[Federal Register Volume 59, Number 125 (Thursday, June 30, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-15849]
[[Page Unknown]]
[Federal Register: June 30, 1994]
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SECURITIES AND EXCHANGE COMMISSION
Requests Under Review by Office of Management and Budget
Agency Clearance Office: John J. Lane, (202) 942-8800.
Upon written request copy available from: Securities and Exchange
Commission, Office of Filings and Information Services, Washington,
D.C. 20549.
Proposed Revisions
Regulation 14A--File No. 270-56
Regulation 14C--File No. 270-57
Rule 19b-4 and Form 19b-4--File No. 270-38
Rule 204-2--File No. 270-215
Rule 6a-2 and Form 1-A--File No. 270-13
Extensions
Rule 206(4)-3--File No. 270-218
Rule 206(4)-4--File No. 270-304
Form S-6--File No. 270-181
Rule 11a-3--File No. 270-321
Rule 17f-5--File No. 270-259
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1980 (44 U.S.C. section 3501 et. seq.), the Securities and Exchange
Commission (Commission) has submitted to the Office of Management and
Budget requests for approval of proposed amendments and/or extensions
on previously approved collections for the following rules and forms:
Regulation 14A specifies the information to be disclosed in proxy
statements to security holders of companies registered under Section 12
of the Securities Exchange Act of 1934 (1934 Act) and registered under
the Investment Company Act of 1940 (Investment Company Act) to enable
them to make informed voting decisions. Approximately 7,980 respondents
will incur a total of 670,320 burden hours annually.
Regulation 14C specifies the information to be disclosed in
information statements to security holders of companies registered
under Section 12 of the 1934 Act and registered under the Investment
Company Act to enable them to make informed voting decisions.
Approximately 58 respondents will incur a total of 4,930 burden hours
annually.
Rule 19b-4 implements the requirements of Section 19(b) of the
Exchange Act by requiring self regulatory organizations (SROs) to file
their rule proposals on Form 19b-4, and by clarifying which actions by
SROs must be filed pursuant to Section 19(b). Form 19b-4 is designed to
provide the Commission with the information necessary to determine
whether, as required by the Exchange Act, the rule proposal is
consistent with the Exchange Act and the rules thereunder. The
information received also is made available to members of the public
who may wish to comment on a particular rule proposal. Approximately 25
respondents will incur a total of 15,750 burden hours annually.
Rule 204-2 sets forth the books and records that registered
investment advisers must maintain and preserve. Approximately 21,000
advisers will incur a total of 5,049,870 burden hours annually.
Rule 6a-2 and Form 1-A allows a registered or exempt exchange to
update its registration annually by filing amendments on Form 1-A to
reflect any changes in specified information contained in the
registration statement of the exchange or its accompanying exhibits
that were not previously reported in an amendment. Approximately 9
national securities exchanges will incur a total of 270 burden hours
annually.
Rule 206(4)-3 sets forth the conditions in which investment
advisers are permitted to pay referral fees to solicitors of clients.
Approximately 3,588 respondents will incur a total of 25,260 burden
hours annually.
Rule 206(4)-4 requires advisers to disclose certain financial and
disciplinary information to clients. Approximately 1,231 advisers will
incur a total of 9,233 burden hours annually.
Form S-6 is used for registration of securities under the
Securities Act of 1933 (1933 Act) by unit investment trusts currently
issuing securities. Approximately 11,527 respondents will incur a total
of 403,445 burden hours annually.
Rule 11a-3 regulates offers of exchange that may be made by open-
end investment companies, other than insurance company separate
accounts, and their principal underwriters to their shareholders and to
shareholders of other open-end investment companies within the same
group of investment companies. Approximately 3,000 respondents will
incur a total of 6,000 burden hours annually.
Rule 17f-5 permits registered management investment companies that
engage in foreign securities transactions to place their assets with
eligible foreign custodians under certain specified conditions.
Approximately 1,035 recordkeepers will incur a total of 5,105 burden
hours annually.
Direct general comments to the Desk Officer for the Securities and
Exchange Commission at the address below. Direct any comments
concerning the accuracy of the estimated average burden hours for
compliance with the Commission rules and forms to John J. Lane,
Associate Executive Director, Securities and Exchange Commission, 450
Fifth Street, N.W., Washington, D.C. 20549 and Desk Officer for the
Securities and Exchange Commission, (Project Number 3235-0059, 3235-
0057, 3235-0045, 3235-0278, 3235-0022, 3235-0242, 3235-0345, 3235-0184,
3235-0358, and 3235-0269), Office of Management and Budget, Room 3208,
New Executive Office Building, Washington, D.C. 20503.
Dated: June 14, 1994.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 94-15849 Filed 6-29-94; 8:45 am]
BILLING CODE 8010-01-M