Federal Register / Vol. 72, No. 56 / Friday, March 23, 2007 / Notices 13851 

impact on efficiency, competition, and capital 

formation. See 15 U.S.C. 78c(f). 

17 15 U.S.C. 78f(b)(5). 

18 15 U.S.C. 78l(f). 

19Section 12(a) of the Act, 15 U.S.C. 78l(a), 

generally prohibits a broker-dealer from trading a 

security on a national securities exchange unless 

the security is registered on that exchange pursuant 

to Section 12 of the Act. Section 12(f) of the Act 

excludes from this restriction trading in any 

security to which an exchange ‘‘extends UTP.’’

When an exchange extends UTP to a security, it 

allows its members to trade the security as if it were 

listed and registered on the exchange even though 

it is not so listed and registered. 

20See Amex Order, supra note 4. 

21 17 CFR 240.12f–5. 

22 15 U.S.C. 78k–1(a)(1)(C)(iii). 

23See Amex Order, supra note 4. 

24 15 U.S.C. 78s(b)(2). 25 17 CFR 200.30(a)(12). 

Commission finds that the proposed 

rule change is consistent with Section 

6(b)(5) of the Act,17 which requires that 

an exchange have rules designed, among 

other things, to promote just and 

equitable principles of trade, to remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system, and in 

general to protect investors and the 

public interest. 

In addition, the Commission finds 

that the proposal is consistent with 

Section 12(f) of the Act,18 which permits 

an exchange to trade, pursuant to UTP, 

a security that is listed and registered on 

another exchange.19 The Commission 

notes that it previously approved the 

listing and trading of the Shares on the 

Amex.20 The Commission also finds that 

the proposal is consistent with Rule 

12f–5 under the Act,21 which provides 

that an exchange shall not extend UTP 

to a security unless the exchange has in 

effect a rule or rules providing for 

transactions in the class or type of 

security to which the exchange extends 

UTP. The Exchange has represented that 

it meets this requirement because it 

deems the Shares to be equity securities, 

thus trading in the Shares will be 

subject to the Exchange’s existing rules 

governing the trading of equity 

securities. 

The Commission further believes that 

the proposal is consistent with Section 

11A(a)(1)(C)(iii) of the Act,22 which sets 

forth Congress’ finding that it is in the 

public interest and appropriate for the 

protection of investors and the 

maintenance of fair and orderly markets 

to assure the availability to brokers, 

dealers, and investors of information 

with respect to quotations for and 

transactions in securities. 

Finally, the Commission notes that, if 

the Shares should be delisted by the 

Amex, the original listing exchange, the 

Exchange would no longer have 

authority to trade the Shares pursuant to 

this order. 

In support of this proposal, the 

Exchange has made the following 

representations: 

1. The Exchange has appropriate rules 

to facilitate transactions in this type of 

security in this session. 

2. The Exchange’s surveillance 

procedures are adequate to properly 

monitor the trading of the Shares on the 

Exchange. The Exchange may obtain 

information via the ISG from other 

exchanges who are members or affiliates 

of the ISG, including NYBOT. In 

addition, to facilitate surveillance, the 

Exchange represents that trading in the 

Shares will be subject to Commentary 

.02(e)(1)–(4) to NYSE Arca Equities Rule 

8.200. 

3. The Exchange will inform its ETP 

Holders in an Information Bulletin of 

the special characteristics and risks 

associated with trading the Shares. 

4. The Exchange will require its ETP 

Holders to deliver a prospectus to 

investors purchasing newly issued 

Shares prior to or concurrently with the 

confirmation of a transaction and will 

note this prospectus delivery 

requirement in the Information Bulletin. 

5. The Exchange will cease trading the 

Shares of a Fund if: (a) the listing 

market stops trading the Shares because 

of a regulatory halt similar to a halt 

based on NYSE Arca Equities Rule 7.12 

or a halt because the IFV or the value 

of the applicable Index is no longer 

available at least every 15 seconds; or 

(b) the listing market delists the Shares. 

6. The Exchange will halt trading as 

provided in NYSE Arca Equities Rule 

7.34. 

This approval order is conditioned on 

the Exchange’s adherence to these 

representations. 

The Commission finds good cause for 

approving this proposal before the 

thirtieth day after the publication of 

notice thereof in the Federal Register. 

As noted previously, the Commission 

previously found that the listing and 

trading of the Shares on the Amex is 

consistent with the Act.23 The 

Commission presently is not aware of 

any regulatory issue that should cause it 

to revisit that earlier finding or preclude 

the trading of the Shares on the 

Exchange pursuant to UTP. Therefore, 

accelerating approval of this proposal 

should benefit investors by creating, 

without undue delay, additional 

competition in the market for the 

Shares. 

