Federal Register / Vol. 74, No. 168 / Tuesday, September 1, 2009 / Notices 45259 

DHGS60075 Special Assistant to the 

Director, Center for Faith Based and 

Community Initiatives. Effective July 

20, 2009. 

DHGS60511 Special Assistant to the 

Deputy Assistant Secretary and InterDepartmental Liaison for Early 

Childhood Development. Effective 

July 21, 2009. 

Department of Education 

DBGS00222 Confidential Assistant to 

the Director, Race to the Top. 

Effective July 1, 2009. 

DBGS00683 Special Assistant to the 

Deputy Secretary of Education. 

Effective July 1, 2009. 

DBGS00197 Confidential Assistant to 

the Special Assistant, Office of 

Legislation and Congressional Affairs. 

Effective July 2, 2009. 

DBGS00435 Special Assistant to the 

Assistant Secretary, Office of 

Communications and Outreach. 

Effective July 2, 2009. 

DBGS00682 Deputy General Counsel. 

Effective July 7, 2009. 

DBGS00609 Special Assistant to the 

Under Secretary. Effective July 9, 

2009. 

DBGS00103 Special Assistant to the 

Assistant Secretary for Planning, 

Evaluation, and Policy Development. 

Effective July 20, 2009. 

DBGS00231 Confidential Assistant to 

the Deputy Under Secretary. Effective 

July 20, 2009. 

DBGS00509 Director of the White House 

Initiative on Historically Black 

Colleges and Universities. Effective 

July 20, 2009. 

DBGS00680 Deputy Assistant Secretary 

for Planning, Evaluation, and Policy 

Development. Effective July 20, 2009. 

DBGS00428 Confidential Assistant to 

the Special Assistant, Office of 

Communication and Outreach. 

Effective July 23, 2009. 

DBGS00684 Special Assistant to the 

Deputy Secretary of Education. 

Effective July 23, 2009. 

DBGS00004 Senior Advisor on Early 

Learning for the Chief of Staff. 

Effective July 31, 2009. 

Environmental Protection Agency 

EPGS06019 Director, Office of the 

Executive Secretariat. Effective July 

16, 2009. 

EPGS09010 Special Assistant to the 

Associate Administrator for Public 

Affairs. Effective July 24, 2009. 

Federal Communications Commission 

FCGS90147 Legislative Analyst for the 

Director, Office of Legislative Affairs. 

Effective July 21, 2009. 

FCGS90148 Legislative Analyst for the 

Director, Office of Legislative Affairs. 

Effective July 21, 2009. 

Department of Energy 

DEGS00764 Special Assistant to the 

General Counsel. Effective July 7, 

2009. 

DEGS00762 Special Assistant to the 

Chief of Staff. Effective July 22, 2009. 

DEGS00765 Special Assistant to the 

Assistant Secretary (Energy Efficiency 

and Renewable Energy). Effective July 

22, 2009. 

Small Business Administration 

SBGS00540 Assistant Administrator for 

Faith-Based and Community 

Initiatives. Effective July 9, 2009. 

SBGS00653 Deputy General Counsel. 

Effective July 9, 2009. 

SBGS00685 Special Assistant to the 

Chief of Staff. Effective July 24, 2009. 

SBGS00686 Senior Advisor to the Chief 

Operating Officer. Effective July 30, 

2009. 

SBGS00622 Assistant Administrator for 

Native American Affairs for 

Entrepreneurial Development. 

Effective July 31, 2009. 

General Services Administration 

GSGS60095 White House Liaison. 

Effective July 1, 2009. 

GSGS60069 Press Secretary for 

Communications and Marketing. 

Effective July 17, 2009. 

GSGS00015 Special Assistant to the 

Chief of Staff. Effective July 22, 2009. 

GSGS00090 Special Assistant to the 

White House Liaison. Effective July 

22, 2009. 

GSGS00095 Congressional Relations 

Specialist for Congressional and 

Intergovernmental Affairs. Effective 

July 22, 2009. 

GSGS00168 Special Assistant to the 

White House Liaison. Effective July 

22, 2009. 

GSGS00190 Congressional Relations 

Specialist for Congressional and 

Intergovernmental Affairs. Effective 

July 22, 2009. 

GSGS60126 Deputy Associate 

Administrator for Communications 

and Marketing for Citizen Services 

and Communications. Effective July 

22, 2009. 

Export-Import Bank 

EBSL45019 Senior Vice President and 

General Counsel to the President and 

Chairman. Effective July 1, 2009. 

