Federal Register / Vol. 80, No. 44 / Friday, March 6, 2015 / Notices 12261 

as the realignment of Simms Street to 

allow for more aviation development to 

the east. The proceeds for the disposal 

of the property will be at fair market 

value and the sponsor will utilize the 

revenue to reinvest into future airport 

development. 

Any person may inspect, by 

appointment, the request in person at 

the FAA office listed above under FOR

FURTHER INFORMATION CONTACT. 

In addition, any person may, upon 

appointment and request, inspect the 

application, notice and other documents 

germane to the application in person at 

the Rocky Mountain Metropolitan 

Airport. 

Issued in Denver, Colorado, on February 

25, 2015. 

John P. Bauer, 

Manager, Denver Airports District Office. 

[FR Doc. 2015–05109 Filed 3–5–15; 8:45 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF THE TREASURY 

Office of the Comptroller of the 

Currency 

Agency Information Collection 

Activities: Information Collection 

Renewal; Comment Request; 

Recordkeeping Requirements for 

Securities Transactions 

AGENCY: Office of the Comptroller of the 

Currency (OCC), Treasury. 

ACTION: Notice and request for comment. 

SUMMARY: The OCC, as part of its 

continuing effort to reduce paperwork 

and respondent burden, invites the 

general public and other Federal 

agencies to take this opportunity to 

comment on a continuing information 

collection, as required by the Paperwork 

Reduction Act of 1995 (PRA). In 

accordance with the requirements of the 

PRA, the OCC may not conduct or 

sponsor, and the respondent is not 

required to respond to, an information 

collection unless it displays a currently 

valid Office of Management and Budget 

(OMB) control number. The OCC is 

soliciting comment concerning its 

information collection titled, 

‘‘Recordkeeping Requirements for 

Securities Transactions.’’ 

DATES: You should submit comments by 

May 5, 2015. 

ADDRESSES: Because paper mail in the 

Washington, DC area and at the OCC is 

subject to delay, commenters are 

encouraged to submit comments by 

email, if possible. Comments may be 

sent to: Legislative and Regulatory 

Activities Division, Office of the 

Comptroller of the Currency, Attention: 

1557–0142, 400 7th Street SW., Suite 

3E–218, Mail Stop 9W–11, Washington, 

DC 20219. In addition, comments may 

be sent by fax to (571) 465–4326 or by 

electronic mail to regs.comments@

occ.treas.gov. You may personally 

inspect and photocopy comments at the 

OCC, 400 7th Street SW., Washington, 

DC 20219. For security reasons, the OCC 

requires that visitors make an 

appointment to inspect comments. You 

may do so by calling (202) 649–6700. 

Upon arrival, visitors will be required to 

present valid government-issued photo 

identification and to submit to security 

screening in order to inspect and 

photocopy comments. All comments 

received, including attachments and 

other supporting materials, are part of 

the public record and subject to public 

disclosure. Do not enclose any 

information in your comment or 

supporting materials that you consider 

confidential or inappropriate for public 

disclosure. 

FOR FURTHER INFORMATION CONTACT: 

Mary H. Gottlieb, OCC Clearance 

Officer, (202) 649–5490, for persons 

who are deaf or hard of hearing, TTY, 

(202) 649–5597, Legislative and 

Regulatory Activities Division, Office of 

the Comptroller of the Currency, 400 7th 

Street SW., Suite 3E–218, Mail Stop 

9W–11, Washington, DC 20219. 

SUPPLEMENTARY INFORMATION: The OCC 

is proposing to extend OMB approval of 

the following information collection: 

Title: Recordkeeping Requirements 

for Securities Transactions—12 CFR 

parts 12 and 151. 

OMB Number: 1557–0142. 

