Federal Register / Vol. 80, No. 27 / Tuesday, February 10, 2015 / Notices 7503 

1Although the rules under Section 8(b) of the 

Investment Company Act are generally procedural 

in nature, two of the rules require respondents to 

disclose some limited information. Rule 8b–3 (17 

CFR 270.8b–3) provides that whenever a 

registration form requires the title of securities to 

be stated, the registrant must indicate the type and 

general character of the securities to be issued. Rule 

8b–22 (17 CFR 270.8b–22) provides that if the 

existence of control is open to reasonable doubt, the 

registrant may disclaim the existence of control, but 

it must state the material facts pertinent to the 

possible existence of control. The information 

required by both of these rules is necessary to 

insure that investors have clear and complete 

information upon which to base an investment 

decision. 

E-Filing system also distributes an email 

notice that provides access to the 

document to the NRC’s Office of the 

General Counsel and any others who 

have advised the Office of the Secretary 

that they wish to participate in the 

proceeding, so that the filer need not 

serve the documents on those 

participants separately. Therefore, 

applicants and other participants (or 

their counsel or representative) must 

apply for and receive a digital ID 

certificate before a hearing request/

petition to intervene is filed so that they 

can obtain access to the document via 

the E-Filing system. 

A person filing electronically using 

the NRC’s adjudicatory E-Filing system 

may seek assistance by contacting the 

NRC Meta System Help Desk through 

the ‘‘Contact Us’’ link located on the 

NRC’s public Web site at http://

www.nrc.gov/site-help/esubmittals.html, by email to 

MSHD.Resource@nrc.gov, or by a tollfree call at 1–866–672–7640. The NRC 

Meta System Help Desk is available 

between 8 a.m. and 8 p.m., Eastern 

Time, Monday through Friday, 

excluding government holidays. 

Participants who believe that they 

have a good cause for not submitting 

documents electronically must file an 

exemption request, in accordance with 

10 CFR 2.302(g), with their initial paper 

filing requesting authorization to 

continue to submit documents in paper 

format. Such filings must be submitted 

by: (1) First class mail addressed to the 

Office of the Secretary of the 

Commission, U.S. Nuclear Regulatory 

Commission, Washington, DC 20555– 

0001, Attention: Rulemaking and 

Adjudications Staff; or (2) courier, 

express mail, or expedited delivery 

service to the Office of the Secretary, 

Sixteenth Floor, One White Flint North, 

11555 Rockville Pike, Rockville, 

Maryland, 20852, Attention: 

Rulemaking and Adjudications Staff. 

Participants filing a document in this 

manner are responsible for serving the 

document on all other participants. 

Filing is considered complete by firstclass mail as of the time of deposit in 

the mail, or by courier, express mail, or 

expedited delivery service upon 

depositing the document with the 

provider of the service. A presiding 

officer, having granted an exemption 

request from using E-Filing, may require 

a participant or party to use E-Filing if 

the presiding officer subsequently 

determines that the reason for granting 

the exemption from use of E-Filing no 

longer exists. 

Documents submitted in adjudicatory 

proceedings will appear in the NRC’s 

electronic hearing docket which is 

available to the public at http://

ehd1.nrc.gov/ehd/, unless excluded 

pursuant to an order of the Commission, 

or the presiding officer. Participants are 

requested not to include personal 

privacy information, such as social 

security numbers, home addresses, or 

home phone numbers in their filings, 

unless an NRC regulation or other law 

requires submission of such 

information. However, a request to 

intervene will require including 

information on local residence in order 

to demonstrate a proximity assertion of 

interest in the proceeding. With respect 

to copyrighted works, except for limited 

excerpts that serve the purpose of the 

adjudicatory filings and would 

constitute a Fair Use application, 

participants are requested not to include 

copyrighted materials in their 

submission. 

Dated at Rockville, Maryland, this 22nd 

day of January 2015. 

For the Nuclear Regulatory Commission. 

Christepher McKenney, 

Acting Deputy Director, Division of 

Decommissioning, Uranium Recovery, and 

Waste Programs Office of Nuclear Material 

Safety and Safeguards. 

