Federal Register / Vol. 74, No. 183 / Wednesday, September 23, 2009 / Notices 48615 

1Rule 8b–3 (17 CFR 270.8b–3) provides that 

whenever a registration form requires the title of 

securities to be stated, the registrant must indicate 

the type and general character of the securities to 

be issued. Rule 8b–22 (17 CFR 270.8b–22) provides 

that if the existence of control is open to reasonable 

doubt, the registrant may disclaim the existence of 

control, but it must state the material facts pertinent 

to the possible existence of control. 

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: Entrepreneurial Development 

Impact Study. 

SBA Form Number: 2214. 

Frequency: On Occasion. 

Description of Respondents: SBA 

Clients. 

Responses: 12,435. 

Annual Burden: 2,500. 

Jacqueline White, 

Chief, Administrative Information Branch. 

[FR Doc. E9–22845 Filed 9–22–09; 8:45 am] 

BILLING CODE 8025–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60629; File No. SR–CBOE– 

2009–063] 

Self-Regulatory Organizations; 

Chicago Board Options Exchange, 

Incorporated; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Relating to Temporary 

Membership Status and Interim 

Trading Permit Access Fees 

Correction 

In notice document E9–21994 

beginning on page 47034 in the issue of 

Monday, September 14, 2009, make the 

following correction: 

On page 47036 in the first paragraph, 

the single date on the last line should 

read, ‘‘October 5, 2009’’. 

[FR Doc. Z9–21994 Filed 9–22–09; 8:45 am] 

BILLING CODE 1505–01–D 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60653; File No. SR–NYSE– 

2009–89] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Filing of Proposed Rule Change As 

Modified by Amendment No. 1 To 

Amend Certain Corporate Governance 

Requirements 

Correction 

In notice document E9–22392 

beginning on page 47831 in the issue of 

Thursday, September 17, 2009, make 

the following correction: 

On page 47837, in the third column, 

in the 24th line from the top, ‘‘October 

5, 2009’’ should read ‘‘October 8, 2009’’. 

[FR Doc. Z9–22392 Filed 9–22–09; 8:45 am] 

BILLING CODE 1505–01–D 

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 8b–1 to 8b–33, SEC File No. 270–135, 

OMB Control No. 3235–0176. 

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 (the 

‘‘Commission’’) has submitted to the 

Office of Management and Budget a 

request for extension of the previously 

approved collection of information 

discussed below. 

Rules 8b–1 to 8b–33 (17 CFR 270.8b– 

1 to 8b–33) under the Investment 

Company Act of 1940 (15 U.S.C. 80a–1 

et seq.) (the ‘‘Act’’) are the procedural 

rules an investment company must 

follow when preparing and filing a 

registration statement. These rules were 

adopted to standardize the mechanics of 

registration under the Act and to 

provide more specific guidance for 

persons registering under the Act than 

the information contained in the statute. 

For the most part, these procedural rules 

do not require the disclosure of 

information. Two of the rules, however, 

require limited disclosure of 

information.1 The information required 

by the rules is necessary to ensure that 

investors have clear and complete 

information upon which to base an 

investment decision. The Commission 

uses the information that investment 

companies provide on registration 

statements in its regulatory, disclosure 

review, inspection and policy-making 

roles. The respondents to the collection 

of information are investment 

companies filing registration statements 

under the Act. 

The Commission does not estimate 

separately the total annual reporting and 

recordkeeping burden associated with 

rules 8b–1 to 8b–33 because the burden 

associated with these rules are included 

in the burden estimates the Commission 

submits for the investment company 

registration statement forms (e.g., Form 

N–1A (17 CFR 239.15A and 274.11A), 

Form N–2 (17 CFR 239.14 and 274.11a– 

1), Form N–3 (17 CFR 239.17a and 

274.11b), Form N–4 (17 CFR 239.17b 

and 274.11c), and Form N–6 (17 CFR 

239.17c and 274.11d)). For example, a 

mutual fund that prepares a registration 

statement on Form N–1A must comply 

with the rules under section 8(b), 

including rules on riders, amendments, 

the form of the registration statement, 

and the number of copies to be 

submitted. Because the fund only incurs 

a burden from the section 8(b) rules 

when preparing a registration statement, 

it would be impractical to measure the 

compliance burden of these rules 

separately. The Commission believes 

that including the burden of the section 

8(b) rules with the burden estimates for 

the investment company registration 

statement forms provides a more 

accurate and complete estimate of the 

total burdens associated with the 

registration process. For administrative 

purposes, however, we are requesting 

approval for an information collection 

burden of one hour per year. This 

estimate of burden hours is not derived 

from a comprehensive or necessarily 

even representative study of the cost of 

the Commission’s rules and forms. 

Investment companies seeking to 

register under the Act are required to 

provide the information specified in 

rules 8b–1 to 8b–33 if applicable. 

Responses will not be kept confidential. 

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 OMB 

control number. 

Please direct general comments 

regarding the above information to the 

following persons: (i) Desk Officer for 

the Securities and Exchange 

Commission, Office of Management and 

Budget, Room 10102, New Executive 

Office Building, Washington, DC 20503 

or send an e-mail to Shagufta Ahmed at 

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

Charles Boucher, Director/CIO, 

Securities and Exchange Commission, 

C/O Shirley Martinson, 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. 

mstockstill on DSKH9S0YB1PROD with NOTICES

48616 Federal Register / Vol. 74, No. 183 / Wednesday, September 23, 2009 / Notices 

Dated: September 16, 2009. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–22879 Filed 9–22–09; 8:45 am] 

BILLING CODE 8010–01–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 206(3)–2, SEC File No. 270– 

216, OMB Control No. 3235–0243. 