EBGS44809 Senior Advisor and 

Executive Secretary to the President 

and Chairman. Effective July 13, 2009. 

EBGS42989 Senior Advisor to the 

President and Chairman. Effective 

July 21, 2009. 

Occupational Safety and Health Review 

Commission 

SHGS00016 Confidential Assistant to 

the Commission Member (Chairman). 

Effective July 9, 2009. 

Consumer Product Safety Commission 

PSGS00055 Chief of Staff to the 

Chairman, Consumer Product Safety 

Commission. Effective July 9, 2009. 

Commodity Futures Trading 

Commission 

CTOT00056 Special Assistant to the 

Commissioner. Effective July 21, 

2009. 

CTOT00088 Deputy Chief of Staff for 

the Chairperson. Effective July 31, 

2009. 

National Endowment for the Arts 

NAGS00052 Executive Assistant for the 

Chairman, National Endowment for 

the Arts. Effective July 6, 2009. 

NAGS00025 Arts Education Counselor 

to the Senior Deputy Chairman. 

Effective July 29, 2009. 

Department of Housing and Urban 

Development 

DUGS60512 Special Assistant to the 

Deputy Secretary, Housing and Urban 

Development. Effective July 6, 2009. 

DUGS60701 Special Assistant to the 

Chief Financial Officer. Effective July 

6, 2009. 

DUGS60702 Special Assistant to the 

Chief Financial Officer. Effective July 

6, 2009. 

Department of Transportation 

DTGS60054 Associate Director for 

Governmental Affairs. Effective July 

13, 2009. 

DTGS60139 Special Assistant to the 

Deputy Secretary. Effective July 13, 

2009. 

Authority: 5 U.S.C. 3301 and 3302; E.O. 

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

Office of Personnel Management. 

John Berry, 

Director. 

[FR Doc. E9–21038 Filed 8–31–09; 8:45 am] 

BILLING CODE 6325–39–P 

SMALL BUSINESS ADMINISTRATION 

Reporting and Recordkeeping 

Requirements Under OMB Review 

AGENCY: Small Business Administration. 

ACTION: Notice of Reporting 

Requirements Submitted for OMB 

Review. 

SUMMARY: Under the provisions of the 

Paperwork Reduction Act (44 U.S.C. 

mstockstill on DSKH9S0YB1PROD with NOTICES

45260 Federal Register / Vol. 74, No. 168 / Tuesday, September 1, 2009 / Notices 

1The Securities Act requires the delivery of 

prospectuses to investors who buy securities from 

an issuer or from underwriters or dealers who 

participate in a registered distribution of securities. 

See Securities Act sections 2(a)(10), 4(1), 4(3), 5(b) 

[15 U.S.C. 77b(a)(10), 77d(1), 77d(3), 77e(b); see 

also rule 174 under the Securities Act (17 CFR 

230.174) (regarding the prospectus delivery 

obligation of dealers); rule 15c2–8 under the 

Securities Exchange Act of 1934 (17 CFR 240.15c2– 

8) (prospectus delivery obligations of brokers and 

dealers). 

2Rule 154 permits the householding of 

prospectuses that are delivered electronically to 

investors only if delivery is made to a shared 

electronic address and the investors give written 

consent to householding. Implied consent is not 

permitted in such a situation. See rule 154(b)(4). 

Chapter 35), agencies are required to 

submit proposed reporting and 

recordkeeping requirements to OMB for 

review and approval, and to publish a 

notice in the Federal Register notifying 

the public that the agency has made 

such a submission. 

DATES: Submit comments on or before 

October 1, 2009. If you intend to 

comment but cannot prepare comments 

promptly, please advise the OMB 

Reviewer and the Agency Clearance 

Officer before the deadline. 

Copies: Request for clearance (OMB 

83–1), supporting statement, and other 

documents submitted to OMB for 

review may be obtained from the 

Agency Clearance Officer. 

ADDRESSES: Address all comments 

concerning this notice to: Agency 

Clearance Officer, Jacqueline White, 

Small Business Administration, 409 3rd 

Street, SW., 5th Floor, Washington, DC 

20416; and OMB Reviewer, Office of 

Information and Regulatory Affairs, 

Office of Management and Budget, New 

Executive Office Building, Washington, 

DC 20503. 

FOR FURTHER INFORMATION CONTACT: 

Jacqueline White, Agency Clearance 

Officer, (202) 205–7044. 

SUPPLEMENTARY INFORMATION: 

Title: Request for Information 

Concerning Portfolio Financing. 

SBA Form Number: 857. 

Frequency: On Occasion. 

