71460 Federal Register / Vol. 79, No. 231 / Tuesday, December 2, 2014 / Notices 

1 16 responses per year × 1 hour per response = 

16 hours per year. 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

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: 

Rule 489 and Form F–N, SEC File No. 270– 

361, OMB Control No. 3235–0411. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.) (‘‘Paperwork 

Reduction Act’’), the Securities and 

Exchange Commission (the 

‘‘Commission’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for extension of the 

previously approved collection of 

information discussed below. 

Rule 489 (17 CFR 230.489) under the 

Securities Act of 1933 (15 U.S.C. 77a et 

seq.) requires foreign banks and foreign 

insurance companies and holding 

companies and finance subsidiaries of 

foreign banks and foreign insurance 

companies that are exempted from the 

definition of ‘‘investment company’’ by 

virtue of rules 3a–1 (17 CFR 270.3a–1), 

3a–5 (17 CFR 270.3a–5), and 3a–6 (17 

CFR 270.3a–6) under the Investment 

Company Act of 1940 (15 U.S.C. 80a–1 

et seq.) to file Form F–N (17 CFR 

239.43) to appoint an agent for service 

of process when making a public 

offering of securities in the United 

States. The information is collected so 

that the Commission and private 

plaintiffs may serve process on foreign 

entities in actions and administrative 

proceedings arising out of or based on 

the offer or sales of securities in the 

United States by such foreign entities. 

During calendar year 2013, the 

Commission received a total of 16 

responses on Form F–N from 14 entities. 

The Commission has previously 

estimated that the total annual burden 

associated with information collection 

and Form F–N preparation and 

submission is one hour per filing. Based 

on the Commission’s experience with 

disclosure documents generally, the 

Commission continues to believe that 

this estimate is appropriate. Thus the 

estimated total annual burden for rule 

489 and Form F–N is 16 hours.1

Estimates of the average burden hours 

are made solely for the purposes of the 

Paperwork Reduction Act and are not 

derived from a comprehensive or even 

a representative survey or study of the 

costs of Commission rules and forms. 

Compliance with the collection of 

information requirements of rule 489 

and Form F–N is mandatory to obtain 

the benefit of the exemption. Responses 

to the collection of information will not 

be 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. 

The public may view the background 

documentation for this information 

collection at the following Web site: 

www.reginfo.gov. 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 email to: Shagufta_

Ahmed@omb.eop.gov; and (ii) Pamela 

Dyson, Acting Chief Information Officer, 

Securities and Exchange Commission, c/ 

o Remi Pavlik-Simon, 100 F Street NE., 

Washington, DC 20549 or send an email 

to: PRA_Mailbox@sec.gov. Comments 

must be submitted to OMB within 30 

days of this notice. 

Dated: November 25, 2014. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2014–28310 Filed 12–1–14; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE., Washington, DC 

20549–2736. 

Extension: 

Rule 12f–3, SEC File No. 270–141, OMB 

Control No. 3235–0249. 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(‘‘PRA’’) (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 12f–3 (17 CFR 

240.12f–3), under the Securities 

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

seq.). The Commission plans to submit 

this existing collection of information to 

the Office of Management and Budget 

(‘‘OMB’’) for extension and approval. 

Rule 12f–3 (the ‘‘Rule’’), which was 

originally adopted in 1934 pursuant to 

Sections 12(f) and 23(a) of the Securities 

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

seq.) (‘‘Act’’), as modified in 1995, 

prescribes the information which must 

be included in applications for and 

notices of termination or suspension of 

unlisted trading privileges for a security 

as contemplated in Section 12(f)(4) of 

the Act. An application must provide, 

among other things, the name of the 

applicant; a brief statement of the 

applicant’s interest in the question of 

termination or suspension of such 

unlisted trading privileges; the title of 

the security; the name of the issuer; 

certain information regarding the size of 

the class of security and its recent 

trading history; and a statement 

indicating that the applicant has 

provided a copy of such application to 

the exchange from which the 

suspension or termination of unlisted 

trading privileges are sought, and to any 

other exchange on which the security is 

listed or admitted to unlisted trading 

privileges. 

The information required to be 

included in applications submitted 

pursuant to Rule 12f–3, is intended to 

provide the Commission with sufficient 

information to make the necessary 

findings under the Act to terminate or 

suspend by order the unlisted trading 

privileges granted a security on a 

national securities exchange. Without 

the Rule, the Commission would be 

unable to fulfill these statutory 

responsibilities. 

The burden of complying with Rule 

12f–3 arises when a potential 

respondent, having a demonstrable bona 

fide interest in the question of 

termination or suspension of the 

unlisted trading privileges of a security, 

determines to seek such termination or 

suspension. The staff estimates that 

each such application to terminate or 

suspend unlisted trading privileges 

requires approximately one hour to 

complete. Thus each potential 

respondent would incur on average one 

burden hour in complying with the 

Rule. 