[FR Doc. 2015–02708 Filed 2–9–15; 8:45 am] 

BILLING CODE 7590–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copy Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE., Washington, DC 

20549–2736. 

Extension: Rules 8b–1 to 8b–33; SEC File 

No. 270–135, OMB Control No. 3235– 

0176. 

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 collection of information 

summarized below. The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget (‘‘OMB’’) for 

extension and approval. 

Rules 8b–1 to 8b–33 (17 CFR 270.8b– 

1 to 8b–33) under the Investment 

Company Act of 1940 (15 U.S.C. 80a–1 

et seq.) (‘‘Investment Company Act’’) set 

forth the procedures for preparing and 

filing a registration statement under the 

Investment Company Act. These 

procedures are intended to facilitate the 

registration process. These rules 

generally do not require respondents to 

report information.1

The Commission believes that it is 

appropriate to estimate the total 

respondent burden associated with 

preparing each registration statement 

form rather than attempt to isolate the 

impact of the procedural instructions 

under Section 8(b) of the Investment 

Company Act, which impose burdens 

only in the context of the preparation of 

the various registration statement forms. 

Accordingly, the Commission is not 

submitting a separate burden estimate 

for rules 8b–1 through 8b–33, but 

instead will include the burden for 

these rules in its estimates of burden for 

each of the registration forms under the 

Investment Company Act. The 

Commission is, however, submitting an 

hourly burden estimate of one hour for 

administrative purposes. 

The collection of information under 

rules 8b–1 to 8b–33 is mandatory. The 

information provided under rules 8b–1 

to 8b–33 is not kept confidential. An 

agency may not conduct or sponsor, and 

a person is not required to respond to, 

a collection of information unless it 

displays a currently valid OMB control 

number. 

Written comments are invited on: (a) 

Whether the collection of information is 

necessary for the proper performance of 

the functions of the Commission, 

including whether the information has 

practical utility; (b) the accuracy of the 

Commission’s estimate of the burden of 

the collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information collected; 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. 

Please direct your written comments 

to Pamela Dyson, Acting Director/Chief 

Information Officer, Securities and 

Exchange Commission, C/O Remi 


rljohnson on DSK3VPTVN1PROD with NOTICES
7504 Federal Register / Vol. 80, No. 27 / Tuesday, February 10, 2015 / Notices 

Pavlik-Simon, 100 F Street NE., 

Washington, DC 20549; or send an email 

to: PRA_Mailbox@sec.gov. 

Dated: February 4, 2015. 

Brent J. Fields, 

Secretary. 

[FR Doc. 2015–02615 Filed 2–9–15; 8:45 am] 

BILLING CODE 8011–01–P 

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: 

Form 10–Q; SEC File No. 270–051, OMB 

Control No. 3235–0064. 

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 collection of information 

summarized below. The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget for approval of 

extensions on the following: 

Form 10–Q (17 CFR 249.308a) is filed 

by issuers of securities to satisfy their 

quarterly reporting obligations pursuant 

to Sections 13 or 15(d) of the Exchange 

Act (‘‘Exchange Act’’) (15 U.S.C. 78m or 

78o(d)). The information provided by 

Form 10–Q is intended to ensure the 

adequacy of information available to 

investors about an issuer. Form 10–Q 

takes approximately 187.43 hours per 

response to prepare and is filed by 

approximately 22,907 respondents. We 

estimated that 75% of the 

approximately 187.43 hours per 

response (140.57 hours) is prepared by 

the company for an annual reporting 

burden of 3,220,037 hours (140.57 hours 

per response × 22,907 responses). 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information will have practical utility; 

(b) the accuracy of the agency’s estimate 

of burden of the collection of 

information; (c) ways to enhance the 

quality, utility, and clarity of the 

information collected; 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 

unless it displays a currently valid 

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: February 4, 2015. 

Brent J. Fields, 

Secretary. 

[FR Doc. 2015–02616 Filed 2–9–15; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Investment Company Act Release No. 