V. Conclusion 

It is therefore ordered, pursuant to 

Section 19(b)(2) of the Act,24 that the 

proposed rule change (SR–NYSEArca–

2006–67), as modified by Amendment 

No. 1 be, and it hereby is, approved on 

an accelerated basis. 

For the Commission, by the Division of 

Market Regulation, pursuant to delegated 

authority.25

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E7–5316 Filed 3–22–07; 8:45 am] 

BILLING CODE 8010–01–P 

SOCIAL SECURITY ADMINISTRATION 

Agency Information Collection 

Activities: Proposed Request and 

Comment Request 

The Social Security Administration 

(SSA) publishes a list of information 

collection packages that will require 

clearance by the Office of Management 

and Budget (OMB) in compliance with 

Public Law 104–13, the Paperwork 

Reduction Act of 1995, effective October 

1, 1995. The information collection 

packages that may be included in this 

notice are for new information 

collections, approval of existing 

information collections, revisions to 

OMB-approved information collections, 

and extensions (no change) of OMBapproved information collections. 

SSA is soliciting comments on the 

accuracy of the agency’s burden 

estimate; the need for the information; 

its practical utility; ways to enhance its 

quality, utility, and clarity; and on ways 

to minimize burden on respondents, 

including the use of automated 

collection techniques or other forms of 

information technology. Written 

comments and recommendations 

regarding the information collection(s) 

should be submitted to the OMB Desk 

Officer and the SSA Reports Clearance 

Officer. The information can be mailed, 

faxed or e-mailed to the individuals at 

the addresses and fax numbers listed 

below: 

(OMB) Office of Management and 

Budget, Attn: Desk Officer for SSA, 

Fax: 202–395–6974, E-mail address: 

OIRA_Submission@omb.eop.gov. 

(SSA) Social Security Administration, 

DCFAM, Attn: Reports Clearance 

Officer, 1333 Annex Building, 6401 

Security Blvd., Baltimore, MD 21235, 

Fax: 410–965–6400, E-mail address: 

OPLM.RCO@ssa.gov. 

I. The information collections listed 

below are pending at SSA and will be 

submitted to OMB within 60 days from 

the date of this notice. Therefore, your 

comments should be submitted to SSA 


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within 60 days from the date of this 

publication. You can obtain copies of 

the collection instruments by calling the 

SSA Reports Clearance Officer at 410–

965–0454 or by writing to the address 

listed above. 

1. State Agency Report of Obligations 

for SSA Disability Programs (SSA–

4513); Time Report of Personnel 

Services for Disability Determination 

Services (SSA–4514); State Agency 

Schedule of Equipment Purchased for 

SSA Disability Programs (SSA–871)—20 

CFR 404.1626–0960–0421. Forms SSA–

4513, SSA–4514 and SSA–871 are used 

to collect data necessary for detailed 

analysis and evaluation of costs 

incurred by State Disability 

Determination Services in making 

determinations of disability for SSA. 

The data are also utilized in 

determining funding levels for each 

DDS. Respondents are State DDSs. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 54. 

Estimated Annual Burden: 756 hours. 

Respondents Frequency of 

response 

Total annual 

responses 

Average burden per response 

(minutes) 

Estimated annual burden 

(hours) 

SSA–4513 ............................................................................ 54 4 216 90 324 

SSA–4514 ............................................................................ 54 4 216 90 324 

SSA–871 .............................................................................. 54 4 216 30 108 

Totals ............................................................................ 54 ........................ ........................ ........................ 756 

2. Subpoena-Disability Hearing—20 

CFR 404.916(b)(1) & 416.1416(b)(1)—

0960–0428. Form SSA–1272–U4 is 

completed by State and Federal 

disability hearing officers (DHOs) to 

subpoena evidence or testimony in 

connections with hearings required by 

the Social Security Act. Actual issuance 

of the subpoena will be done by that 

appropriate delegated SSA official. 

Respondents are DHOs. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 36. 

Frequency of Response: 1. 

Average Burden Per Response: 30 

minutes. 

Estimated Annual Burden: 18 hours. 

3. Summary of Evidence—20 CFR 

404.913(b), 404.914(a), 416.1707, 

416.1313(b), 416.1414(a)—0960–0430. 

