Federal Register / Vol. 74, No. 51 / Wednesday, March 18, 2009 / Notices 11617 

public company will be unable to timely 

file a required periodic or transition 

report pursuant to the Securities 

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

seq.) and the Investment Company Act 

of 1940 (15 U.S.C. 80a et seq.). If all the 

filing conditions of the form are met, the 

company is granted an automatic filing 

extension. The information required is 

filed on occasion and is mandatory. All 

information is available to the public for 

review. Publicly held companies file 

Form 12b–25. Approximately 7,799 

registrants file Form 12b–25 and it takes 

approximately 2.5 hours per response 

for a total of 19,498 burden hours. 

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. 

Written comments regarding the 

above information should be directed to 

the following persons: (i) Desk Officer 

for the Securities and Exchange 

Commission, Office of Information and 

Regulatory Affairs, Office of 

Management and Budget, Room 10102, 

New Executive Office Building, 

Washington, DC 20503; and an e-mail to 

Shagufta_Ahmed@omb.eop.gov; and (ii) 

Charles Boucher, Director/CIO, 

Securities and Exchange Commission, 

C/O Shirley Martinson, 6432 General 

Green Way, Alexandria, VA 22312; or 

send an e-mail to: 

PRA_Mailbox@sec.gov. Comments must 

be submitted to OMB within 30 days of 

this notice. 

Dated: March 11, 2009. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–5768 Filed 3–17–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon written request, copies available 

from: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rules 17Ad–6 and 17Ad–7, OMB Control 

No. 3235–0291, SEC File No. 270–151. 

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’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for approval of 

extension of the existing collection of 

information provided for in the 

following rules: 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’’). 

Rule 17Ad–6 under the Exchange Act 

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 under the Exchange Act 

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 transfer agents 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 600 registered transfer 

agents will spend a total of 300,000 

hours per year complying with Rules 

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

per transfer agent). 

The retention period for the 

recordkeeping requirements under Rule 

17Ad–6 is six months to one year. In 

addition, such records must be retained 

for a total of two to six years or for one 

year after termination of the transfer 

agency, depending on the particular 

record or document. The recordkeeping 

requirements under Rules 17Ad–6 and 

17Ad–7 are mandatory to assist the 

Commission and other regulatory 

agencies with monitoring transfer agents 

and ensuring compliance with the rule. 

This rule does not involve the collection 

of confidential information. 

Please note that 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. 

Comments should be directed to: (i) 

Desk Officer for the Securities and 

Exchange Commission, Office of 

Information and Regulatory Affairs, 

Office of Management and Budget, 

Room 10102, New Executive Office 

Building, Washington, DC 20503 or by 

sending an e-mail to: 

ShaguftalAhmed@omb.eop.gov; and 

(ii) Charles Boucher, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Shirley 

Martinson, 6432 General Green Way, 

Alexandria, VA 22312 or send an e-mail 

to PRAlMailbox@sec.gov. Comments 

must be submitted within 30 days of 

this notice. 

Dated: March 11, 2009. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–5769 Filed 3–17–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. IC–28647; 812–13641] 

Automated Trading Desk Specialists, 

LLC, et al.; Notice of Application and 

Temporary Order 

March 12, 2009. 

AGENCY: Securities and Exchange 

Commission (‘‘Commission’’). 

ACTION: Temporary order and notice of 

application for a permanent order under 

section 9(c) of the Investment Company 

Act of 1940 (‘‘Act’’). 

SUMMARY OF APPLICATION: Applicants 

have received a temporary order 

exempting them from section 9(a) of the 

Act, with respect to an injunction 

entered against Automated Trading 

Desk Specialists, LLC (‘‘ATDS’’) on 

March 11, 2009 by the United States 

District Court for the Southern District 

of New York (the ‘‘Injunction’’), until 

the Commission takes final action on an 

application for a permanent order. 

Applicants also have applied for a 

permanent order. 

APPLICANTS: ATDS, Citigroup Global 

Markets Inc. (‘‘CGMI’’), CEFOF GP I 

Corp. (‘‘CEFOF’’), CELFOF GP Corp. 

(‘‘CELFOF’’), Citibank, N.A. 

(‘‘Citibank’’), Citigroup Alternative 

Investments LLC (‘‘Citigroup 

Alternative’’), Citigroup Investment 

Advisory Services Inc. (‘‘Citigroup 

Advisory’’), Citigroup Capital Partners I 

GP I Corp. (‘‘CCP I’’) and Citigroup 

Capital Partners I GP II Corp. (‘‘CCP II,’’ 

and along with CGMI, CEFOF, CELFOF, 

Citibank, Citigroup Alternative, 

Citigroup Advisory and CCP I, the 


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