31446; 812–14234] 

Exceed Advisory LLC and Exceed 

ETFs; Notice of Application 

February 4, 2015. 

AGENCY: Securities and Exchange 

Commission (‘‘Commission’’). 

ACTION: Notice of an application for an 

order under section 6(c) of the 

Investment Company Act of 1940 

(‘‘Act’’) for an exemption from sections 

2(a)(32), 5(a)(1), 22(d) and 22(e) of the 

Act and rule 22c–1 under the Act, under 

sections 6(c) and 17(b) of the Act for an 

exemption from sections 17(a)(1) and 

(a)(2) of the Act, and under section 

12(d)(1)(J) of the Act for an exemption 

from sections 12(d)(1)(A) and (B) of the 

Act. 

APPLICANTS: Exceed Advisory LLC 

(‘‘Exceed’’) and Exceed ETFs (the 

‘‘Trust’’). 

SUMMARY OF APPLICATION: Applicants 

request an order that permits: (a) 

Actively-managed series of certain 

open-end management investment 

companies to issue shares (‘‘Shares’’) 

redeemable in large aggregations only 

(‘‘Creation Units’’); (b) secondary market 

transactions in Shares to occur at 

negotiated market prices; (c) certain 

series to pay redemption proceeds, 

under certain circumstances, more than 

seven days from the tender of Shares for 

redemption; (d) certain affiliated 

persons of the series to deposit 

securities into, and receive securities 

from, the series in connection with the 

purchase and redemption of Creation 

Units; and (e) certain registered 

management investment companies and 

unit investment trusts outside of the 

same group of investment companies as 

the series to acquire Shares. 

FILING DATES: The application was filed 

on November 14, 2013. 

HEARING OR NOTIFICATION OF HEARING: An 

order granting the requested relief will 

be issued unless the Commission orders 

a hearing. Interested persons may 

request a hearing by writing to the 

Commission’s Secretary and serving 

applicants with a copy of the request, 

personally or by mail. Hearing requests 

should be received by the Commission 

by 5:30 p.m. on March 2, 2015, and 

should be accompanied by proof of 

service on applicants, in the form of an 

affidavit or, for lawyers, a certificate of 

service. Pursuant to rule 0–5 under the 

Act, hearing requests should state the 

nature of the writer’s interest, any facts 

bearing upon the desirability of a 

hearing on the matter, the reason for the 

request, and the issues contested. 

Persons who wish to be notified of a 

hearing may request notification by 

writing to the Commission’s Secretary. 

ADDRESSES: Brent J. Fields, Secretary, 

U.S. Securities and Exchange 

Commission, 100 F Street NE., 

Washington, DC 20549–1090. 

Applicants: Exceed and the Trust: 

Exceed Advisory LLC, 10 West 46th 

Street, #4A, New York, New York 

10036. 

FOR FURTHER INFORMATION CONTACT: 

Kieran G. Brown, Senior Counsel, at 

(202) 551–6773 or Daniele Marchesani, 

Branch Chief, at (202) 551–6821 

(Division of Investment Management, 

Chief Counsel’s Office). 

SUPPLEMENTARY INFORMATION: The 

following is a summary of the 

application. The complete application 

may be obtained via the Commission’s 

Web site by searching for the file 

number, or for an applicant using the 

Company name box, at http://

www.sec.gov/search/search.htm or by 

calling (202) 551–8090. 

Applicants’ Representations 

1. The Trust is a statutory trust 

organized under the laws of Delaware 

and will register with the Commission 

as an open-end management investment 

company. Applicants currently intend 

that the initial series of the Trust that 

will rely on the order will be the Exceed 

Market Opportunity ETF (the ‘‘Initial 

Fund’’), which will seek to protect 

against a portion of market losses and to 

provide enhanced returns on market 

gains up to a maximum return at the 

end of a specified term. To achieve its 

investment objective, under normal 

market conditions, the Initial Fund will 


rljohnson on DSK3VPTVN1PROD with NOTICES