Federal Register / Vol. 77, No. 83 / Monday, April 30, 2012 / Notices 25509 

Agency name Organization name Position title Authorization 

No. Date revoked 

DEPARTMENT OF HOMELAND 

SECURITY.

Office of the Assistant Secretary 

for Policy.

Business Liaison ............................ DM100004 11/18/2011 

Office of the Assistant Secretary 

for Policy.

Policy Analyst ................................. DM110097 11/18/2011 

Office of the Assistant Secretary 

for Policy.

Special Assistant ............................ DM100125 11/29/2011 

Office of the Assistant Secretary 

for Policy.

Senior Advisor ................................ DM110112 11/5/2011 

DEPARTMENT OF HOUSING 

AND URBAN DEVELOPMENT.

Office of the Secretary ................... Senior Advisor ................................ DU100052 11/4/2011 

SMALL BUSINESS ADMINISTRATION.Office of Field Operations .............. Senior Advisor to the Associate 

Administrator for Field Operations.

SB090063 11/4/2011 

DEPARTMENT OF STATE ............ Office of the Secretary ................... Special Assistant ............................ DS090137 11/14/2011 

Office of the Under Secretary for 

Arms Control and International 

Security.

Staff Assistant ................................ DS110054 11/30/2011 

DEPARTMENT OF TRANSPORTATION.Public Affairs .................................. Press Secretary ............................. DT100005 11/10/2011 

UNITED STATES TAX COURT ..... United States Tax Court ................ Chambers Administrator ................ JC080032 11/3/2011 

Authority: 5 U.S.C. 3161, 3301 and 3302; 

E.O. 10577, 3 CFR 1954–1958 Comp., p. 218. 

U.S. Office of Personnel Management. 

John Berry, 

Director. 

[FR Doc. 2012–10334 Filed 4–27–12; 8:45 am] 

BILLING CODE 6325–39–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 15c2–8; OMB Control No. 3235–0481; 

SEC File No. 270–421. 

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 

(‘‘OMB’’) a request for approval of 

extension of the existing collection of 

information provided for in the 

following rule: Rule 15c2–8 (17 CFR 

240.15c2–8), under the Securities 

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

seq.). 

Rule 15c2–8 requires broker-dealers to 

deliver preliminary and/or final 

prospectuses to certain people under 

certain circumstances. In connection 

with securities offerings generally, 

including initial public offerings (IPOs), 

the rule requires broker-dealers to take 

reasonable steps to distribute copies of 

the preliminary or final prospectus to 

anyone who makes a written request, as 

well as any broker-dealer who is 

expected to solicit purchases of the 

security and who makes a request. In 

connection with IPOs, the rule requires 

a broker-dealer to send a copy of the 

preliminary prospectus to any person 

who is expected to receive a 

confirmation of sale (generally, this 

means any person who is expected 

actually to purchase the security in the 

offering) at least 48 hours prior to the 

sending of such confirmation. This 

requirement is sometimes referred to as 

the ‘‘48 hour rule.’’ 

Additionally, managing underwriters 

are required to take reasonable steps to 

ensure that all broker-dealers 

participating in the distribution of or 

trading in the security have sufficient 

copies of the preliminary or final 

prospectus, as requested by them, to 

enable such broker-dealer to satisfy their 

respective prospectus delivery 

obligations pursuant to Rule 15c2–8, as 

well as Section 5 of the Securities Act 

of 1933. 

Rule 15c2–8 implicitly requires that 

broker-dealers collect information, as 

such; the collection facilitates 

compliance with the rule. There is no 

requirement to submit collected 

information to the Commission. In order 

to comply with the rule, broker-dealers 

participating in a securities offering 

must keep accurate records of persons 

who have indicated interest in an IPO 

or requested a prospectus, so that they 

know to whom they must send a 

prospectus. 

The Commission estimates that 

broker-dealers will spend a total of 

74,010 hours complying with the 

collection of information required by 

the rule. The Commission estimates that 

the total number of responses required 

by the rule is 6,909. The Commission 

estimates that the total annualized cost 

burden (copying and postage costs) is 

$15,014,400 ($12,300,000 for IPOs + 

$2,714,400 for other offerings). 

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. 

The public may view the background 

documentation for this information 

collection at the following Web site, 

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 email to: 

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

Thomas Bayer, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way, 

Alexandria, VA 22312 or send an email 

to: PRA_Mailbox@sec.gov. Comments 

must be submitted to OMB within 30 

days of this notice. 

Dated: April 24, 2012. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2012–10291 Filed 4–27–12; 8:45 am] 

BILLING CODE 8011–01–P 

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