that the Request to: Pamela Dyson, Director/Chief fund decides to pursue a different Information Officer, Securities and Upon Written Request, Copies Available Exchange Commission, c/o Remi Pavlik- investment policy. From: Securities and Exchange Simon, 100 F St NE, Washington, DC The Commission estimates that there Commission, Office of FOIA Services, 20549 or send an email to: PRA_ are approximately 9,939 open-end and 100 F Street NE, Washington, DC Mailbox@sec.gov. closed-end funds that have names that 20549–2736 are covered by the rule. The Dated: January 31, 2018. Commission estimates that of these Extension: Rule 17g–3, SEC File No. 270–563, OMB Eduardo A. Aleman, 9,939 funds, approximately 33 will Control No. 3235–0626 Assistant Secretary. provide prior notice to shareholders [FR Doc. 2018–02255 Filed 2–2–18; 8:45 am] pursuant to a policy adopted in Notice is hereby given that pursuant BILLING CODE 8011–01–P accordance with this rule per year. The to the Paperwork Reduction Act of 1995 Commission estimates that the annual (44 U.S.C. 3501 et seq.), the Securities burden associated with the notice to and Exchange Commission SECURITIES AND EXCHANGE sradovich on DSK3GMQ082PROD with NOTICES shareholders requirement of the rule is (‘‘Commission’’) is soliciting comments COMMISSION 20 hours per response, for annual total on the existing collection of information of 660 hours per year. provided for in Rule 17g–3 under the Proposed Collection; Comment Estimates of average burden hours are Securities Exchange Act of 1934 (15 Request made solely for the purposes of the U.S.C. 78a et seq.).1 The Commission Paperwork Reduction Act and are not plans to submit this existing collection Upon Written Request, Copies Available derived from a comprehensive or even From: Securities and Exchange representative survey or study of the 1 See 17 CFR 240.17g–1 and 17 CFR 249b.300. Commission, Office of FOIA Services, VerDate Sep<11>2014 18:08 Feb 02, 2018 Jkt 244001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 E:\FR\FM\05FEN1.SGM 05FEN1

Federal Register / Vol. 83, No. 24 / Monday, February 5, 2018 / Notices 5157 100 F Street NE, Washington, DC Dated: January 31, 2018. 2665, Bureau of Oceans and 20549–2736 Eduardo A. Aleman, International Environmental and Extension: Assistant Secretary. Scientific Affairs, U.S. Department of Rule 17g–10 and Form ABS Due Diligence- [FR Doc. 2018–02256 Filed 2–2–18; 8:45 am] State, 2201 C Street NW, Washington, 15 E SEC File No. 270–563, OMB Control BILLING CODE 8011–01–P DC 20520. He may be reached on 202– No. 3235–0694 647–0237. Notice is hereby given that pursuant SUPPLEMENTARY INFORMATION: to the Paperwork Reduction Act of 1995 DEPARTMENT OF STATE • Title of Information Collection: (44 U.S.C. 3501 et seq.), the Securities ADVANCE NOTIFICATION FORM: [Public Notice: 10281] Tourist and Other Non-Governmental and Exchange Commission (‘‘Commission’’) is soliciting comments Activities in the Antarctic Treaty Area. 60-Day Notice of Proposed Information on the existing collection of information • OMB Control Number: 1405–0181. Collection: Advance Notification Form; provided for in Rule 17g–10 and Form Tourist and Other Non-Governmental • Type of Request: Extension of a ABS Due Diligence-15 E under the Activities in the Antarctic Treaty Area Currently Approved Collection. Securities Exchange Act of 1934 (15 • Originating Office: Bureau of U.S.C. 78a et seq.).1 The Commission Notice of request for public ACTION: Oceans and International Environmental plans to submit this existing collection comment. and Scientific Affairs (OES/OPA). of information to the Office of • Form Number: DS–4131. Management and Budget for extension SUMMARY: The Department of State is • Respondents: Operators of Antarctic and approval. seeking Office of Management and expeditions organized in or proceeding Rule 17g–10 contains certain Budget (OMB) approval for the from the United States. certification requirements for third- information collection described below. • Estimated Number of Respondents: party due diligence service providers In accordance with the Paperwork 25. that are employed by an NRSRO, an Reduction Act of 1995, we are • Estimated Number of Responses: issuer, or an underwriter, which must requesting comments on this collection 25. be made on Form ABS Due Diligence- from all interested individuals and • Average Time per Response: 10.5 15E. The