Federal Register / Vol. 75, No. 37 / Thursday, February 25, 2010 / Notices 8759 

1Rule 17a–5(c) requires a broker or dealer to 

furnish certain of its financial information to 

customers and is subject to a separate PRA filing 

(OMB Control Number 3235–0199). 

2Part IIB of Form X–17A–5 must be filed by OTC 

derivatives dealers under Exchange Act Rule 17a– 

12 and is subject to a separate PRA filing (OMB 

Control Number 3235–0498). 

II. Notice of Filing 

The Commission establishes Docket 

No. CP2010–24 for consideration of 

matters related to the contract identified 

in the Postal Service’s Notice. 

Interested persons may submit 

comments on whether the Postal 

Service’s contract is consistent with the 

policies of 39 U.S.C. 3632, 3622 or 3642. 

Comments are due no later than March 

1, 2010. The public portions of these 

filings can be accessed via the 

Commission’s Web site (http:// 

www.prc.gov). 

The Commission appoints Paul L. 

Harrington to serve as Public 

Representative in the captioned filings. 

III. Ordering Paragraphs 

It is ordered: 

1. The Commission establishes Docket 

No. CP2010–24 for consideration of 

matters raised by the Postal Service’s 

Notice. 

2. Comments by interested persons in 

these proceedings are due no later than 

March 1, 2010. 

3. Pursuant to 39 U.S.C. 505, Paul L. 

Harrington is appointed to serve as the 

officer of the Commission (Public 

Representative) to represent the 

interests of the general public in these 

proceedings. 

4. The Secretary shall arrange for 

publication of this order in the Federal 

Register. 

By the Commission. 

Judith M. Grady, 

Acting Secretary. 

[FR Doc. 2010–3788 Filed 2–24–10; 8:45 am] 

BILLING CODE 7710–FW–S 

SECURITIES AND EXCHANGE 

COMMISSION 

[Rule 17Ad–16; SEC File No. 270–363; OMB 

Control No. 3235–0413] 

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. 

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–16 (17 CFR 

240.17Ad–16) under the Securities 

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

seq.) (‘‘Exchange Act’’). 

Rule 17Ad–16 requires a registered 

transfer agent to provide written notice 

to the appropriate qualified registered 

securities depository when assuming or 

terminating transfer agent services on 

behalf of an issuer or when changing its 

name or address. In addition, transfer 

agents that provide such notice shall 

maintain such notice for a period of at 

least two years in an easily accessible 

place. This rule addresses the problem 

of certificate transfer delays caused by 

transfer requests that are directed to the 

wrong transfer agent or the wrong 

address. 

We estimate that the transfer agent 

industry submits approximately 3,000 

Rule 17Ad–16 notices to appropriate 

qualified registered securities 

depositories. The staff estimates that the 

average amount of time necessary to 

create and submit each notice is 

approximately 15 minutes per notice. 

Accordingly, the estimated total 

industry burden is 750 hours per year 

(15 minutes multiplied by 3,000 notices 

filed annually). 

Because the information needed by 

transfer agents to properly notify the 

appropriate registered securities 

depository is readily available to them 

and the report is simple and 

straightforward, the cost is relatively 

minimal. The average cost to prepare 

and send a notice is approximately 

$7.50 (15 minutes at $30 per hour). This 

yields an industry-wide cost estimate of 

$22,500 (3,000 notices multiplied by 

$7.50 per notice). 

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: 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 25, 2010. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–3753 Filed 2–24–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Rule 17a–5; SEC File No. 270–155; OMB 

Control No. 3235–0123] 

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. 

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 extension of the previously 

approved collection of information 

discussed below. 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. 

Rule 17a–5 (17 CFR 240.17a–5) is the 

basic financial reporting rule for brokers 

and dealers.1 The Rule requires the 

filing of Form X–17A–5 (17 CFR 

249.617), the Financial and Operational 

Combined Uniform Single Report 

(‘‘FOCUS Report’’), which was the result 

of years of study and comments by 

representatives of the securities industry 

through advisory committees and 

through the normal rule proposal 

methods. The FOCUS Report was 

designed to eliminate the overlapping 

regulatory reports required by various 

self-regulatory organizations and the 

Commission and to reduce reporting 

burdens as much as possible. The Rule 

also requires the filing of an annual 

audited report of financial statements. 

The FOCUS Report consists of: (1) 

Part I, which is a monthly report that 

must be filed by brokers or dealers that 

clear transactions or carry customer 

securities; (2) one of three alternative 

quarterly reports: Part II, which must be 

filed by brokers or dealers that clear 

transactions or carry customer 

securities; Part IIA, which must be filed 

by brokers or dealers that do not clear 

transactions or carry customer 

securities; and Part IIB, which must be 

filed by specialized broker-dealers 

registered with the Commission as OTC 

derivatives dealers; 2 (3) supplemental 


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