49804 Federal Register / Vol. 76, No. 155 / Thursday, August 11, 2011 / Notices 

governed by the rule. For purposes of 

this analysis, the burden associated with 

the requirements of rule 30b1–5 has 

been included in the collection of 

information requirements of Form N–Q, 

rather than the rule. 

The collection of information under 

rule 30b1–5 is mandatory. The 

information provided under rule 30b1– 

5 is not 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. 

The public may view the background 

documentation for this information 

collection at the following Web site, 

http://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 

e-mail to: 

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

Thomas A. 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: August 8, 2011. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2011–20417 Filed 8–10–11; 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 236; OMB Control No. 3235–0095; 

SEC File No. 270–118. 

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 this 

request for extension of the previously 

approved collection of information 

discussed below. 

Rule 236 (17 CFR 230.236) under the 

Securities Act of 1933 (‘‘Securities Act’’) 

(15 U.S.C. 77a et seq.) requires issuers 

relying on an exemption from the 

Securities Act registration requirements 

for the public offering of fractional 

shares, scrip certificates or order forms, 

in connection with a stock dividend, 

stock split, reverse stock split, 

conversion, merger or similar 

transaction, to furnish to the 

Commission specified information at 

least 10 days prior to the offering. The 

information is needed to provide public 

notice that an issuer is relying on the 

exemption. Public companies are the 

likely respondents. The information is 

needed to establish qualification for 

reliance on the exemption. The 

information provided by Rule 236 is 

required to obtain or retain benefits. All 

information provided to the 

Commission is available to the public 

for review upon request. Approximately 

10 respondents file the information 

required by Rule 236 at an estimated 1.5 

hours per response for a total of 15 

annual burden hours (1.5 hours per 

response × 10 responses). 

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. 

The public may view the background 

documentation for this information 

collection at the following Web site, 

http://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 

e-mail to: Shagufta_Ahmed@ 

omb.eop.gov; and (ii) Thomas Bayer, 

Director/Chief Information Officer, 

Securities and Exchange Commission, 

c/o Remi Pavlik-Simon, 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: August 8, 2011. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2011–20416 Filed 8–10–11; 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 22d–1; SEC File No. 270–275; OMB 

Control No. 3235–0310. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

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

and Exchange Commission (the 

‘‘Commission’’) has submitted to the 

Office of Management and Budget 

requests for extension of the previously 

approved collection of information 

discussed below. 

Rule 22d–1 (17 CFR 270.22d–1) under 

the Investment Company Act of 1940 

(the ‘‘Act’’) (15 U.S.C. 80a et seq.) 

provides registered investment 

companies that issue redeemable 

securities (‘‘funds’’) an exemption from 

section 22(d) of the Investment 

Company Act (15 U.S.C. 80a–22(d)) to 

the extent necessary to permit 

scheduled variations in or elimination 

of the sales load on fund securities for 

particular classes of investors or 

transactions, provided certain 

conditions are met. The rule imposes an 

annual burden per series of a fund of 

approximately 15 minutes, so that the 

total annual burden for the 

approximately 4,862 series of funds that 

might rely on the rule is estimated to be 

1215.5 hours. 

The estimate of average burden hours 

is made solely for the purposes of the 

Paperwork Reduction Act, and is not 

derived from a comprehensive or even 

a representative survey or study. 

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 control number. 

The public may view the background 

documentation for this information 

collection at the following Web site, 

http://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, D.C. 20503, or by sending 

an e-mail 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. 


srobinson on DSK4SPTVN1PROD with NOTICES
Federal Register / Vol. 76, No. 155 / Thursday, August 11, 2011 / Notices 49805 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

3See SR–BX–2011–051. 

4See e.g., Securities Exchange Act Release Nos. 

63843 (February 4, 2011), 76 FR 7884 (February 11, 

2011) (SR–ISE–2010–115); and 63314 (November 

12, 2010), 75 FR 70957 (November 19, 2010)(SR– 

CBOE–2010–084). 

5Two exchanges have thus far filed a proposed 

rule change respecting the Series 56, which has 

become effective. See Securities Exchange Act 

Release No. 64699 (June 17, 2011), 76 FR 36945 

(June 23, 2011)(SR–CBOE–2011–056) and SR– 

NASDAQ–2011–108. 