Commission estimates that the organizations. The purpose of this hours. notice is to allow 60 days for public total burden for respondents to comply • Total Estimated Burden Time: 260 with Rule 17g–10 is 238 hours. comment preceding submission of the hours. collection to OMB. Written comments are invited on: (a) • Frequency: On occasion. Whether the proposed collection of DATES: The Department will accept • Obligation to Respond: Voluntary. information is necessary for the proper comments from the public up to April We are soliciting public comments to performance of the functions of the 6, 2018. permit the Department to: Commission, including whether the ADDRESSES: You may submit comments • Evaluate whether the proposed information shall have practical utility; by any of the following methods: information collection is necessary for (b) the accuracy of the Commission’s • Web: Persons with access to the the proper functions of the Department. estimates of the burden of the proposed internet may comment on this notice by • Evaluate the accuracy of our collection of information; (c) ways to going to www.Regulations.gov. You can estimate of the time and cost burden for enhance the quality, utility, and clarity search for the document by entering this proposed collection, including the of the information on respondents; and ‘‘Docket Number: DOS–2018–0006’’ in validity of the methodology and (d) ways to minimize the burden of the the Search field. Then click the assumptions used. collection of information on ‘‘Comment Now’’ button and complete • Enhance the quality, utility, and respondents, including through the use the comment form. clarity of the information to be of automated collection techniques or • Email: GanserPJ@State.gov. collected. other forms of information technology. • Regular Mail: Send written • Minimize the reporting burden on Consideration will be given to comments to: Peter Ganser, Office of those who are to respond, including the comments and suggestions submitted in Ocean and Polar Affairs, Room 2665, use of automated collection techniques writing within 60 days of this Bureau of Oceans and International or other forms of information publication. Environmental and Scientific Affairs, technology. The Commission may not conduct or U.S. Department of State, 2201 C Street Please note that comments submitted sponsor a collection of information NW, Washington, DC 20520. in response to this Notice are public unless it displays a currently valid You must include the DS form record. Before including any detailed control number. No person shall be number, DS–4131; information personal information, you should be subject to any penalty for failing to collection title, ADVANCE aware that your comments as submitted, comply with a collection of information NOTIFICATION FORM: Tourist and including your personal information, subject to the PRA that does not display Other Non-Governmental Activities in will be available for public review. a valid Office of Management and the Antarctic Treaty Area; and the OMB Budget (OMB) control number. control number, 1405–0181, in any Abstract of Proposed Collection Please direct your written comments correspondence. Information solicited on the Advance to: Pamela Dyson, Director/Chief FOR FURTHER INFORMATION CONTACT: Notification Form (DS–4131) provides sradovich on DSK3GMQ082PROD with NOTICES Information Officer, Securities and Direct requests for additional the U.S. Government with information Exchange Commission, c/o Remi Pavlik- information regarding the collection on tourist and other non-governmental Simon, 100 F St NE, Washington, DC listed in this notice, including requests expeditions to the Antarctic Treaty area. 20549 or send an email to: PRA_ for copies of the proposed collection The U.S. Government needs this Mailbox@sec.gov. instrument and supporting documents, information to comply with Article may be submitted to Peter Ganser, VII(5)(a) of the Antarctic Treaty and 1 See 17 CFR 240.17g–1 and 17 CFR 249b.300. Office of Ocean and Polar Affairs, Room associated documents. VerDate Sep<11>2014 18:08 Feb 02, 2018 Jkt 244001 PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 E:\FR\FM\05FEN1.SGM 05FEN1


Document Created: 2018-02-03 01:24:49
Document Modified: 2018-02-03 01:24:49
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 Citation83 FR 5156 
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