Description of Respondents: SBIC 

Investment Companies. 

Responses: 2,160. 

Annual Burden: 2,160. 

Title: Financial Institution 

Confirmation form. 

SBA Form Number: 860. 

Frequency: On Occasion. 

Description of Respondents: SBIC 

Investment Companies. 

Responses: 1,500. 

Annual Burden: 750. 

Title: SBA Counseling Evaluation. 

SBA Form Number: 1419. 

Frequency: On Occasion. 

Description of Respondents: Small 

Business Clients. 

Responses: 15,000. 

Annual Burden: 2,550. 

Jacqueline White, 

Chief, Administrative Information Branch. 

[FR Doc. E9–20993 Filed 8–31–09; 8:45 am] 

BILLING CODE P 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 154, SEC File No. 270–438, OMB 

Control No. 3235–0495. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501–3520), the Securities 

and Exchange Commission 

(‘‘Commission’’) is soliciting comments 

on the collection of information 

summarized below. The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget for extension 

and approval. 

The Federal securities laws generally 

prohibit an issuer, underwriter, or 

dealer from delivering a security for sale 

unless a prospectus meeting certain 

requirements accompanies or precedes 

the security. Rule 154 (17 CFR 230.154) 

under the Securities Act of 1933 (15 

U.S.C. 77a) (the ‘‘Securities Act’’) 

permits, under certain circumstances, 

delivery of a single prospectus to 

investors who purchase securities from 

the same issuer and share the same 

address (‘‘householding’’) to satisfy the 

applicable prospectus delivery 

requirements.1 The purpose of rule 154 

is to reduce the amount of duplicative 

prospectuses delivered to investors 

sharing the same address. 

Under rule 154, a prospectus is 

considered delivered to all investors at 

a shared address, for purposes of the 

Federal securities laws, if the person 

relying on the rule delivers the 

prospectus to the shared address and 

the investors consent to the delivery of 

a single prospectus. The rule applies to 

prospectuses and prospectus 

supplements. Currently, the rule 

permits householding of all 

prospectuses by an issuer, underwriter, 

or dealer relying on the rule if, in 

addition to the other conditions set forth 

in the rule, the issuer, underwriter, or 

dealer has obtained from each investor 

written or implied consent to 

householding.2 The rule requires 

issuers, underwriters, or dealers that 

wish to household prospectuses with 

implied consent to send a notice to each 

investor stating that the investors in the 

household will receive one prospectus 

in the future unless the investors 

provide contrary instructions. In 

addition, at least once a year, issuers, 

underwriters, or dealers relying on rule 

154 for the householding of 

prospectuses relating to open-end 

management investment companies that 

are registered under the Investment 

Company Act of 1940 (‘‘mutual funds’’) 

must explain to investors who have 

provided written or implied consent 

how they can revoke their consent. 

Preparing and sending the notice and 

the annual explanation of the right to 

revoke are collections of information. 

The rule allows issuers, underwriters, 

or dealers to household prospectuses if 

certain conditions are met. Among the 

conditions with which a person relying 

on the rule must comply are providing 

notice to each investor that only one 

prospectus will be sent to the household 

and, in the case of issuers that are 

mutual funds, providing to each 

investor who consents to householding 

an annual explanation of the right to 

revoke consent to the delivery of a 

single prospectus to multiple investors 

sharing an address. The purpose of the 

notice and annual explanation 

requirements of the rule is to ensure that 

investors who wish to receive 

individual copies of prospectuses are 

able to do so. 

Although rule 154 is not limited to 

mutual funds, the Commission believes 

that it is used mainly by mutual funds 

and by broker-dealers that deliver 

prospectuses for mutual funds. The 

Commission is unable to estimate the 

number of issuers other than mutual 

funds that rely on the rule. 

The Commission estimates that, as of 

December 2008, there are approximately 

1,960 mutual funds, approximately 150 

of which engage in direct marketing and 

therefore deliver their own 

prospectuses. The Commission 

estimates that each direct-marketed 

mutual fund will spend an average of 20 

hours per year complying with the 

notice requirement of the rule, for a total 

of 3,000 hours. The Commission 

estimates that each direct-marketed 

fund will also spend 1 hour complying 

with the explanation of the right to 

revoke requirement of the rule, for a 

total of 150 hours. The Commission 

estimates that there are approximately 

320 broker-dealers that carry customer 

accounts and, therefore, may be 

required to deliver mutual fund 

prospectuses. The Commission 

estimates that each affected brokermstockstill on DSKH9S0YB1PROD with NOTICES