1662 Federal Register / Vol. 75, No. 7 / Tuesday, January 12, 2010 / Notices 

1 44 U.S.C. 3501 et seq. 

2Pub. L. 106–102, 113 Stat. 1338 (1999). 

3See 15 U.S.C. 78q(i). 

4See Exchange Act Release No. 49831 (Jun. 8, 

2004), 69 FR 34472 (Jun. 21, 2004). 

5See H.R. Conf. Rep. No. 106–434, 165 (1999). 

See also Exchange Act Release No. 49831, at 6 (Jun. 

8, 2004), 69 FR 34472, at 34473 (Jun. 21, 2004). 

6 15 U.S.C. 78q(i)(3)(A). 

7 17 CFR 240.17i–5(b)(4). 

SMALL BUSINESS ADMINISTRATION 

Small Business Size Standards: 

Waiver of the Nonmanufacturer Rule 

AGENCY: U.S. Small Business 

Administration. 

ACTION: Notice of intent to waive the 

Nonmanufacturer Rule for Compressed 

and Liquefied Gases. 

SUMMARY: The U.S. Small Business 

Administration (SBA) is considering 

granting a waiver of the 

Nonmanufacturer Rule for Compressed 

and Liquefied Gases, Product Service 

Code (PSC) 6830, North American 

Industry Classification (NAICS) code 

325120. According to a request, no 

small business manufacturers supply 

this class of product to the Federal 

Government. If granted, the waiver 

would allow otherwise qualified small 

businesses to supply the products of any 

manufacturer on a Federal contract set 

aside for small businesses, servicedisabled veteran-owned small 

businesses, or Participants in the SBA’s 

8(a) Business Development (BD) 

Program. 

DATES: Comments and source 

information must be submitted January 

27, 2010. 

ADDRESSES: You may submit comments 

and source information to Amy Garcia, 

Program Analyst, U.S. Small Business 

Administration, Office of Government 

Contracting, 409 3rd Street, SW., Suite 

8800, Washington, DC 20416. 

FOR FURTHER INFORMATION CONTACT: 

Amy Garcia, by telephone at (202) 205– 

6842; by FAX at (202) 481–1630; or by 

e-mail at Amy.garcia@sba.gov. 

SUPPLEMENTARY INFORMATION: Section 

8(a)(17) of the Small Business Act (Act), 

15 U.S.C. 637(a)(17), and SBA’s 

implementing regulations require that 

recipients of Federal contracts set aside 

for small businesses, service-disabled 

veteran-owned small businesses, or 

participants in the SBA’s 8(a) BD 

Program provide the product of a small 

business manufacturer or processor, if 

the recipient is other than the actual 

manufacturer or processor of the 

product. This requirement is commonly 

referred to as the Nonmanufacturer 

Rule. 13 CFR 121.406(b). Section 

8(a)(17)(b)(iv) of the Act authorizes SBA 

to waive the Nonmanufacturer Rule for 

any ‘‘class of products’’ for which there 

are no small business manufacturers or 

processors available to participate in the 

Federal market. In order to be 

considered available to participate in 

the Federal market for a class of 

products, a small business manufacturer 

must have submitted a proposal for a 

contract solicitation or received a 

contract from the Federal government 

within the last 24 months. 13 CFR 

121.1202(c). The SBA defines ‘‘class of 

products’’ based on the Office of 

Management and Budget’s NAICS 

system and (PSCs) to further identify 

particular products within the NAICS 

code to which a waiver would apply. 

The public is invited to comment or 

provide source information to SBA on 

the proposed waiver of the 

Nonmanufacturer Rule for this class of 

product within 15 days after date of 

publication in the Federal Register. 

Dated: January 5, 2010. 

Dean Koppel, 

Acting Director, Office of Government 

Contracting. 

[FR Doc. 2010–328 Filed 1–11–10; 8:45 am] 

BILLING CODE 8025–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

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 17i–8; SEC File No. 270–533; OMB 

Control No. 3235–0591. 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 

1995 1 the Securities and Exchange 

Commission (‘‘Commission’’) has 

submitted to the Office of Management 

and Budget a request for extension of 

the previously approved collections of 

information discussed below. The Code 

of Federal Regulation citation to this 

collection of information is the 

following rule: 17 CFR 240.17i–8. 