Description: The information 

collection requirements in 12 CFR parts 

12 and 151 are required to ensure that 

national banks and Federal savings 

associations comply with securities 

laws and to improve the protections 

afforded to persons who purchase and 

sell securities through these financial 

institutions. Parts 12 and 151 establish 

recordkeeping and confirmation 

requirements applicable to certain 

securities transactions effected by 

national banks or Federal savings 

associations for customers. The 

transaction confirmation information 

required by these regulations ensures 

that customers receive a record of each 

securities transaction and that financial 

institutions and the OCC have the 

records necessary to monitor 

compliance with securities laws and 

regulations. The OCC uses the required 

information in the course of its 

examinations to evaluate, among other 

things, an institution’s compliance with 

the antifraud provisions of the Federal 

securities laws. 

The information collection 

requirements contained in 12 CFR parts 

12 and 151 are as follows: 

• 12 CFR 12.3 requires a national 

bank effecting securities transactions for 

customers to maintain records for at 

least three years. The records required 

by this section must clearly and 

accurately reflect the information 

required and provide an adequate basis 

for the audit of the information. 

• 12 CFR 151.50 requires a Federal 

savings association effecting securities 

transactions for customers to maintain 

records for at least three years. 12 CFR 

151.60 provides that the records 

required by 12 CFR 151.50 must clearly 

and accurately reflect the information 

required and provide an adequate basis 

for audit of the information. 

• 12 CFR 12.4 requires a national 

bank to give or send to the customer a 

written notification of the transaction or 

a copy of the registered broker/dealer 

confirmation relating to the transaction 

at or before completion of the securities 

transaction and establishes minimum 

disclosures needed for a customer’s 

securities transactions. 

• 12 CFR 151.70, 151.80 and 151.90 

establish the minimum disclosures 

required for a Federal savings 

association’s confirmation of a 

customer’s securities transactions. 

• 12 CFR 151.90 requires a Federal 

savings association to provide its 

customers with a written notice of each 

securities transaction, which it must 

give or send to the customer at or before 

the completion of the securities 

transaction. 

• 12 CFR 12.5(a), (b), (c), and (e) 

describe notification procedures that a 

national bank may elect to use, as an 

alternative to complying with § 12.4, to 

notify customers of transactions in 

which the bank does not exercise 

investment discretion, trust 

transactions, agency transactions, and 

certain periodic plan transactions. 

• 12 CFR 151.100 describes 

notification procedures that a Federal 

savings association may use, as an 

alternative to complying with 12 CFR 

151.70, 151.80 or 151.90, for an account 

in which the savings association does 

not exercise investment discretion, trust 

transactions, agency transactions, 

certain periodic plan transactions, 

collective investment fund transactions, 

and money market funds. 

• 12 CFR 12.7(a)(1) through (a)(3) 

require national banks to maintain and 

adhere to policies and procedures that 

assign responsibility for supervision of 

employees who perform securities 

trading functions, provide for the fair 

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12262 Federal Register / Vol. 80, No. 44 / Friday, March 6, 2015 / Notices 

and equitable allocation of securities 

and prices to accounts, and provide for 

crossing of buy and sell orders on a fair 

and equitable basis. 

• 12 CFR 151.140 requires Federal 

savings associations to adopt written 

policies and procedures dealing with 

the functions involved in effecting 

securities transactions on behalf of 

customers. These policies and 

procedures must assign responsibility 

for the supervision of employees who 

perform securities trading functions, 

provide for the fair and equitable 

allocation of securities prices to 

accounts, and provide for crossing of 

buy and sell orders on a fair and 

equitable basis. 

• 12 CFR 12.7(a)(4) requires certain 

national bank officers and employees 

involved in the securities trading 

process to report to the bank all 

personal transactions in securities made 

by them or on their behalf in which they 

have a beneficial interest. 

• 12 CFR 151.150 requires certain 

Federal savings association officers and 

employees to report personal 

transactions they make or that are made 

on their behalf in which they have a 

beneficial interest. 

• 12 CFR 12.8 requires a national 

bank seeking a waiver of one or more of 

the requirements of §§ 12.2 through 12.7 

to file a written request for waiver with 

the OCC. 

Type of Review: Regular. 

Affected Public: Individuals; 

Businesses or other for-profit. 

Estimated Number of Respondents: 

399. 

Estimated Frequency of Response: On 

occasion. 

