Federal Register / Vol. 76, No. 9 / Thursday, January 13, 2011 / Notices 2429 

approximately one page or less in length 

(4,000 characters) are requested. This 

request will be active through January 

21, 11:59 pm EST. 

DATES: Comments were previously 

invited through 11:59 p.m. EST on 

January 6, 2011. This notice extends the 

period for public comment through 

January 21, 11:59 pm EST. 

ADDRESSES: Respondents are 

encouraged to register online at the NNI 

Strategy Portal at http:// 

strategy.nano.gov to post their 

comments (4,000 characters or less) as a 

response to the request for public 

comment. Alternatively, comments of 

one page in length or less may be 

submitted via e-mail to: 

nnistrategy@ostp.gov. Any information 

you provide to us may be posted online. 

Therefore, do not send any information 

that might be considered proprietary, 

personal, sensitive, or confidential. 

Overview: The National 

Nanotechnology Initiative Strategy for 

Nanotechnology-Related Environmental, 

Health, and Safety Research or ‘‘NNI 

EHS Strategy’’ helps to facilitate 

achievement of the National 

Nanotechnology Initiative vision by 

laying out guidance for agency leaders, 

program managers, and the research 

community regarding planning and 

implementation of nanotechnology EHS 

R&D investments and activities. 

The NNI is a U.S. Government R&D 

program of 25 agencies working together 

toward the common challenging vision 

of a future in which the ability to 

understand and control matter at the 

nanoscale leads to a revolution in 

technology and industry that benefits 

society. The combined, coordinated 

efforts of these agencies have 

accelerated discovery, development, 

and deployment of nanotechnology 

towards agency missions and the 

broader national interest. Established in 

2001, the NNI involves nanotechnologyrelated activities by the 25 member 

agencies, 15 of which have requested 

budgets for nanotechnology R&D for 

Fiscal Year (FY) 2011. 

The NNI is managed within the 

framework of the National Science and 

Technology Council (NSTC), the 

Cabinet-level council that coordinates 

science and technology across the 

Federal government and interfaces with 

other sectors. The Nanoscale Science, 

Engineering, and Technology (NSET) 

Subcommittee of the NSTC coordinates 

planning, budgeting, program 

implementation, and review of the NNI. 

The NSET Subcommittee is composed 

of senior representatives from agencies 

participating in the NNI (http:// 

www.nano.gov). The NSET 

Subcommittee and its Nanotechnology 

Environmental and Health Implications 

(NEHI) Working Group provide 

leadership in establishing the NNI 

environmental, health, and safety 

research agenda and in communicating 

data and information related to the 

environmental and health aspects of 

nanotechnology between NNI agencies 

and with the public. NNI activities 

support the development of the new 

tools and methods required for the 

research that will enable risk analysis 

and assist in regulatory decisionmaking. 

The NSET Subcommittee has solicited 

multiple streams of input to inform the 

development of this latest NNI EHS 

Strategy. Independent reviews of the 

NNI by the President’s Council of 

Advisors on Science and Technology 

and the National Research Council of 

the National Academies have made 

specific recommendations for improving 

the NNI EHS strategy. A series of four 

NNI workshops took place in 2009–2010 

to solicit input for this strategy: 1. 

Human & Environmental Exposure 

Assessment of Nanomaterials (details at 

http://www.nano.gov/html/meetings/ 

exposure/), 2. Nanomaterials and the 

Environment & Instrumentation, 

Metrology, and Analytical Methods 

(details at http://www.nano.gov/html/ 

meetings/environment/), 3. 

Nanomaterials and Human Health & 

Instrumentation, Metrology, and 

Analytical Methods (details at http:// 

www.nano.gov/html/meetings/ 

humanhealth/), and 4. Capstone: Risk 

Management Methods & Ethical, Legal, 

and Societal Implications of 

Nanotechnology (details at http:// 

www.nano.gov/html/meetings/ 

capstone/). Additional input has come 

from the NNI Strategic Planning 

Stakeholders Workshop (details at 

http://www.nano.gov/html/meetings/ 

NNISPWorkshop/) as well as in 

responses to a Request for Information 

published in the Federal Register on 

July 6, 2010, and comments posted 

online in response to challenge 

questions from July 13–August 15, 2010, 

at the NNI Strategy Portal (http:// 

strategy.nano.gov). 

