Federal Register / Vol. 75, No. 94 / Monday, May 17, 2010 / Notices 27601 

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. 

Dated: May 10, 2010. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2010–11659 Filed 5–14–10; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Rule 15a–6; SEC File No. 270–0329; OMB 

Control No. 3235–0371] 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 15a–6; SEC File No. 270–0329; OMB 

Control No. 3235–0371. 

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 

summarized below. The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget for extension 

and approval. 

Rule 15a–6 (17 CFR 240.15a–6) under 

the Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.) provides, among 

other things, an exemption from brokerdealer registration for foreign brokerdealers that effect trades with or for U.S. 

institutional investors through a U.S. 

registered broker-dealer, provided that 

the U.S. broker-dealer obtains certain 

information about, and consents to 

service of process from, the personnel of 

the foreign broker-dealer involved in 

such transactions, and maintains certain 

records in connection therewith. 

These requirements are intended to 

ensure (a) that the U.S. broker-dealer 

will receive notice of the identity of, 

and has reviewed the background of, 

foreign personnel who will contact U.S. 

institutional investors, (b) that the 

foreign broker-dealer and its personnel 

effectively may be served with process 

in the event enforcement action is 

necessary, and (c) that the Commission 

has ready access to information 

concerning these persons and their U.S. 

securities activities. 

It is estimated that approximately 

2,000 respondents will incur an average 

burden of three hours per year to 

comply with this rule, for a total burden 

of 6,000 hours. At an average cost per 

hour of approximately $105, the 

resultant total cost of compliance for the 

respondents is $600,000 per year (2,000 

entities × 3 hours/entity × $105/hour = 

$630,000). 

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 will have practical utility; 

(b) the accuracy of the Commission’s 

estimate of the burden of the proposed 

collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information to be 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. 

Direct your written comments to 

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: PRA_Mailbox@sec.gov. 

Dated: May 10, 2010. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2010–11658 Filed 5–14–10; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Rule 0–4; SEC File No. 270–569; OMB 

Control No. 3235–0633] 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Existing Collection; New OMB Control No.: 

Rule 0–4; SEC File No. 270–569; OMB 

Control No. 3235–0633. 

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 (the 

‘‘Commission’’) is soliciting comments 

on the collection of information 

summarized below. The Commission 

plans to submit this collection of 

information to the Office of 

Management and Budget for extension 

and approval. 

Rule 0–4 (17 CFR 275.0–4) under the 

Investment Advisers Act of 1940 (‘‘Act’’ 

or ‘‘Advisers Act’’) (15 U.S.C. 80b–1 et 

seq.) entitled ‘‘General Requirements of 

Papers and Applications,’’ prescribes 

general instructions for filing an 

application seeking exemptive relief 

with the Commission. Rule 0–4 

currently requires that every application 

for an order for which a form is not 

specifically prescribed and which is 

executed by a corporation, partnership 

or other company and filed with the 

Commission contain a statement of the 

applicable provisions of the articles of 

incorporation, bylaws or similar 

documents, relating to the right of the 

person signing and filing such 

application to take such action on behalf 

of the applicant, and a statement that all 

such requirements have been complied 

with and that the person signing and 

filing the application is fully authorized 

to do so. If such authorization is 

dependent on resolutions of 

stockholders, directors, or other bodies, 

such resolutions must be attached as an 

exhibit to or quoted in the application. 

Any amendment to the application must 

contain a similar statement as to the 

applicability of the original statement of 

authorization. When any application or 

amendment is signed by an agent or 

attorney, rule 0–4 requires that the 

power of attorney evidencing his 

authority to sign shall state the basis for 

the agent’s authority and shall be filed 

with the Commission. Every application 

subject to rule 0–4 must be verified by 

the person executing the application by 

providing a notarized signature in 

substantially the form specified in the 

rule. Each application subject to rule 0– 

4 must state the reasons why the 

applicant is deemed to be entitled to the 

action requested with a reference to the 

provisions of the Act and rules 

thereunder, the name and address of 

each applicant, and the name and 

address of any person to whom any 

questions regarding the application 

should be directed. Rule 0–4 requires 

that a proposed notice of the proceeding 

initiated by the filing of the application 

accompany each application as an 

exhibit and, if necessary, be modified to 

reflect any amendment to the 

application. 

The requirements of rule 0–4 are 

designed to provide Commission staff 

with the necessary information to assess 

whether granting the orders of 

exemption are necessary and 

appropriate in the public interest and 

consistent with the protection of 

investors and the intended purposes of 

the Act. 


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