Dated: August 8, 2011. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2011–20415 Filed 8–10–11; 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: 

Regulation S–T; OMB Control No. 

3235–424; SEC File No. 270–375. 

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 this 

request for extension of the previously 

approved collection of information 

discussed below. 

Regulation S–T (17 CFR 232.10 

through 232.903) sets forth the filing 

requirements relating to the electronic 

submission of documents on the 

Electronic Data Gathering, Analysis and 

Retrieval (‘‘EDGAR’’) system. Regulation 

S–T is assigned one burden hour for 

administrative convenience because it 

does not directly impose any 

information collection requirements. 

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. 

The public may view the background 

documentation for this information 

collection at the following Web site, 

http://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 

e-mail 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 e-mail 

to: PRA_Mailbox@sec.gov. Comments 

must be submitted to OMB within 30 

days of this notice. 

Dated: August 8, 2011. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2011–20414 Filed 8–10–11; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–65039; File No. SR–BX– 

2011–052] 

Self-Regulatory Organizations; 

NASDAQ OMX BX, Inc.; Notice of Filing 

and Immediate Effectiveness of 

Proposed Rule Change Relating to the 

Proprietary Traders Qualification 

Examination (‘‘Series 56’’) 

August 5, 2011. 

Pursuant to Section 19(b)(1) of the 

Securities Exchange Act of 1934 

(‘‘Act’’) 1, and Rule 19b–4 2 thereunder, 

notice is hereby given that on August 2, 

2011, NASDAQ OMX BX, Inc. 

(‘‘Exchange’’ or ‘‘BX’’) filed with the 

Securities and Exchange Commission 

(‘‘SEC’’ or ‘‘Commission’’) the proposed 

rule change as described in Items I and 

II, below, which Items have been 

prepared by the Exchange. The 

Commission is publishing this notice to 

solicit comments on the proposed rule 

change from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

BX is filing with the Commission the 

content outline and selection 

specifications for the Proprietary 

Traders Qualification Examination 

(‘‘Series 56’’) program. BX will 

implement the proposal upon notice to 

its membership. 

The text of the proposed rule change 

is available at http://nasdaqomxbx.

cchwallstreet.com, at BX’s principal 

office, and at the Commission’s Public 

Reference Room. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, the 

Exchange included statements 

concerning the purpose of and basis for 

the proposed rule change and discussed 

any comments it received on the 

proposed rule change. The text of these 

statements may be examined at the 

places specified in Item IV below. The 

Exchange has prepared summaries, set 

forth in sections A, B, and C below, of 

the most significant aspects of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

Recently, BX filed a proposed rule 

change to recognize a new category of 

limited representative registration for 

proprietary traders.3 Specifically, BX 

will recognize the new registration 

category ‘‘Proprietary Trader’’ and the 

new examination, the Series 56. The 

new Proprietary Trader category would 

be limited to persons engaged solely in 

proprietary trading. 

The Exchange has been working with 

the Financial Industry Regulatory 

Authority (‘‘FINRA’’) and certain other 

exchanges, many of which have recently 

enhanced their registration 

requirements to require the registration 

of associated persons,4 to develop the 

content outline and qualification 

examination that would be applicable to 

proprietary traders. The Series 56 

examination program is shared by BX 

and the following self-regulatory 

organizations (‘‘SROs’’): Boston Options 

Exchange; C2 Options Exchange, 

Incorporated; Chicago Board Options 

Exchange, Incorporated; Chicago Stock 

Exchange, Incorporated; International 

Securities Exchange, LLC; The 

NASDAQ Stock Market LLC; NASDAQ 

OMX PHLX LLC; National Stock 

Exchange, Incorporated; New York 

Stock Exchange, LLC; NYSE AMEX, 

Incorporated; and NYSE ARCA, 

Incorporated. Upon request by the SROs 

referenced above, FINRA staff convened 

a committee of industry representatives, 

BX staff and staff from the other SROs 

referenced above, to develop the criteria 

for the Series 56 examination program. 

This new qualification examination, the 

Series 56, was recently filed with the 

Commission.5

The Series 56 examination tests a 

candidate’s knowledge of proprietary 

trading generally and the industry rules 

applicable to trading of equity securities 

and listed options contracts. The Series 

56 examination covers, among other 

things, recordkeeping and recording 


srobinson on DSK4SPTVN1PROD with NOTICES