The draft NNI EHS Strategy 

complements the 2010 NNI Strategic 

Plan by setting forth the NNI strategy for 

nanotechnology-related environmental, 

health, and safety (EHS) research. It 

describes the NNI vision and goals for 

Federal EHS research and presents the 

current NNI EHS research portfolio. The 

EHS strategy includes a description of 

the NNI EHS research investment by 

research need, the state of the science, 

and an analysis of the gaps and barriers 

to achieving that research as part of the 

NNI’s adaptive management of this 

strategy. This strategy updates and 

replaces the NNI EHS Strategy of 

February 2008. The NNI EHS Strategy 

aims to ensure the responsible 

development of nanotechnology by 

providing guidance to the Federal 

agencies that produce the scientific 

information for risk management, 

regulatory decision-making, product 

use, research planning, and public 

outreach. The core research areas 

providing this critical information are 

measurement, human exposure 

assessment, human health, and the 

environment in order to inform risk 

assessment and risk management. 

Your comments on this draft of the 

plan must be received by 11:59 p.m. 

EST on January 21, 2011. Please 

reference page and line numbers as 

appropriate, and keep your responses to 

4,000 characters or less. You may also 

e-mail your responses, no more than one 

page in length, to nnistrategy@ostp.gov. 

Responses to this notice are not offers 

and cannot be accepted by the Federal 

government to form a binding contract 

or issue a grant. Information obtained as 

a result of this notice may be used by 

the Federal government for program 

planning on a non-attribution basis. Any 

information you provide to us may be 

posted online. Therefore, do not send 

any information that might be 

considered proprietary, personal, 

sensitive, or confidential. 

FOR FURTHER INFORMATION CONTACT: Any 

questions about the content of this 

notice should be sent to 

NNIStrategy@ostp.gov. Questions and 

responses may also be sent by mail 

(please allow additional time for 

processing) to the address: Office of 

Science and Technology Policy, ATTN: 

NNI EHS Strategy Comments, Executive 

Office of the President, 725 17th Street 

Room 5228, Washington, DC 20502. 

Phone: (202) 456–7116, Fax: (202) 456– 

6021. 

Ted Wackler, 

Deputy Chief of Staff. 

[FR Doc. 2011–555 Filed 1–12–11; 8:45 am] 

BILLING CODE 3170–W0–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Rule 17a–4(b)(11), SEC File No. 270–449, 

OMB Control No. 3235–0506, Rule 17a– 

3(a)(16)] 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 


srobinson on DSKHWCL6B1PROD with NOTICES
2430 Federal Register / Vol. 76, No. 9 / Thursday, January 13, 2011 / Notices 

1 15 U.S.C. 78s(b)(1). 

2 15 U.S.C. 78s(b)(3)(A)(ii). 

3 17 CFR 240.19b-4(f)(2). 

Education and Advocacy, 

Washington, DC 20549. 

Extension: 

Rule 17a–4(b)(11), SEC File No. 270– 

449, OMB Control No. 3235–0506, 

Rule 17a–3(a)(16). 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. Sec. 3501 et seq.), the 

Securities and Exchange Commission 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for extension of the 

existing collection of information 

provided for in the following rule: Rule 

17a–4(b)(11) (17 CFR Sec. 240.17a– 

4(b)(11)) under the Securities Exchange 

Act of 1934 (15 U.S.C. 78a et seq.). 

Rule 17a–4(b)(11) (17 CFR Sec. 

240.17a–4(b)(11)) under the Securities 

Exchange Act of 1934 (15 U.S.C. 78a et 

seq.) describes the record preservation 

requirements for those records required 

to be kept pursuant to Rule 17a–3(a)(16), 

including how such records should be 

kept and for how long, to be used in 

monitoring compliance with the 

Commission’s financial responsibility 

program and antifraud and 

antimanipulative rules as well as other 

rules and regulations of the Commission 

and the self-regulatory organizations. 

It is estimated that respondents will 

incur a total burden of 2835 hours per 

year (105 respondents multiplied by 27 

burden hours to comply with Rule 17a– 

3(a)(16). It is estimated that 

approximately 105 active broker-dealer 

respondents registered with the 

Commission will incur a total burden of 

315 hours per year to comply with Rule 

17a–4(b)(11), (105 respondents 

multiplied by 3 burden hours per 

respondent equals 315 total burden 

hours). 

