Federal Register / Vol. 80, No. 15 / Friday, January 23, 2015 / Notices 3673 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE., Washington, DC 

20549–2736. 

Extension: 

Rules 17Ad–6 and 17Ad–7. SEC File No. 

270–151, OMB Control No. 3235–0291. 

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’’) is soliciting comments 

on the existing collection of information 

provided for in Rule 17Ad–6 (17 CFR 

240.17Ad–6) and Rule 17Ad–7 (17 CFR 

240.17Ad–7) under the Securities 

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

seq.) (‘‘Exchange Act’’). The 

Commission plans to submit this 

existing collection of information to the 

Office of Management and Budget for 

extension and approval. 

Rule 17Ad–6 requires every registered 

transfer agent to make and keep current 

records about a variety of information, 

such as: (1) Specific operational data 

regarding the time taken to perform 

transfer agent activities (to ensure 

compliance with the minimum 

performance standards in Rule 17Ad–2 

(17 CFR 240.17Ad–2)); (2) written 

inquiries and requests by shareholders 

and broker-dealers and response time 

thereto; (3) resolutions, contracts, or 

other supporting documents concerning 

the appointment or termination of the 

transfer agent; (4) stop orders or notices 

of adverse claims to the securities; and 

(5) all canceled registered securities 

certificates. 

Rule 17Ad–7 requires each registered 

transfer agent to retain the records 

specified in Rule 17Ad–6 in an easily 

accessible place for a period of six 

months to six years, depending on the 

type of record or document. Rule 17Ad– 

7 also specifies the manner in which 

records may be maintained using 

electronic, microfilm, and microfiche 

storage methods. 

These recordkeeping requirements are 

designed to ensure that all registered 

transfer agents are maintaining the 

records necessary for them to monitor 

and keep control over their own 

performance and for the Commission to 

adequately examine registered transfer 

agents on an historical basis for 

compliance with applicable rules. 

The Commission estimates that 

approximately 429 registered transfer 

agents will spend a total of 214,500 

hours per year complying with Rules 

17Ad–6 and 17Ad–7 (500 hours per year 

per transfer agent). 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information shall have practical utility; 

(b) the accuracy of the Commission’s 

estimates of the burden of the proposed 

collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information on respondents; and 

(d) ways to minimize the burden of the 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted in 

writing within 60 days of this 

publication. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

under the PRA unless it displays a 

currently valid OMB control number. 

Please direct your written comments 

to: Pamela Dyson, Acting Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE., Washington, 

DC 20549, or send an email to: PRA_

Mailbox@sec.gov. 

Dated: January 16, 2015. 

Brent J. Fields, 

Secretary. 

[FR Doc. 2015–01077 Filed 1–22–15; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–74092; File No. 265–29] 

Notice of Federal Advisory Committee 

Establishment; Equity Market 

Structure Advisory Committee 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice of Federal Advisory 

Committee Establishment. 

SUMMARY: The Securities and Exchange 

Commission intends to establish the 

Securities and Exchange Commission 

Equity Market Structure Advisory 

Committee. 

ADDRESSES: Written comments may be 

submitted by the following methods: 

Electronic Comments 

• Use the Commission’s Internet 

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

rules/other.shtml); or 

• Send an email message to rulecomments@sec.gov, including File No. 

265–29 on the subject line. 

Paper Comments 

• Send paper comments to Brent J. 

Fields, Securities and Exchange 

Commission, 100 F Street NE., 

Washington, DC 20549–1090. 

All submissions should refer to File No. 

265–29. To help us process and review 

your comments more efficiently, please 

use only one method. The Commission 

will post all comments on the 

Commission’s Internet Web site (http:// 

www.sec.gov/rules/other.shtml). 

Comments also will be available for 

Web site viewing and printing in the 

Commission’s Public Reference Room, 

100 F Street NE., Washington, DC 

20549, on official business days 

between the hours of 10:00 a.m. and 

3:00 p.m. All comments received will be 

posted without change; we do not edit 

personal identifying information from 

your submissions. You should submit 

only information that you wish to make 

available publicly. 

FOR FURTHER INFORMATION CONTACT: 

Arisa Tinaves, Special Counsel, 

Securities and Exchange Commission, 

100 F Street NE., Washington, DC 

20549–3628, (202) 551–5676. 

SUPPLEMENTARY INFORMATION: In 

accordance with the requirements of the 

Federal Advisory Committee Act, 5 

U.S.C.—App., the Commission is 

publishing this notice that the Chair of 

the Commission, with the concurrence 

of the other Commissioners, intends to 

establish the Securities and Exchange 

Commission Equity Market Structure 

Advisory Committee (the ‘‘Committee’’). 

The Committee’s objective is to provide 

the Commission with diverse 

perspectives on the structure and 

operations of the U.S. equities markets, 

as well as advice and recommendations 

on matters related to equity market 

structure. 

No more than seventeen voting 

members will be appointed to the 

Committee. Such members shall 

represent a cross-section of those 

directly affected by, interested in, and/ 

or qualified to provide advice to the 

Commission on matters related to equity 

market structure. The Committee’s 

membership will be balanced fairly in 

terms of points of view represented and 

functions to be performed. 

The Committee may be established 15 

days after publication of this notice in 

the Federal Register by filing a charter 

for the Committee with the Committee 

on Banking, Housing, and Urban Affairs 

of the United States Senate, the 

Committee on Financial Services of the 


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