Federal Register / Vol. 74, No. 142 / Monday, July 27, 2009 / Notices 37081 

5 15 U.S.C. 78o–4(b)(2)(C). 

6 15 U.S.C. 78s(b)(3)(A)(i). 

7 17 CFR 240.19b–4(f)(1). 

8See Section 19(b)(3)(C) of the Act, 15 U.S.C. 

78s(b)(3)(C). 9 17 CFR 200.30–3(a)(12). 

under Rule G–30. Large differences 

between institutional and individual 

prices that exceed the price/yield 

variance that normally applies to 

transactions of different sizes in the 

primary market provide evidence that 

the duty of fair pricing to individual 

clients may not have been met. 

2. Statutory Basis 

The MSRB has adopted the proposed 

rule change pursuant to Section 

15B(b)(2)(C) of the Act,5 which provides 

that the MSRB’s rules shall: 

Be designed to prevent fraudulent and 

manipulative acts and practices, to promote 

just and equitable principles of trade, to 

foster cooperation and coordination with 

persons engaged in regulating, clearing, 

settling, processing information with respect 

to, and facilitating transactions in municipal 

securities, to remove impediments to and 

perfect the mechanism of a free and open 

market in municipal securities, and, in 

general, to protect investors and the public 

interest. 

The MSRB believes that the proposed 

rule change is consistent with the Act 

because it will further investor 

protection by strengthening and 

clarifying dealers’ customer protection 

obligations relating to sales of municipal 

securities to individual and other retail 

customers, including but not limited to 

the duty to provide material information 

to customers investing in municipal 

securities and to use material 

information in fulfilling their suitability 

obligations and their fair pricing 

obligations. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The MSRB does not believe that the 

proposed rule change will impose any 

burden on competition that is not 

necessary or appropriate in furtherance 

of the purposes of the Act, as amended, 

since it would apply equally to all 

dealers. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants or Others 

Written comments were neither 

solicited nor received on the proposed 

rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The proposed rule change has become 

effective pursuant to Section 

19(b)(3)(A)(i) of the Act 6 and Rule 19b– 

4(f)(1) thereunder,7 in that the proposed 

rule change constitutes a stated policy, 

practice, or interpretation with respect 

to the meaning, administration, or 

enforcement of an existing rule of the 

self-regulatory organization. At any time 

within 60 days of the filing of the 

proposed rule change, the Commission 

may summarily abrogate such rule 

change if it appears to the Commission 

that such action is necessary or 

appropriate in the public interest, for 

the protection of investors, or otherwise 

in furtherance of the purposes of the 

Act.8

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed rule 

change is consistent with the Act. 

Comments may be submitted by any of 

the following methods: 

Electronic Comments 

• Use the Commission’s Internet 

comment form (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an e-mail to rulecomments@sec.gov. Please include File 

Number SR–MSRB–2009–08 on the 

subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Elizabeth M. Murphy, Secretary, 

Securities and Exchange Commission, 

100 F Street, NE., Washington, DC 

20549–1090. 

All submissions should refer to File 

Number SR–MSRB–2009–08. This file 

number should be included on the 

subject line if e-mail is used. To help the 

Commission process and review your 

comments more efficiently, please use 

only one method. The Commission will 

post all comments on the Commission’s 

Internet Web site (http://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the proposed rule 

change that are filed with the 

Commission, and all written 

communications relating to the 

proposed rule change between the 

Commission and any person, other than 

those that may be withheld from the 

public in accordance with the 

provisions of 5 U.S.C. 552, will be 

available for inspection and copying in 

the Commission’s Public Reference 

Room, 100 F Street, NE., Washington, 

DC 20549, on official business days 

between the hours of 10 a.m. and 3 p.m. 

Copies of such filing also will be 

available for inspection and copying at 

the principal office of the MSRB. All 

comments received will be posted 

without change; the Commission does 

not edit personal identifying 

information from submissions. You 

should submit only information that 

you wish to make available publicly. All 

submissions should refer to File 

Number SR–MSRB–2009–08 and should 

be submitted on or before August 17, 

2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.9

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–17820 Filed 7–24–09; 8:45 am] 

BILLING CODE 8010–01–P 

SOCIAL SECURITY ADMINISTRATION 

Agency Information Collection 

Activities: Proposed Request and 

Comment Request 

The Social Security Administration 

(SSA) publishes a list of information 

collection packages requiring clearance 

by the Office of Management and 

Budget (OMB) in compliance with 

Public Law (Pub. L.) 104–13, the 

Paperwork Reduction Act of 1995, 

effective October 1, 1995. This notice 

includes revisions and extensions of 

OMB-approved information collections 

and a new collection. 

