Federal Register / Vol. 77, No. 9 / Friday, January 13, 2012 / Notices 2101 

subject to the PRA that does display a 

valid Office of Management (OMB) 

control number. 

Background documentation for this 

information collection may be viewed at 

the following Web site, 

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 email 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 within 30 days of 

this notice. 

Dated: January 9, 2012. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2012–532 Filed 1–12–12; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

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. 

Extension: 

Rule 12f–3, OMB Control No. 3235–0249, 

SEC File No. 270–141. 

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 

requests for extension of the previously 

approved collection of information 

provided for in the following rule: Rule 

12f–3 (17 CFR 240.12f–3). 

Rule 12f–3 (the ‘‘Rule’’), which was 

originally adopted in 1934 pursuant to 

Sections 12(f) and 23(a) of the Securities 

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

seq.) (‘‘Act’’), as modified in 1995, 

prescribes the information which must 

be included in applications for and 

notices of termination or suspension of 

unlisted trading privileges for a security 

as contemplated in Section 12(f)(4) of 

the Act. An application must provide, 

among other things, the name of the 

applicant; a brief statement of the 

applicant’s interest in the question of 

termination or suspension of such 

unlisted trading privileges; the title of 

the security; the name of the issuer; 

certain information regarding the size of 

the class of security and its recent 

trading history; and a statement 

indicating that the applicant has 

provided a copy of such application to 

the exchange from which the 

suspension or termination of unlisted 

trading privileges are sought, and to any 

other exchange on which the security is 

listed or admitted to unlisted trading 

privileges. 

The information required to be 

included in applications submitted 

pursuant to Rule 12f–3, is intended to 

provide the Commission with sufficient 

information to make the necessary 

findings under the Act to terminate or 

suspend by order the unlisted trading 

privileges granted a security on a 

national securities exchange. Without 

the Rule, the Commission would be 

unable to fulfill these statutory 

responsibilities. 

The burden of complying with Rule 

12f–3 arises when a potential 

respondent, having a demonstrable bona 

fide interest in the question of 

termination or suspension of the 

unlisted trading privileges of a security, 

determines to seek such termination or 

suspension. The staff estimates that 

each such application to terminate or 

suspend unlisted trading privileges 

requires approximately one hour to 

complete. Thus each potential 

respondent would incur on average one 

burden hour in complying with the 

Rule. The Commission staff estimates 

that there could be as many as 15 

responses annually. Compliance with 

the application requirements of Rule 

12f–3 is mandatory, though the filing of 

such applications is undertaken 

voluntarily. Rule 12f–3 does not have a 

record retention requirement per se. 

However, responses made pursuant to 

Rule 12f–3 are subject to the 

recordkeeping requirements of Rules 

17a–3 and 17a–4 of the Act. Information 

received in response to Rule 12f–3 shall 

not be kept confidential; the information 

collected is public information. 

The Commission may not conduct or 

sponsor a collection of information 

unless it displays a currently valid 

control number. No person shall be 

subject to any penalty for failing to 

comply with a collection of information 

subject to the PRA that does not display 

a valid Office of Management and 

Budget (OMB) control number. The 

public may view the background 

documentation for this information 

collection at the following Web site, 

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 email 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. 

Dated: January 9, 2012. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2012–531 Filed 1–12–12; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

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. 

Extension: 

Rule 12f–1, OMB Control No. 3235–0128, 

SEC File No. 270–139. 

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 

requests for extension of the previously 

approved collection of information 

provided for in the following rule: Rule 

12f–1 (17 CFR 240.12f–1). 

Rule 12f–1 (the ‘‘Rule’’), originally 

adopted in 1934 pursuant to Sections 

12(f) and 23(a) of the Securities 

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

seq.) (‘‘Act’’), as modified in 1995 and 

2005, sets forth the information which 

an exchange must include in an 

application to reinstate its ability to 

extend unlisted trading privileges to any 

security for which such unlisted trading 

privileges have been suspended by the 

Commission, pursuant to Section 

12(f)(2)(A) of the Act. An application 

must provide the name of the issuer, the 

title of the security, the name of each 

national securities exchange, if any, on 

which the security is listed or admitted 

to unlisted trading privileges, whether 

transaction information concerning the 

security is reported pursuant to an 

effective transaction reporting plan 

contemplated by Rule 601 of Regulation 

mstockstill on DSK4VPTVN1PROD with NOTICES

2102 Federal Register / Vol. 77, No. 9 / Friday, January 13, 2012 / Notices 

NMS, the date of the Commission’s 

suspension of unlisted trading 

privileges in the security on the 

exchange, and any other pertinent 

information. Rule 12f–1 further requires 

a national securities exchange seeking to 

reinstate its ability to extend unlisted 

trading privileges to a security to 

indicate that it has provided a copy of 

such application to the issuer of the 

security, as well as to any other national 

securities exchange on which the 

security is listed or admitted to unlisted 

trading privileges. 

The information required by Rule 

12f–1 enables the Commission to make 

the necessary findings under the Act 

prior to granting applications to 

reinstate unlisted trading privileges. 

This information is also made available 

to members of the public who may wish 

to comment upon the applications. 

Without the Rule, the Commission 

would be unable to fulfill these 

statutory responsibilities. 

There are currently 15 national 

securities exchanges subject to Rule 

12f–1. The burden of complying with 

Rule 12f–1 arises when a potential 

respondent seeks to reinstate its ability 

to extend unlisted trading privileges to 

any security for which unlisted trading 

privileges have been suspended by the 

Commission, pursuant to Section 

12(f)(2)(A) of the Act. The staff estimates 

that each application would require 

approximately one hour to complete. 

Thus each potential respondent would 

incur on average one burden hour in 

complying with the Rule. 

The Commission staff estimates that 

there could be as many as 15 responses 

annually and that each respondent’s 

related cost of compliance with Rule 

12f–1 would be $168.00, or, the cost of 

one hour of professional work of a 

paralegal needed to complete the 

application. The total annual related 

reporting cost for all potential 

respondents, therefore, is $2,520 (15 

responses × $168.00 per response). 

Compliance with Rule 12f–1 is 

mandatory. Rule 12f–1 does not have a 

record retention requirement per se. 

However, responses made pursuant to 

Rule 12f–1 are subject to the 

recordkeeping requirements of Rules 

17a–3 and 17a–4 of the Act. Information 

received in response to Rule 12f–1 shall 

not be kept confidential; the information 

collected is public information. 

The Commission may not conduct or 

sponsor a collection of information 

unless it displays a currently valid 

control number. No person shall be 

subject to any penalty for failing to 

comply with a collection of information 

subject to the PRA that does not display 

a valid Office of Management and 

Budget (OMB) control number. The 

public may view the background 

documentation for this information 

collection at the following Web site, 

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 email 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. 

Dated: January 9, 2012. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2012–530 Filed 1–12–12; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release Nos. 33–9293; 34–66123, File No. 

265–27] 

Advisory Committee on Small and 

Emerging Companies 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice of Meeting of SEC 

Advisory Committee on Small and 

Emerging Companies. 

SUMMARY: The Securities and Exchange 

Commission Advisory Committee on 

Small and Emerging Companies is 

providing notice that it will hold a 

public meeting on Wednesday, February 

1, 2012, in Multi-Purpose Room LL–006 

at the Commission’s headquarters, 100 F 

Street NE., Washington, DC. The 

meeting will begin at 10 a.m. (EST) and 

will be open to the public. The meeting 

will be webcast on the Commission’s 

Web site at www.sec.gov. Persons 

needing special accommodations to take 

part because of a disability should 

notify the contact person listed below. 

The public is invited to submit written 

statements to the Committee. 

The agenda for the meeting includes 

consideration of recommendations and 

other matters relating to rules and 

regulations affecting small and emerging 

companies under the federal securities 

laws. 

DATES: Written statements should be 

received on or before January 27, 2012. 

ADDRESSES: Written statements may be 

submitted by any of the following 

methods: 

Electronic Statements 

• Use the Commission’s Internet 

submission form (http://www.sec.gov/ 

info/smallbus/acsec.shtml); 

or 

• Send an email message to rulecomments@sec.gov. Please include File 

Number 265–27 on the subject line; or 

Paper Statements 

• Send paper statements in triplicate 

to Elizabeth M. Murphy, Federal 

Advisory Committee Management 

Officer, Securities and Exchange 

Commission, 100 F Street NE., 

Washington, DC 20549–1090. 

All submissions should refer to File No. 

265–27. This file number should be 

included on the subject line if email is 

used. To help us process and review 

your statement more efficiently, please 

use only one method. The Commission 

will post all statements on the Advisory 

Committee’s Web site (http:// 

www.sec.gov./info/smallbus/ 

acsec.shtml). 

Statements also will be available for 

Web site viewing and printing in the 

Commission’s Public Reference Room, 

100 F Street NE., Room 1580, 

Washington, DC 20549, on official 

business days between the hours of 

10 a.m. and 3 p.m. All statements 

received will be posted without change; 

we do not edit personal identifying 

information from submissions. You 

should submit only information that 

you wish to make available publicly. 

FOR FURTHER INFORMATION CONTACT: 

Johanna V. Losert, Special Counsel, at 

(202) 551–3460, Office of Small 

Business Policy, Division of Corporation 

Finance, Securities and Exchange 

Commission, 100 F Street NE., 

Washington, DC 20549–3628. 

SUPPLEMENTARY INFORMATION: In 

accordance with Section 10(a) of the 

Federal Advisory Committee Act, 

5 U.S.C.–App. 1, § 10(a), and the 

regulations thereunder, Meredith B. 

Cross, Designated Federal Officer of the 

Committee, has ordered publication of 

this notice. 

Dated: January 10, 2012. 

Elizabeth M. Murphy 

Committee Management Officer. 

[FR Doc. 2012–552 Filed 1–12–12; 8:45 am] 

BILLING CODE 8011–01–P 

mstockstill on DSK4VPTVN1PROD with NOTICES