Section 231 of the Gramm-LeachBliley Act of 1999 2 (the ‘‘GLBA’’) 

amended Section 17 of the Securities 

Exchange Act of 1934 (15 U.S.C. 78q) 

(the ‘‘Exchange Act’’) to create a 

regulatory framework under which a 

holding company of a broker-dealer 

(‘‘investment bank holding company’’ or 

‘‘IBHC’’) may voluntarily be supervised 

by the Commission as a supervised 

investment bank holding company (or 

‘‘SIBHC’’).3 In 2004, the Commission 

promulgated rules, including Rule 17i– 

8, to create a framework for the 

Commission to supervise SIBHCs.4 This 

framework includes qualification 

criteria for 

SIBHCs, as well as recordkeeping and 

reporting requirements. Among other 

things, this regulatory framework for 

SIBHCs is intended to provide a basis 

for non-U.S. financial regulators to treat 

the Commission as the principal U.S. 

consolidated, home-country supervisor 

for SIBHCs and their affiliated brokerdealers.5

Pursuant to Section 17(i)(3)(A) of the 

Exchange Act, an SIBHC must make and 

keep records, furnish copies thereof, 

and make such reports as the 

Commission may require by rule.6 Rule 

17i–8 requires that an SIBHC to notify 

the Commission upon the occurrence of 

certain events that would indicate a 

decline in the financial and operational 

well-being of the firm. 

The collections of information 

included in Rule 17i–8 are necessary to 

allow the Commission to effectively 

determine whether supervision of an 

IBHC as an SIBHC is necessary or 

appropriate in furtherance of the 

purposes of Section 17 of the Act and 

allow the Commission to supervise the 

activities of these SIBHCs. Rule 17i–8 

also enhances the Commission’s 

supervision of the SIBHCs’ subsidiary 

broker-dealers through collection of 

additional information and inspections 

of affiliates of those broker-dealers. 

Without these notices, the Commission 

would be unable to adequately 

supervise an SIBHC, nor would it be 

able to determine whether continued 

supervision of an IBHC as an SIBHC 

were necessary and appropriate in 

furtherance of the purposes of Section 

17 of the Act. 

We estimate that three IBHCs will file 

Notices of Intention with the 

Commission to be supervised by the 

Commission as SIBHCs. An SIBHC will 

require about one hour to create a notice 

required to be submitted to the 

Commission pursuant to Rule 17i–8. 

However, as these notices only need be 

filed in certain situations indicative of 

financial or operational difficulty, only 

one SIBHC may be required to file 

notice pursuant to the Rule every other 

year. Thus, we estimate that the annual 

burden of Rule 17i–8 for all SIBHCs 

would be about 30 minutes. 

The reports and notices required to be 

filed pursuant to Rule 17i–8 must be 

preserved for a period of not less than 

three years.7 The collection of 

information is mandatory and the 

WReier-Aviles on DSKGBLS3C1PROD with NOTICES

Federal Register / Vol. 75, No. 7 / Tuesday, January 12, 2010 / Notices 1663 

8 5 U.S.C. 552(b)(3)(B). 

1 44 U.S.C. 3501 et seq. 

2Pub. L. 106–102, 113 Stat. 1338 (1999). 

3See 15 U.S.C. 78q(i). 

4See Exchange Act Release No. 49831 (Jun. 8, 

2004), 69 FR 34472 (Jun. 21, 2004). 

5See H.R. Conf. Rep. No. 106–434, 165 (1999). 

See also Exchange Act Release No. 49831, at 6 (Jun. 

8, 2004), 69 FR 34472, at 34473 (Jun. 21, 2004). 

information required to be provided to 

the Commission pursuant to this Rule is 

deemed confidential pursuant to 

Section 17(j) of the Exchange Act and 

Section 552(b)(3)(B) of the Freedom of 

Information Act,8 notwithstanding any 

other provision of law. In addition, 

paragraph 17i–8(c) specifies that the 

notices and reports filed in accordance 

with Rule 17i–8 will be accorded 

confidential treatment to the extent 

permitted by law. 

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. 

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@comb.eop.gov; and 

(ii) Charles Boucher, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Shirley 

Martinson, 6432 General Green Way, 

Alexandria, Virginia 22312 or send an email to PRA_Mailbox@sec.gov. 

Comments must be submitted to OMB 

within 30 days of this notice. 

Dated: January 6, 2010. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–302 Filed 1–11–10; 8:45 am] 

BILLING CODE 8011–01–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 17Ad–13; SEC File No. 270–263; 

OMB Control No. 3235–0275. 

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 a 

request for approval of extension of the 

existing collection of information 

provided for Rule 17Ad–13 (17 CFR 

240.17Ad–13) under the Securities 

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

seq.) (‘‘Exchange Act’’). 

Rule 17Ad–13 requires approximately 

150 registered transfer agents to obtain 

an annual report on the adequacy of 

internal accounting controls. In 

addition, transfer agents must maintain 

copies of any reports prepared pursuant 

to Rule 17Ad–13 plus any documents 

prepared to notify the Commission and 

appropriate regulatory agencies in the 

event that the transfer agent is required 

to take any corrective action. These 

recordkeeping requirements assist the 

Commission and other regulatory 

agencies with monitoring transfer agents 

and ensuring compliance with the rule. 

Small transfer agents are exempt from 

Rule 17Ad–13. 

The staff estimates that the average 

number of hours necessary for each 

transfer agent to comply with Rule 

17Ad–13 is 120 hours annually. The 

total burden is 18,000 hours annually 

for transfer agents, based upon past 

submissions. The staff estimates that the 

average cost per hour is approximately 

$60. Therefore, the total cost of 

compliance for transfer agents is 

$1,080,000. 

The retention period for the 

recordkeeping requirement under Rule 

17Ad–13 is three years following the 

date of a report prepared pursuant to the 

rule. The recordkeeping requirement 

under Rule 17Ad–13 is mandatory to 

assist the Commission and other 

regulatory agencies with monitoring 

transfer agents and ensuring compliance 

with the rule. This rule does not involve 

the collection of confidential 

information. 

Please note that 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. 

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: (i) 

Shagufta_Ahmed@comb.eop.gov; and 

(ii) Charles Boucher, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Shirley 

Martinson, 6432 General Green Way, 

Alexandria, Virginia 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 6, 2010. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–304 Filed 1–11–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

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 17i–5; SEC File No. 270–531; OMB 

Control No. 3235–0590. 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 

1995 1 the Securities and Exchange 

Commission (‘‘Commission’’) has 

submitted to the Office of Management 

and Budget a request for extension of 

the previously approved collections of 

information discussed below. The Code 

of Federal Regulations citation to this 

collection of information is the 

following rule: 17 CFR 240.17i–5. 

Section 231 of the Gramm-LeachBliley Act of 1999 2 (the ‘‘GLBA’’) 

amended Section 17 of the Securities 

Exchange Act of 1934 (15 U.S.C. 78q) 

(the ‘‘Exchange Act’’) to create a 

regulatory framework under which a 

holding company of a broker-dealer 

(‘‘investment bank holding company’’ or 

‘‘IBHC’’) may voluntarily be supervised 

by the Commission as a supervised 

investment bank holding company (or 

‘‘SIBHC’’).3 In 2004, the Commission 

promulgated rules, including Rule 17i– 

5, to create a framework for the 

Commission to supervise SIBHCs.4 This 

framework includes qualification 

criteria for SIBHCs, as well as 

recordkeeping and reporting 

requirements. Among other things, this 

regulatory framework for SIBHCs is 

intended to provide a basis for non-U.S. 

financial regulators to treat the 

Commission as the principal U.S. 

consolidated, home-country supervisor 

for SIBHCs and their affiliated brokerdealers.5

Pursuant to Section 17(i)(3)(A) of the 

Exchange Act, an SIBHC would be 

required to make and keep records, 

WReier-Aviles on DSKGBLS3C1PROD with NOTICES