13000 Federal Register / Vol. 76, No. 46 / Wednesday, March 9, 2011 / Notices 

ADDRESSES: Interested persons are 

invited to submit written comments on 

the proposed information collection to 

U.S. Office of Personnel Management, 

Linda Bradford (Acting), Deputy 

Associate Director, Retirement 

Operations, Retirement Services, 1900 E 

Street, NW., Room 3305, Washington, 

DC 20415–3500 or send via electronic 

mail to Martha.Moore@opm.gov. 

FOR FURTHER INFORMATION CONTACT: A 

copy of this ICR, with applicable 

supporting documentation, may be 

obtained by contacting the Publications 

Team, Office of Personnel Management, 

1900 E Street, NW., Room 4332, 

Washington, DC 20415, Attention: Cyrus 

S. Benson, or sent via electronic mail to 

Cyrus.Benson@opm.gov or faxed to 

(202) 606–0910. 

SUPPLEMENTARY INFORMATION: Court 

Orders Affecting Retirement Benefits, 5 

CFR 838.221, 838.421, and 838.721 

describe how former spouses give us 

written notice of a court order requiring 

us to pay benefits to the former spouse. 

Specific information is needed before 

OPM can make court-ordered benefit 

payments. 

Analysis 

Agency: Retirement Operations, 

Retirement Services, Office of Personnel 

Management. 

Title: Court Orders Affecting 

Retirement Benefits, 5 CFR 838.221, 

838.421, and 838.721. 

OMB Number: 3206–0204. 

Frequency: On occasion. 

Affected Public: Individuals or 

Households. 

Number of Respondents: 19,000. 

Estimated Time Per Respondent: 30 

minutes. 

Total Burden Hours: 9,500. 

U.S. Office of Personnel Management. 

John Berry, 

Director. 

[FR Doc. 2011–5392 Filed 3–8–11; 8:45 am] 

BILLING CODE 6325–38–P 

POSTAL SERVICE 

Transfer of Commercial First-Class 

Mail Parcels to Competitive Product 

List 

AGENCY: Postal Service.TM

ACTION: Notice. 

SUMMARY: The Postal Service hereby 

provides notice that it has filed a 

request with the Postal Regulatory 

Commission to transfer commercial 

First-Class Mail Parcels from the Mail 

Classification Schedule’s MarketDominant Product List to its 

Competitive Product List. 

DATES: March 9, 2011. 

FOR FURTHER INFORMATION CONTACT: 

Nabeel Cheema, 202–268–7178. 

SUPPLEMENTARY INFORMATION: On 

February 24, 2011, the United States 

Postal Service® filed with the Postal 

Regulatory Commission a Request of the 

United States Postal Service to transfer 

commercial First-Class Mail Parcels 

from the Mail Classification Schedule’s 

Market-Dominant Product List to its 

Competitive Product List, pursuant to 

39 U.S.C. 3642. The transfer would take 

place in two steps: First, commercial 

First-Class Mail Parcels would be 

removed from the market-dominant 

product list; then, a new product, 

provisionally titled Lightweight 

Commercial Parcels, would be added to 

the competitive product list. 

Lightweight Commercial Parcels would 

be identical to commercial First-Class 

Mail Parcels, except that Lightweight 

Commercial Parcels would have a 

content restriction prohibiting the 

inclusion of any item classified as a 

‘‘letter’’ under the Private Express 

Statutes. Documents pertinent to this 

request are available at http:// 

www.prc.gov, Docket No. MC2011–22. 

Neva R. Watson, 

Attorney, Legislative. 

[FR Doc. 2011–5272 Filed 3–8–11; 8:45 am] 

BILLING CODE 7710–12–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 17a–13; SEC File No. 270–27; OMB 

Control No. 3235–0035. 

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 

provided for in the following rule: Rule 

17a–13 (17 CFR 240.17a–13) under the 

Securities Exchange Act of 1934 (15 

U.S.C. 78 et seq.). The Commission 

plans to submit a request for approval 

of extension of the existing collection of 

information to the Office of 

Management and Budget. 

Rule 17a–13(b) (17 CFR 17a–13(b)) 

generally requires that at least once each 

calendar quarter, all registered brokers 

and dealers physically examine and 

count all securities held and account for 

all other securities not in their 

possession, but subject to the brokerdealer’s control or direction. Any 

discrepancies between the brokerdealer’s securities count and the firm’s 

records must be noted and, within seven 

days, the unaccounted for difference 

must be recorded in the firm’s records. 

Rule 17a–13(c) (17 CFR 17a–13(c)) 

provides that under specified 

conditions, the securities counts, 

examination, and verification of the 

broker-dealer’s entire list of securities 

may be conducted on a cyclical basis 

rather than on a certain date. Although 

Rule 17a–13 does not require filing a 

report with the Commission, 

discrepancies between a broker-dealer’s 

records and the securities counts may be 

required to be reported, for example, as 

a loss on Form X–17a–5 (17 CFR 

248.617), which must be filed with the 

Commission under Rule 17a–5 (17 CFR 

17a–5). Rule 17a–13 exempts brokerdealers that limit their business to the 

sale and redemption of securities of 

registered investment companies and 

interests or participation in an 

insurance company separate account 

and those who solicit accounts for 

federally insured savings and loan 

associations, provided that such persons 

promptly transmit all funds and 

securities and hold no customer funds 

and securities. The Rule also does not 

apply to certain broker-dealers required 

to register only because they effect 

transactions in securities futures 

products. 

The information obtained from Rule 

17a–13 is used as an inventory control 

device to monitor a broker-dealer’s 

ability to account for all securities held, 

in transfer, in transit, pledged, loaned, 

borrowed, deposited, or otherwise 

subject to the firm’s control or direction. 

Discrepancies between the securities 

counts and the broker-dealer’s records 

alert the Commission and the Self 

Regulatory Organizations (‘‘SROs’’) to 

those firms having problems in their 

back offices. 

Currently, there are approximately 

5,030 broker-dealers registered with the 

Commission. However, given the 

variability in their businesses, it is 

difficult to quantify how many hours 

per year each broker-dealer spends 

complying with the Rule. As noted, the 

Rule requires a respondent to account 

for all securities in its possession. Many 

respondents hold few, if any, securities; 

while others hold large quantities. 

Therefore, the time burden of complying 

with the Rule will depend on 

respondent-specific factors, including 

size, number of customers, and 


Emcdonald on DSK2BSOYB1PROD with NOTICES