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

5 17 CFR 240.17a–4(g). 

6See Securities Exchange Act Release No. 43102 

(August 1, 2000), 65 FR 48266 (August 7, 2000) 

(Order Approving File No. SR–NASD–99–76). 

7For 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. 78o–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. 


pwalker on DSK8KYBLC1PROD with NOTICES
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 

NOX 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 meeting 

coordinator, 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. 


pwalker on DSK8KYBLC1PROD with NOTICES