The Commission estimates that an 

employee of a broker-dealer charged to 

ensure compliance with Rule 17a– 

3(a)(16) receives annual compensation 

of $238,000. This compensation is the 

equivalent of $119 per hour ($238,000 

divided by 2,000 payroll hours per 

year). Thus, the average cost estimated 

for each respondent would be $3,213: 

Rule 17a–3(a)(16) Recordkeeping 

requirements 27 hours at $119/hr = 

$3,213. 

The Commission estimates that an 

employee of a broker-dealer charged to 

ensure compliance with Rule 17a– 

4(b)(11) receives annual compensation 

of $238,000. This compensation is the 

equivalent of $119 per hour ($238,000 

divided by 2,000 pay roll hours per 

year). Thus, the average cost estimated 

for each respondent would be $357.00: 

Rule 17a–4(b)(11) Record preservation 

requirements 3 hours at $119/hr = $357. 

Accordingly, the annual aggregated 

hour burden for each broker-dealer 

required to comply with Rules 17a– 

3(a)(16) and 17a–4(b)(11) would be 

$3,570: ($3213 + $357 = $3570). 

Under Rule 17a–4(a)(11) brokerdealers are required to retain records for 

a period of not less than three years. 

Compliance with the rule is mandatory. 

The required records are available only 

to the examination staff of the 

Commission and the self-regulatory 

organization of which the broker-dealer 

is a member. 

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 

the information discussed in this notice 

at http://www.reginfo.gov. 

Comments should be directed to: (i) 

Desk Officer for the Securities and 

Exchange Commission, Office of 

Information and Regulatory Affairs, 

Office of Management and Budget, 

Room 10102, New Executive Office 

Building, Washington, DC 20503, or by 

sending an e-mail to: 

Shagufta_Ahmed@omb.eop.gov; and (ii) 

Thomas Bayer, Chief Information 

Officer, Securities and Exchange 

Commission, c/o Remi Pavlik-Simon, 

6432 General Green Way, Alexandria, 

VA 22312 or send an e-mail to: 

PRA_Mailbox@sec.gov. Comments must 

be submitted to OMB within 30 days of 

this notice. 

Dated: January 10, 2010. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2011–674 Filed 1–12–11; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–63659; File No. SR–DTC– 

2010–17] 

Self-Regulatory Organizations; the 

Depository Trust Company; Notice of 

Filing and Immediate Effectiveness of 

Proposed Rule Change Relating to Fee 

Revisions 

January 6, 2011. 

Pursuant to Section 19(b)(1) of the 

Securities Exchange Act of 1934 

(‘‘Act’’),1 notice is hereby given that on 

December 28, 2010, The Depository 

Trust Company (‘‘DTC’’) filed with the 

Securities and Exchange Commission 

(‘‘Commission’’) the proposed rule 

change as described in Items I and II, 

which Items have been prepared 

primarily by DTC. DTC filed the 

proposed rule change pursuant to 

Section 19(b)(3)(A)(ii) of the Act 2 and 

Rule 19b-4(f)(2) 3 thereunder so that the 

proposal was effective upon filing with 

the Commission. The Commission is 

publishing this notice to solicit 

comments on the proposed rule change 

from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

The purpose of this filing is to revise 

the fees for certain services provided by 

DTC. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, 

DTC included statements concerning 

the purpose of and basis for the 

proposed rule change and discussed any 

comments it received on the proposed 

rule change. The text of these statements 

may be examined at the places specified 

in Item IV below. DTC has prepared 

summaries, set forth in sections A, B, 

and C below, of the most significant 

aspects of such statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

The purpose of the proposed rule 

change is to revise the fees for certain 

services provided by DTC. DTC will 

increase fees associated with Custody 

and Asset Servicing, Deposits, 

Underwriting and Dividend, Book-Entry 

Delivery, and MMI services in order to 

realign fees with costs incurred in 

providing these services and to scale the 

fees to reflect processing complexity, 

with the objective of fee simplification 

and transparency. 

DTC will also introduce fees for new 

capabilities in Asset Services, including 

a fee to recover costs associated with 

excluding Treasury Shares of a company 

from dividend processing. 

In addition, DTC will implement or 

increase certain disincentive fees to 

discourage behavior that keeps the 

industry from achieving peak efficiency, 

including fee increases in Asset Services 

reject and exception processing relating 

to Underwriting and Withdrawal 

activities. 

DTC states that the proposed fee 

revisions are consistent with DTC’s 

overall pricing philosophy of aligning 

service fees with underlying costs, 


srobinson on DSKHWCL6B1PROD with NOTICES