Submission for OMB Review; Comment Request; Extension: Form 40-F

CourtSecurities And Exchange Commission
Citation87 FR 126
Publication Date03 January 2022
Record Number2021-28438
126
Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices
1
1,000 banks × 2 notices = 2,000 notices; (2,000
notices × 15 minutes) = 30,000 minutes/60 minutes
= 500 hours.
at: https://www.nrc.gov/public-involve/
public-meetings/schedule.html.
The NRC provides reasonable
accommodation to individuals with
disabilities where appropriate. If you
need a reasonable accommodation to
participate in these public meetings or
need this meeting notice or the
transcript or other information from the
public meetings in another format (e.g.,
braille, large print), please notify Anne
Silk, NRC Disability Program Specialist,
at 301–287–0745, by videophone at
240–428–3217, or by email at
Anne.Silk@nrc.gov. Determinations on
requests for reasonable accommodation
will be made on a case-by-case basis.
Members of the public may request to
receive this information electronically.
If you would like to be added to the
distribution, please contact the Nuclear
Regulatory Commission, Office of the
Secretary, Washington, DC 20555, at
301–415–1969, or by email at
Tyesha.Bush@nrc.gov or Betty.Thweatt@
nrc.gov.
The NRC is holding the meetings
under the authority of the Government
in the Sunshine Act, 5 U.S.C. 552b.
Dated: December 29, 2021.
For the Nuclear Regulatory Commission.
Sergio E. Gonzalez,
Information Management Specialist, Office of
the Secretary.
[FR Doc. 2021–28485 Filed 12–29–21; 4:15 pm]
BILLING CODE 7590–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–335, OMB Control No.
3235–0381]
Submission for OMB Review;
Comment Request; Extension: Form
40–F
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
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.
Form 40–F (17 CFR 249.240f) is used
by certain Canadian issuers to register a
class of securities pursuant to Section
12(b) or (g) of the Securities Exchange
Act of 1934 (‘‘Exchange Act’’)(15 U.S.C.
78l) or as an annual report pursuant to
Section 13(a) or 15(d) of the Exchange
Act (15 U.S.C. 78m(a) or 78o(d)). The
information required in the Form 40–F
is used by investors in making
investment decisions with respect to the
securities of such Canadian companies.
We estimate that Form 40–F takes
approximately 431.42 hours per
response and is filed by approximately
132 respondents. We estimate that 25%
of the 431.42 hours per response
(107.855 hours) is prepared by the
issuer for a total reporting burden of
14,237 (107.855 hours per response ×
132 responses).
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 background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice to (i) www.reginfo.gov/public/do/
PRAMain and (ii) David Bottom,
Director/Chief Information Officer,
Securities and Exchange Commission, c/
o John Pezzullo, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: December 28, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–28438 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–562, OMB Control No.
3235–0624]
Submission for OMB Review;
Comment Request; Extension:
Regulation R, Rule 701
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Regulation R, Rule 701 (17 CFR 247.701)
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Regulation R, Rule 701 requires a
broker or dealer (as part of a written
agreement between the bank and the
broker or dealer) to notify the bank if the
broker or dealer makes certain
determinations regarding the financial
status of the customer, a bank
employee’s statutory disqualification
status, and compliance with suitability
or sophistication standards.
The Commission estimates there are
3,560 registered brokers or dealers that
would, on average, notify 1,000 banks
approximately two times annually about
a determination regarding a customer’s
high net worth or institutional status or
suitability or sophistication standing as
well as a bank employee’s statutory
disqualification status. Based on these
estimates, the Commission anticipates
that Regulation R, Rule 701 would result
in brokers or dealers making
approximately 2,000 notifications to
banks per year. The Commission further
estimates (based on the level of
difficulty and complexity of the
applicable activities) that a broker or
dealer would spend approximately 15
minutes per notice to a bank. Therefore,
the estimated total annual third party
disclosure burden for the requirements
in Regulation R, Rule 701 is 500
1
hours
for brokers or dealers.
The retention period for the
recordkeeping requirement under Rule
17Ad–2(c), (d), and (h) is not less than
two years following the date the notice
is submitted. The recordkeeping
requirement under this rule is
mandatory to assist the Commission in
monitoring transfer agents who fail to
meet the minimum performance
standards set by the Commission rule.
This rule does not involve the collection
of confidential information. Please note
that a transfer agent is not required to
file under the rule unless it does not
meet the minimum performance
standards for turnaround, processing or
forwarding items received for transfer
during a month.
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.
The public may view background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
VerDate Sep<11>2014 17:14 Dec 30, 2021 Jkt 256001 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\03JAN1.SGM 03JAN1
khammond on DSKJM1Z7X2PROD with NOTICES

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT