### 3271 Federal Register / Vol. 75, No. 12 / Wednesday, January 20, 2010 / Notices

5 17 CFR 240.17a–4(g).

6 See Securities Exchange Act Release No. 43102 (August 1, 2000), 65 FR 48266 (August 7, 2000) (Order Approving File No. SR–NASD–99–76).

7 For example, associated persons who have custody of a member’s original books and records relating to securities or funds are subject to the fingerprinting requirements of SEA Rule 17f–2 for purposes of a criminal background check.

8 In approving this proposed rule change, the Commission has considered the proposed rule’s impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 9 15 U.S.C. 78 o–3(b)(6).

10 15 U.S.C. 78s(b)(2).

11 17 CFR 200.30–3(a)(12). registered broker-dealer has a continuing obligation to retain its required books and records for the remainder of the specified retention periods. 5

To that end, Form BDW (Uniform Request for Broker-Dealer Withdrawal) requires that the member identify and provide the contact information of the person who will have custody of the firm’s books and records after the firm has discontinued its business operations. The form also requires that the firm provide the address where the books and records will be located, if different than the custodian’s address. In addition, Form BDW provides that the firm and the person signing the form on behalf of the firm must certify that the firm’s books and records will be preserved and made available for inspection.

NASD Rule 3121 requires a member to designate as the custodian of its required books and records on Form BDW a person who is associated with the firm at the time Form BDW is filed. The rule, which was approved by the Commission in 2000, 6 is intended to enhance FINRA’s ability to obtain required books and records from firms that are no longer conducting business and to ensure that the custodian of the books and records has been subject to certain background checks. 7 There is no comparable Incorporated NYSE Rule. Therefore, FINRA proposed to adopt NASD Rule 3121 as FINRA Rule 4570 in the Consolidated FINRA Rulebook, with only minor technical changes. Specifically, NASD Rule 3121 currently states that a member must designate an associated person ‘‘as the custodian of the record’’ ; the revised rule text will reflect that the associated person is designated ‘‘as the custodian of the member’s books and records, ’’ which is consistent with the terminology used in Form BDW.

The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities association. 8 In particular, the Commission finds that the proposal is consistent with Section 15A(b)(6) of the Act, 9 which requires, among other things, that FINRA’s rules be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. The Commission believes that the proposed rule change will further the purposes of the Act by, among other things, enhancing FINRA’s ability to obtain required books and records from member firms that are no longer conducting business. The Commission therefore believes that it is appropriate and consistent with the Act for the Exchange to include adopt the Custodian of Books and Records rule.

It is therefore ordered, pursuant to Section 19(b)(2) of the Act, 10 that the proposed rule change (SR–FINRA– 2009–080) is approved.

For the Commission, by the Division of Trading and Markets, pursuant to delegated authority. 11 Florence E. Harmon, Deputy Secretary.
[FR Doc. 2010–924 Filed 1–19–10; 8:45 am]

**BILLING CODE 8011–01–P**

**DEPARTMENT OF STATE**

**[Public Notice 6871]**

**30-Day Notice of Proposed Information Collections: DS–4143, Brokering Prior**  **Approval (License), OMB No. 1405– 0142; DS–4142, Annual Brokering**  **Report, OMB No. 1405–0141**

**ACTION :**  Notice of request for public comment and submission to OMB of proposed collections of information.

**SUMMARY :**  The Department of State has submitted the following information collection request to the Office of Management and Budget (OMB) for approval in accordance with the Paperwork Reduction Act of 1995.

• Title of Information Collection: Brokering Prior Approval (License).

• OMB Control Number: 1405–0142.

• Type of Request: Extension of Currently Approved Collection.

• Originating Office: Bureau of Political-Military Affairs, Directorate of Defense Trade Controls, PM/DDTC.

• Form Number: None.

• Respondents: Business and Nonprofit Organizations.

• Estimated Number of Respondents:
980.

• Estimated Number of Responses:
100. • Average Hours per Response: 2 hours.

• Total Estimated Burden: 200 hours.

• Frequency: On Occasion.

• Obligation to Respond: Required to Obtain Benefits.

• Title of Information Collection: Annual Brokering Report.

• OMB Control Number: 1405–0141.

• Type of Request: Extension of Currently Approved Collection.

• Originating Office: Bureau of Political-Military Affairs, Directorate of Defense Trade Controls, PM/DDTC.

• Form Number: None.

• Respondents: Business and Nonprofit Organizations.

• Estimated Number of Respondents:
980.

• Estimated Number of Responses:
600.

• Average Hours per Response: 2 hours.

• Total Estimated Burden: 1,200 hours.

• Frequency: On Occasion.

• Obligation to Respond: Mandatory.

**DATES :**  Submit comments to the Office of Management and Budget (OMB) for up to 30 days from January 20, 2010.

**ADDRESSES :**  Direct comments to the Department of State Desk Officer in the Office of Information and Regulatory Affairs at the Office of Management and Budget (OMB). You may submit comments by the following methods:

• E-mail: oira

_submission@omb.eop.gov. You must include the DS form number, information collection title, and OMB control number in the subject line of
your message.

• Fax: 202–395–5806. Attention: Desk Officer for Department of State.

**FOR FURTHER INFORMATION CONTACT :**  You may obtain copies of the proposed information collections and supporting documents from Nicholas Memos, PM/ DDTC, SA–1, 12th Floor, Directorate of Defense Trade Controls, Bureau of Political-Military Affairs, U.S. Department of State, Washington, DC 20522–0112, who may be reached via phone at (202) 663–2804, or via e-mail
at memosni@state.gov

. **SUPPLEMENTARY INFORMATION :**  We are soliciting public comments to permit the Department to:

• Evaluate whether the proposed information collection is necessary to properly perform our functions.

• Evaluate the accuracy of our estimate of the burden of the proposed collection, including the validity of the methodology and assumptions used.

• Enhance the quality, utility, and clarity of the information to be collected.


### 3272 Federal Register / Vol. 75, No. 12 / Wednesday, January 20, 2010 / Notices

• Minimize the reporting burden on those who are to respond.

Abstract of proposed collections: The export, temporary import, temporary export and brokering of defense articles, defense services and related technical data are licensed by the Directorate of Defense Trade Controls in accordance with the International Traffic in Arms Regulations (22 CFR parts 120–130) and Section 38 of the Arms Export Control Act. Those of the public who manufacture or export defense articles, defense services, and related technical data, or the brokering thereof, must register with the Department of State. Persons desiring to engage in export, temporary import, and brokering activities must submit an application or written request to conduct the transaction to the Department to obtain a decision whether it is in the interests of U.S. foreign policy and national security to approve the transaction. Also, registered brokers must submit annual reports regarding all brokering activity that was transacted, and registered manufacturers and exporter must maintain records of defense trade activities for five years.

Methodology: These forms/ information collections may be sent to the Directorate of Defense Trade Controls via the following methods: Electronically, mail, personal delivery, and/or fax.

Dated: January 8, 2010. Robert S. Kovac, Acting Deputy Assistant Secretary for Defense Trade, Bureau of Political-Military Affairs, Department of State.
[FR Doc. 2010–989 Filed 1–19–10; 8:45 am]

**BILLING CODE 1710–25–P**

**DEPARTMENT OF STATE**

**[Public Notice 6876]**

**Culturally Significant Objects Imported for Exhibition Determinations:**  ‘‘**The Sacred Made Real: Spanish Painting**  **and Sculpture 1600–1700**’’

**SUMMARY :**  Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681, et seq.; 22 U.S.C. 6501 note, et
seq. ), Delegation of Authority No. 234 of October 1, 1999, Delegation of Authority No. 236 of October 19, 1999, as amended, and Delegation of Authority No. 257 of April 15, 2003 [68 FR 19875], I hereby determine that the objects to be included in the exhibition ‘‘The Sacred Made Real: Spanish Painting and Sculpture 1600–1700, ’’ imported from abroad for temporary exhibition within the United States, are of cultural significance. The objects are imported pursuant to loan agreements with the foreign owners or custodians. I also determine that the exhibition or display of the exhibit objects at the National Gallery of Art, Washington, DC, from on or about February 28, 2010, until on or about May 31, 2010, and at possible additional exhibitions or venues yet to be determined, is in the national interest. I have ordered that Public Notice of these Determinations be published in the Federal Register

. **FOR FURTHER INFORMATION CONTACT :**  For further information, including a list of the exhibit objects, contact Paul W. Manning, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State ( telephone: 202–632–6469). The mailing address is U.S. Department of State, SA–5, L/PD, Fifth Floor (Suite 5H03), Washington, DC 20522–0505.

Dated: January 12, 2010. Maura M. Pally, Deputy Assistant Secretary for Professional and Cultural Exchanges, Bureau of Educational and Cultural Affairs, Department of State.
[FR Doc. 2010–986 Filed 1–19–10; 8:45 am]

**BILLING CODE 4710–05–P**

**DEPARTMENT OF STATE**

**[Public Notice 6866]**

**Shipping Coordinating Committee; Notice of Committee Meeting** 

The Shipping Coordinating Committee (SHC) will conduct an open meeting at 9:30 a.m. on Tuesday February 2, 2010, in Room 6103 of the United States Coast Guard Headquarters Building, 2100 Second Street, SW., Washington, DC 20593–0001. The primary purpose of the meeting is to prepare for the fourteenth Session of the International Maritime Organization (IMO) Subcommittee on Bulk Liquids and Gases (BLG) to be held at the IMO Headquarters, United Kingdom, from February 8 to February 12, 2010.

This announcement might appear in the Federal Register less than 15 days prior to the meeting. The Department of State finds that there is an exceptional circumstance, in that this advisory committee meeting must be held on February 2nd in order to prepare for the IMO Subcommittee meeting to be convened on February 8th.

The primary matters to be considered include: —Adoption of the agenda. —Decisions of other IMO bodies. —Evaluation of safety and pollution

hazards of chemicals and preparation of consequential amendments. —Application of the requirements for

the carriage of bio-fuels and bio-fuel blends. —Development of guidelines and other

documents for uniform implementation of the 2004 BWM Convention.—Development of provisions for gasfuelled ships. —Casualty analysis. —Consideration of IACS unified

interpretations. —Development of international

measures for minimizing the transfer of invasive aquatic species through bio-fouling of ships. —Revision of the IGC Code. —Safety requirements for natural gas

hydrate pellet carriers. —Review of relevant non-mandatory

instruments as a consequence of the amended MARPOL Annex VI and the NO X Technical Code. —Revision of the Recommendations for

entering enclosed spaces aboard ships. —Work programme and agenda for BLG

15.—Election of Chairman and ViceChairman for 2011. —Any other business. —Report to the Committees.

Members of the public may attend this meeting up to the seating capacity of the room. To facilitate the building security process, those who plan to attend should contact the meetingcoordinator, Mr. Thomas Felleisen, by email at Thomas.J.Felleisen@uscg.mil, by phone at (202) 372–1424, by fax at (202) 372–1926, or in writing at Commandant (CG–5223), U.S. Coast Guard, 2100 2nd Street, SW., Stop 7126, Washington, DC 20593–7126, not later than January 26, 2010, 7 days prior to the meeting. A member of the public requesting reasonable accommodation should also make such request prior to January 26, 2010. Requests made after January 26, 2010 might not be able to be accommodated. Please note that due to security considerations, two valid, government issued photo identifications must be presented to gain entrance to the Headquarters building.

The Headquarters building is accessible by taxi and privately owned conveyance (public transportation is not generally available). However, parking in the vicinity of the building is extremely limited. Additional information regarding this and other IMO SHC public meetings may be found
at: http://www.uscg.mil/imo.