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 (the 

‘‘Commission’’) has submitted to the 

Office of Management and Budget a 

request for extension of the previously 

approved collection of information 

discussed below. 

Rule 206(3)–2, (17 CFR 275.206(3)–2) 

which is entitled ‘‘Agency Cross 

Transactions for Advisory Clients,’’ 

permits investment advisers to comply 

with section 206(3) of the Investment 

Advisers Act of 1940 (the ‘‘Act’’) (15 

U.S.C. 80b–6(3)) by obtaining a client’s 

blanket consent to enter into agency 

cross transactions (i.e., a transaction in 

which an adviser acts as a broker to both 

the advisory client and the opposite 

party to the transaction). Rule 206(3)–2 

applies to all registered investment 

advisers. In relying on the rule, 

investment advisers must provide 

certain disclosures to their clients. 

Advisory clients can use the disclosures 

to monitor agency cross transactions 

that affect their advisory account. The 

Commission also uses the information 

required by Rule 206(3)–2 in connection 

with its investment adviser inspection 

program to ensure that advisers are in 

compliance with the rule. Without the 

information collected under the rule, 

advisory clients would not have 

information necessary for monitoring 

their adviser’s handling of their 

accounts and the Commission would be 

less efficient and effective in its 

inspection program. 

The information requirements of the 

rule consist of the following: (1) Prior to 

obtaining the client’s consent, 

appropriate disclosure must be made to 

the client as to the practice of, and the 

conflicts of interest involved in, agency 

cross transactions; (2) at or before the 

completion of any such transaction, the 

client must be furnished with a written 

confirmation containing specified 

information and offering to furnish 

upon request certain additional 

information; and (3) at least annually, 

the client must be furnished with a 

written statement or summary as to the 

total number of transactions during the 

period covered by the consent and the 

total amount of commissions received 

by the adviser or its affiliated brokerdealer attributable to such transactions. 

The Commission estimates that 

approximately 631 respondents use the 

rule annually, necessitating about 32 

responses per respondent each year, for 

a total of 20,192 responses. Each 

response requires an estimated 0.5 

hours, for a total of 10,096 hours. The 

estimated average burden hours are 

made solely for the purposes of the 

Paperwork Reduction Act and are not 

derived from a comprehensive or 

representative survey or study of the 

cost of Commission rules and forms. 

This collection of information is 

found at (17 CFR 275.206(3)–2) and is 

necessary in order for the investment 

adviser to obtain the benefits of Rule 

206(3)–2. The collection of information 

requirements under the rule is 

mandatory. Information subject to the 

disclosure requirements of Rule 206(3)– 

2 does not require submission to the 

Commission; and, accordingly, the 

disclosure pursuant to the rule is not 

kept confidential. 

Commission-registered investment 

advisers are required to maintain and 

preserve certain information required 

under Rule 206(3)–2 for five (5) years. 

The long-term retention of these records 

is necessary for the Commission’s 

inspection program to ascertain 

compliance with the Advisers Act. 

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. 

Please direct general comments 

regarding the above information to the 

following persons: (i) Desk Officer for 

the Securities and Exchange 

Commission, Office of Management and 

Budget, Room 10102, New Executive 

Office Building, Washington, DC 20503 

or send an e-mail to Shagufta Ahmed at 

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

Charles Boucher, Director/CIO, 

Securities and Exchange Commission, 

C/O Shirley Martinson, 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: September 16, 2009. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–22878 Filed 9–22–09; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Sunshine Act Meeting 

Notice is hereby given, pursuant to 

the provisions of the Government in the 

Sunshine Act, Public Law 94–409, that 

the Securities and Exchange 

Commission will hold a Closed Meeting 

on Thursday, September 24, 2009 at 2 

p.m. 

Commissioners, Counsel to the 

Commissioners, the Secretary to the 

Commission, and recording secretaries 

will attend the Closed Meeting. Certain 

staff members who have an interest in 

the matters also may be present. 

The General Counsel of the 

Commission, or his designee, has 

certified that, in his opinion, one or 

more of the exemptions set forth in 5 

U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) 

and 17 CFR 200.402(a)(3), (5), (7), 9(ii) 

and (10), permit consideration of the 

scheduled matters at the Closed 

Meeting. 

Commissioner Casey, as duty officer, 

voted to consider the items listed for the 

Closed Meeting in a closed session, and 

determined that no earlier notice thereof 

was possible. 

The subject matter of the Closed 

Meeting scheduled for Thursday, 

September 24, 2009 will be: 

Institution and settlement of injunctive 

actions; 

Institution and settlement of 

administrative proceedings; 

A litigation matter; and 

Other matters relating to enforcement 

proceedings. 

At times, changes in Commission 

priorities require alterations in the 

scheduling of meeting items. 

For further information and to 

ascertain what, if any, matters have been 

added, deleted or postponed, please 

contact: 

The Office of the Secretary at (202) 

551–5400. 

Dated: September 21, 2009. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. E9–23017 Filed 9–21–09; 4:15 pm] 

BILLING CODE P 

mstockstill on DSKH9S0YB1PROD with NOTICES