Estimated Total Annual Burden: 

2,315 hours. 

Comments submitted in response to 

this notice will be summarized and 

included in the request for OMB 

approval. All comments will become a 

matter of public record. Comments are 

invited on: 

(a) Whether the collection of 

information is necessary for the proper 

performance of the functions of the 

OCC, including whether the information 

has practical utility; 

(b) The accuracy of the OCC’s 

estimate of the burden of the collection 

of information; 

(c) Ways to enhance the quality, 

utility, and clarity of the information to 

be collected; 

(d) Ways to minimize the burden of 

the collection on respondents, including 

through the use of automated collection 

techniques or other forms of information 

technology; and 

(e) Estimates of capital or start-up 

costs and costs of operation, 

maintenance, and purchase of services 

to provide information. 

Dated: March 2, 2015. 

Stuart E. Feldstein, 

Director, Legislative and Regulatory Activities 

Division. 

[FR Doc. 2015–05154 Filed 3–5–15; 8:45 am] 

BILLING CODE 4810–33–P 

DEPARTMENT OF VETERANS 

AFFAIRS 

Notice of Intent To Grant an Exclusive 

License 

AGENCY: Office of Research and 

Development, Department of Veterans 

Affairs. 

ACTION: Notice of Intent. 

SUMMARY: Notice is hereby given that 

the Department of Veterans Affairs, 

Office of Research and Development, 

intends to grant to Rubicon 

Biotechnology, LLC, 26212 Dimension 

Dr. Suite 260, Lake Forest, CA 92630, 

USA, an exclusive license to practice 

the following: U.S. Patent Application 

Serial No. 13/815,829 (‘‘ANTIBODYMEDIATED TRANSDUCTION OF HEAT 

SHOCK PROTEINS INTO LIVING 

CELLS’’), filed March 15, 2013, which 

claimed the priority of U.S. Serial No. 

61/618,594, filed March 30, 2012. 

Copies of the published patent 

applications may be obtained from the 

U.S. Patent and Trademark Office at 

www.uspto.gov. 

DATES: Comments must be received 15 

days from the date of this published 

Notice. 

ADDRESSES: Written comments may be 

submitted through www.regulations.gov; 

by mail or hand-delivery to the Director, 

Regulations Management (02REG), 

Department of Veterans Affairs, 810 

Vermont Avenue NW., Room 1068, 

Washington, DC, 20420; or by fax to 

(202) 273–9026. Copies of comments 

received will be available for public 

inspection in the Office of Regulation 

Policy and Management, Room 1063B, 

between the hours of 8:00 a.m. and 4:30 

p.m., Monday through Friday (except 

holidays). Call (202) 461–4902 for an 

appointment (this is not a toll-free 

number). In addition, during the 

comment period, comments may be 

viewed online through the Federal 

Docket Management System at http://

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: Dr. 

Lee A. Sylvers, Technology Transfer 

Specialist, Office of Research and 

Development (10P9TT), Department of 

Veterans Affairs, 810 Vermont Avenue 

NW., Washington, DC, 20420, (202) 

443–5646 (this is not a toll-free 

number). 

SUPPLEMENTARY INFORMATION: It is in the 

public interest to so license these 

inventions, as Rubicon Biotechnology, 

LLC submitted a complete and sufficient 

application for a license. The 

prospective exclusive license will be 

royalty-bearing and will comply with 

the terms and conditions of 35 U.S.C. 

209 and 37 CFR 404.7. 

Signing Authority 

The Secretary of Veterans Affairs, or 

designee, approved this document and 

authorized the undersigned to sign and 

submit the document to the Office of the 

Federal Register for publication 

electronically as an official document of 

the Department of Veterans Affairs. Jose 

D. Riojas, Chief of Staff, approved this 

document on March 2, 2015 for 

publication. 

Approved: March 3, 2015. 

Michael Shores, 

Regulation Policy and Management, Office 

of General Counsel. 

[FR Doc. 2015–05209 Filed 3–5–15; 8:45 am] 

BILLING CODE 8320–01–P 

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