The Commission staff estimates that 

there could be as many as 18 responses 

annually and that each respondent’s 

related cost of compliance with Rule 

12f–3 would be $199.00, or, the cost of 

one hour of professional work of a 

paralegal needed to complete the 

application. The total annual related 

reporting cost for all potential 

respondents, therefore, is $3,582.00 (18 

responses × $199.00/response). 

Compliance with the application 

requirements of Rule 12f–3 is 

mandatory, though the filing of such 

applications is undertaken voluntarily. 

Rule 12f–3 does not have a record 

retention requirement per se. However, 

responses made pursuant to Rule 12f–3 


rljohnson on DSK3VPTVN1PROD with NOTICES
Federal Register / Vol. 79, No. 231 / Tuesday, December 2, 2014 / Notices 71461 

are subject to the recordkeeping 

requirements of Rules 17a–3 and 17a–4 

of the Act. Information received in 

response to Rule 12f–3 shall not be kept 

confidential; the information collected 

is public information. 

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 

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: November 25, 2014. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2014–28307 Filed 12–1–14; 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 FOIA Services, 

100 F Street NE., Washington, DC 

20549–2736. 

Extension: 

Form 2–E under Rule 609, SEC File No. 

270–222, OMB Control No. 3235–0233. 

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’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for extension of the 

previously approved collection of 

information discussed below. 

Rule 609 (17 CFR 230.609) under the 

Securities Act of 1933 (15 U.S.C. 77a et 

seq.) requires small business investment 

companies and business development 

companies that have engaged in 

offerings of securities that are exempt 

from registration pursuant to Regulation 

E under the Securities Act of 1933 (17 

CFR 230.601 to 610a) to report semiannually on Form 2–E (17 CFR 239.201) 

the progress of the offering. The form 

solicits information such as the dates an 

offering commenced and was completed 

(if completed), the number of shares 

sold and still being offered, amounts 

received in the offering, and expenses 

and underwriting discounts incurred in 

the offering. The information provided 

on Form 2–E assists the staff in 

monitoring the progress of the offering 

and in determining whether the offering 

has stayed within the limits set for an 

offering exempt under Regulation E. 

There has not been a Form 2–E filing 

since calendar year 2010, when there 

was one filing of Form 2–E by one 

respondent. The Commission has 

previously estimated that the total 

annual burden associated with 

information collection and Form 2–E 

preparation and submission is four 

hours per filing. Although there have 

been no filings made under this rule 

since 2010, we are requesting one 

annual response and an annual burden 

of one hour for administrative purposes. 

Estimates of average burden hours are 

made solely for the purposes of the 

Paperwork Reduction Act and are not 

derived from a comprehensive or even 

representative survey or study of the 

costs of Commission rules and forms. 

The collection of information under rule 

609 and Form 2–E is mandatory. The 

information provided under rule 609 

and Form 2–E will not be 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. 

The public may view the background 

documentation for this information 

collection at the following Web site, 

www.reginfo.gov. 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 email to: Shagufta_

Ahmed@omb.eop.gov; and (ii) Pamela 

Dyson, Acting Chief Information Officer, 

Securities and Exchange Commission, 

c/o Remi Pavlik-Simon, 100 F Street 

NE., Washington, DC 20549 or send an 

email to: PRA_Mailbox@sec.gov. 

Comments must be submitted to OMB 

within 30 days of this notice. 

Dated: November 25, 2014. 

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2014–28311 Filed 12–1–14; 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: Mutual Fund Interactive Data, 

SEC File No. 270–580, OMB Control No. 

3235–0642. 

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 existing collection 

of information to the Office of 

Management and Budget (‘‘OMB’’) for 

extension and approval. 

Open-end management investment 

companies (‘‘funds’’) are required to 

submit to the Commission information 

included in their registration 

statements, or information included in 

or amended by post-effective 

amendments thereto, in response to 

Items 2, 3, and 4 (‘‘risk/return summary 

information’’) of Form N–1A (17 CFR 

239.15A and 274.11A) in interactive 

data format and to post it on their Web 

sites, if any, in interactive data form. In 

addition, funds are required to submit 

an interactive data file to the 

Commission for any form of prospectus 

filed pursuant to rule 497(c) or (e) (17 

CFR 230.497) under the Securities Act 

of 1933 (‘‘Securities Act’’) (15 U.S.C. 77a 

et seq.) that includes risk/return 

summary information that varies from 

the registration statement and to post 

the interactive data file on their Web 

sites, if any. 

The title for the collection of 

information for submitting risk/return 

summary information in interactive data 

format is ‘‘Mutual Fund Interactive 

Data.’’ This collection of information 

relates to regulations and forms adopted 

under the Securities Act, 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–1 et seq.) that set 

forth disclosure requirements for funds 

and other issuers. The purpose of the 


rljohnson on DSK3VPTVN1PROD with NOTICES