Form SSA–887 is completed by a DHO 

from the claimant’s State Disability 

Determination Service (DDS). The DHO 

summarizes all medical and vocational 

reports that were used to make the nodisability determination. This form, 

which is used to prepare for and 

conduct the disability hearing, is also 

made available to claimants so that they 

are aware of the basis for the nodisability decision and they can prepare 

for the reconsideration accordingly. 

Respondents are DHOs. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 49,000. 

Frequency of Response: 1. 

Average Burden Per Response: 15 

minutes. 

Estimated Annual Burden: 12,250 

hours. 

4. Information About Joint Checking/ 

Savings Accounts—20 CFR 416.1201(b), 

416.1208—0960–0461. The SSA–2574 is 

used to collect information when a 

Supplemental Security Income (SSI) 

applicant/recipient objects to the 

assumption that he/she owns all or part 

of the funds in a joint checking or 

savings account which bears his or her 

name. Information about the account is 

collected from both the SSI applicant/ 

recipient and other accountholder(s). 

These statements regarding ownership 

are required to determine whether the 

account is a resource of the SSI 

claimant. The amount of resources a 

person owns is one of the factors 

considered in determining eligibility for 

SSI. Respondents are applicants and 

recipients of SSI and individuals who 

are joint owners of financial accounts 

with SSI applicants/recipients. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 200,000. 

Frequency of Response: 1. 

Average Burden Per Response: 7 

minutes. 

Estimated Annual Burden: 23,333 

hours. 

5. Beneficiary Recontact Form—20 

CFR 404.703, 404.705—0960–0502. SSA 

must ensure that eligibility for benefits 

continues after entitlement. Studies 

show that mothers/fathers who marry 

fail to report the marriage and/or the 

fact that they no longer have a child 

entitled in their care. SSA uses the 

SSA–1588–OCR–SM to ask mothers/ 

fathers about their marital status and 

children in care to detect overpayments 

and avoid continuing payment to those 

no longer entitled. Respondents are 

recipients of survivor mother/father 

Social Security benefits. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 133,400. 

Frequency of Response: 1. 

Average Burden Per Response: 5 

minutes. 

Estimated Annual Burden: 11,117 

hours. 

6. Wage Reports and Pension 

Information—20 CFR 422.122(b)—0960–

0547. The information collected through 

20 CFR 422.122(b) is used by SSA to 

identify the requestor of pension plan 

information and to confirm the 

individual is entitled to the data SSA 

provides. Respondents are requestors of 

pension plan information. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 600. 

Frequency of Response: 1. 

Average Burden Per Response: 30 

minutes. 

Estimated Annual Burden: 300 hours. 

7. SSI Monthly Wage Reporting 

System— 20 CFR 416.701–732—0960–

0715. 

Collection Background 

SSI recipients are required to report 

changes in their income, resources and 

living arrangements that may affect 

eligibility or payment amount. 

Currently, SSI recipients report changes 

on Form SSA–8150, Reporting Events—

SSI, or to an SSA teleservice 

representative through SSA’s toll-free 

telephone number, or they visit their 

local Social Security office. 

Wages have, historically, been the 

source of SSI’s highest error rate largely 

due to non-reporting by beneficiaries, 

deemors, and representative payees. 

Failure to report changes in wages 

timely accounts for approximately $400 

million in overpayments each year. 

Consequently, SSA is evaluating 

methods for increasing reporting. SSA 

has tested and determined that given an 

easily accessible automated format, 

individuals will increase compliance 

with reporting responsibilities. 

Increased timely reporting has resulted 

in a decrease in improper payments. 

One of the methods tested, described 


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below, is the SSI Wage Reporting 

System. 

Collection Description 

Participants who need to report a 

change in monthly wages (Comment: 

There are other forms of earned income 

that the phone line does not support) 

will call SSA’s toll-free telephone 

number to report the change. The 

participants will access SSA’s system 

using knowledge-based authentication 

(providing name, SSN and date of birth). 

Participants will speak their report 

(voice recognition technology) and/or 

key in the information using the 

telephone key pad. This automated 

system will then directly update our 

records and issue receipts in 

compliance with Section 202 of the 

Social Security Protection Act of 2004. 

We are requesting permanent 

authorization of the existing wage 

reporting system to continue providing 

an alternative, and more efficient, 

means by which beneficiaries, their 

representative payees, and deemors can 

report wages via a toll-free telephone 

number. We believe this permanent 

authorization is necessary to effectively 

implement national usage of the system 

and substantially increase the number of 

reports received via this collection 

method. Without permanent 

authorization, we are concerned that an 

interruption in reporting would prove 

detrimental to our earlier efforts to 

recruit and train reporters, would 

damage the current regularity of 

reporting, and would considerably 

mitigate SSA’s potential to reduce 

improper payments resulting from 

erroneous, or deficient, wage reports. 

Respondents to this collection are SSI 

recipients, deemors and representative 

payees of recipients who agree to 

participate in the program. 

Type of Request: Revision of OMB 

approval. 

Number of Respondents: 50,000. 

Frequency of Response: 12. 

Average Burden Per Response: 4 

minutes. 

Estimated Annual Burden: 40,000 

hours. 

II. The information collections listed 

below have been submitted to OMB for 

clearance. Your comments on the 

information collections would be most 

useful if received by OMB and SSA 

within 30 days from the date of this 

publication. You can obtain a copy of 

the OMB clearance packages by calling 

the SSA Reports Clearance Officer at 

410–965–0454, or by writing to the 

address listed above. 

1. Complaint Form for Allegations of 

Discrimination in Programs or Activities 

Conducted by the Social Security 

Administration—0960–0585. The 

information collected on form SSA–437 

is used by SSA to investigate and 

formally resolve complaints of 

discrimination based on race, color, sex, 

age, religion, disability, sexual 

orientation, status as a parent, 

retaliation, and national origin, 

including limited or no ability with 

English in any program or activity 

conducted by SSA. A person who 

believes that he or she has been 

discriminated against on any of the 

above basis may file a written complaint 

of discrimination. The information will 

be used to identify the complainant; 

identify the alleged discriminatory act; 

ascertain the date of such alleged act; 

obtain the identity of any individual(s) 

with information about the alleged 

discrimination; and ascertain other 

relevant information that would assist 

in the investigation and resolution of 

the complaint. The respondents are 

individuals who believe they have been 

discriminated against by SSA or by 

SSA’s employees, contractors or agents 

in programs or activities conducted by 

SSA. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 140. 

Frequency of Response: 1. 

Average Burden Per Response: 60 

minutes. 

Estimated Annual Burden: 140 hours. 

2. Work Incentives Planning and 

Assistance Program (formerly the BPAO 

Program)—0960–0629. Like the Benefits 

Planning Assistance Outreach (BPAO) 

program which it replaces, the Work 

Incentives Planning and Assistance 

(WIPA) program collects identifying 

information from the project sites and 

the community work incentives 

coordinators. In addition, data are 

collected from the beneficiaries on 

background employment, training, 

benefits and work incentives. SSA is 

interested in identifying beneficiary 

outcomes under the WIPA program to 

determine the extent to which 

beneficiaries with disabilities achieve 

their employment, financial and health 

care goals. The data will also be 

valuable to SSA in its analysis and 

future planning for Social Security 

Disability Insurance and SSI programs. 

Type of Request: Revision of an OMBapproved information collection. 

Estimated Annual Burden: 5,019 

hours. 

Respondent 

Number of 

annual 

responses 

Frequency of 

response 

Average 

burden per 

response 

(minutes) 

Estimated 

annual burden 

(hours) 

Site ................................................................................................................... 147 1 2 5 

CWIC ............................................................................................................... 422 1 2 14 

Beneficiary ....................................................................................................... 60,000 1 5 5,000 

Totals ........................................................................................................ 60,569 ........................ ........................ 5,019 

3. Expanded Monitoring Site Review 

Questionnaire for Volume and Fee for 

Service Payees (SSA–637); Expanded 

Monitoring Site Review Beneficiary 

Interview Form (SSA–639)—20 CFR 

404.2035, 404.2065, 416.665, 416.701, 

416.708—0960–0633. In situations 

where a Social Security beneficiary or 

SSI recipient is incompetent or 

physically unable to take care of his or 

her own affairs, SSA may pay Social 

Security benefits and/or SSI payments 

to a relative, another person, or an 

organization when the best interest of 

the beneficiary will be served. In certain 

situations SSA conducts site reviews in 

order to ensure that payees are carrying 

out their responsibilities in accordance 

with representative payment policies 

and procedures. SSA is also able to 

identify poor payee performance, 

uncover misuse and initiate corrective 

action. Triennial site reviews are 

conducted for fee-for-service payees and 

all volume payees (i.e., organizations 

serving 100 or more beneficiaries and 

individuals serving 20 or more 

beneficiaries). The reviews include a 

face-to-face meeting with the payee (and 

appropriate staff), examination/ 

verification of a sample of beneficiary 

records and supporting documentation, 

and usually include beneficiary (if 

competent adult) or custodian (if 

different from payee) interviews. Forms 

SSA–637 and SSA–639 are used to 


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record the information collected during 

these interviews. The respondents are 

certain representative payees and also 

competent Social Security beneficiaries. 

Type of Request: Revision of an OMBapproved information collection. 

Estimated Annual Burden: 3,538 

hours. 

Form No. Number of 

respondents 

Reports 

annually 

Time per 

response 

(minutes) 

Total hours 

SSA–637 .......................................................................................................... 1,763 1 75 2,204 

SSA–639 .......................................................................................................... 8,001 1 10 1,334 

Totals ........................................................................................................ 9,764 ........................ ........................ 3,538 

4. Direct Deposit Sign-Up Form 

(Country)—31 CFR 210—0960–0686. 

The SSA–1199 form captures the direct 

deposit information for an account at a 

foreign financial institution. Our 

International Direct Deposit program 

allows beneficiaries living abroad to 

have their benefits deposited to an 

account at a financial institution outside 

the U.S. Routing account number 

information varies slightly for each 

country, so we use a variation of the SF–

1199 A (the government standard Direct 

Deposit Sign-Up Form) for each country. 

The respondents are Social Security 

beneficiaries residing abroad. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 5,000. 

Frequency of Response: 1. 

Average Burden Per Response: 5 

minutes. 

Estimated Annual Burden: 417 hours. 

5. Certification of Prisoner Identity 

Information—20 CFR 422.107—0960–

0688. When a valid agreement is in 

place, prison officials verify the identity 

of certain incarcerated U.S. citizens who 

need replacement Social Security cards. 

Information the prison officials provide 

will be taken from the official prison 

files and will be transcribed on their 

letterhead. This information will be 

used to establish the applicant’s identity 

in the Social Security card process. The 

respondents are prison officials that 

certify identity of prisoners applying for 

replacement Social Security cards. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 1,000. 

Frequency of Response: 200. 

Average Burden Per Response: 3 

minutes. 

Estimated Annual Burden: 10,000 

hours. 

6. Claimant Statement about Loan of 

Food or Shelter; Statement about Food 

or Shelter Provided to Another—20 CFR 

416.1130–416.1148—0960–0529. Forms 

SSA–5062 and SSA–L5063 are used to 

obtain statements about food and/or 

shelter provided to an SSI claimant or 

recipient. SSA uses this information to 

determine whether food and/or shelter 

are bona fide loans or should be counted 

as income for SSI purposes. This 

determination can affect eligibility for 

SSI and the amount of SSI benefits 

payable. The respondents are claimants/ 

recipients for SSI benefits and 

individuals that provide loans of food 

and/or shelter to SSI claimants/ 

recipients. 

Type of Request: Revision of an OMBapproved information collection. 

Estimated Annual Burden: 21,846 

hours. 

Collections Number of 

respondents 

Frequency of 

response 

Average burden per response 

(minutes) 

Estimated annual burden 

(hours) 

SSA–5062 ........................................................................................................ 65,540 1 10 10,923 

SSA–L5063 ...................................................................................................... 65,540 1 10 10,923 

Totals ........................................................................................................ 131,080 ........................ ........................ 21,846 

7. Internet Direct Deposit 

Application—31 CFR 210—0960–0634. 

SSA uses Direct Deposit/Electronic 

Funds Transfer (DD/EFT) enrollment 

information received from beneficiaries 

to facilitate DD/EFT of their Social 

Security benefits with a financial 

institution. Respondents are Social 

Security beneficiaries who use the 

Internet to enroll in DD/EFT. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 80,000. 

Frequency of Response: 1. 

Average Burden Per Response: 10 

minutes. 

Estimated Annual Burden: 13,333 

hours. 

8. Farm Self-Employment 

Questionnaire—20 CFR 404.1095—

0960–0061. Section 211(a) of the Social 

Security Act requires the existence of a 

trade or business as a prerequisite for 

determining whether an individual or 

partnership may have ‘‘net earnings 

from self-employment.’’ Form SSA–

7156 elicits the information necessary to 

determine the existence of an 

agricultural trade or business and 

subsequent covered earnings for Social 

Security entitlement purposes. The 

respondents are applicants for Social 

Security benefits, whose entitlement 

depends on whether the worker has 

covered earnings from self-employment 

as a farmer. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 47,500. 

Frequency of Response: 1. 

Average Burden Per Response: 10 

minutes. 

Estimated Annual Burden: 7,917 

hours. 

Dated: March 19, 2007. 

Elizabeth A. Davidson, 

Reports Clearance Officer, Social Security 

Administration. 

[FR Doc. E7–5281 Filed 3–22–07; 8:45 am] 

BILLING CODE 4191–02–P 


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