SSA is soliciting comments on the 

accuracy of the agency’s burden 

estimate; the need for the information; 

its practical utility; ways to enhance its 

quality, utility, and clarity; and ways to 

minimize the burden on respondents, 

including the use of automated 

collection techniques or other forms of 

information technology. Mail, email, or 

fax your comments and 

recommendations on the information 

collection(s) to the OMB Desk Officer 

and the SSA Director for Reports 

Clearance to the addresses or fax 

numbers shown below. 

(OMB), Office of Management and 

Budget, Attn: Desk Officer for SSA, 

Fax: 202–395–6974, E-mail address: 

OIRA_Submission@omb.eop.gov. 

(SSA), Social Security Administration, 

DCBFM, Attn: Director, Center for 

Reports Clearance, 1333 Annex 

Building, 6401 Security Blvd., 

Baltimore, MD 21235, Fax: 410–965– 

0454. E-mail address: 

OPLM.RCO@ssa.gov 

I. The information collection below is 

pending at SSA. SSA will submit it to 


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37082 Federal Register / Vol. 74, No. 142 / Monday, July 27, 2009 / Notices 

OMB within 60 days from the date of 

this notice. To be sure we consider your 

comments, we must receive them no 

later than September 25, 2009. 

Individuals can obtain copies of the 

collection instrument by calling the SSA 

Director for Reports Clearance at 410– 

965–0454 or by writing to the e-mail 

address we list above. 

1. Waiver of Right to Appear— 

Disability Hearing—20 CFR 404.913– 

404.914, 404.916(b)(5), 416.1413– 

416.1414, 416.1416(b)(5)—0960–0534. 

SSA uses Form SSA–773–U4 for 

claimants, or their representatives, to 

officially waive their right to appear at 

a disability hearing. The disability 

hearing officer uses the signed form as 

a basis for not holding a hearing and for 

preparing a written decision on the 

claimant’s request for disability based 

solely on the evidence of record. The 

respondents are claimants for disability, 

or their representatives, under Titles II 

and XVI of the Social Security Act, who 

wish to waive their right to appear at a 

disability hearing. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 200. 

Frequency of Response: 1. 

Average Burden per Response: 3 

minutes. 

Estimated Annual Burden: 10 hours. 

2. Medical Consultant’s Review of 

Physical Residual Functional Capacity 

Assessment—20 CFR 404.1545–.1546, 

404.1640, 404.1643, 404.1645, 416.945– 

.946—0960–0680. SSA uses Form SSA– 

392 to facilitate the medical/ 

psychological consultant’s review of the 

Physical Residual Functional Capacity 

Form, SSA–4734. The SSA–392 records 

the reviewing medical/psychological 

consultant’s assessment of the SSA– 

4734. It also documents whether the 

reviewer agrees or disagrees with how 

the adjudicator completed the SSA– 

4734. Medical/psychological 

consultants prepare the SSA–392 for 

each SSA–4734 an adjudicator 

completes. The respondents are 

medical/psychological consultants who 

conduct a quality review of adjudicating 

components’ completion of SSA’s 

medical assessment forms. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 256. 

Frequency of Response: 359. 

Number of Responses: 91,904 

Average Burden per Response: 12 

minutes. 

Estimated Annual Burden: 18,381 

hours. 

II. SSA has submitted the information 

collections we list below to OMB for 

clearance. Your comments on the 

information collections would be most 

useful if OMB and SSA receive them 

within 30 days from the date of this 

publication. To be sure we consider 

your comments, we must receive them 

no later than August 26, 2009. You can 

obtain a copy of the OMB clearance 

packages by calling the SSA Director for 

Reports Clearance at 410–965–0454 or 

by writing to the above email address. 

1. Request for Reconsideration— 

Disability Cessation—20 CFR 404.909, 

416.1409—0960–0349. Claimants or 

their representatives use Form SSA– 

789–U4 to request that SSA reconsider 

a determination and to indicate whether 

they wish to appear at a disability 

hearing. The claimants can also use this 

form to submit any additional 

information/evidence for use in the 

reconsidered determination and to 

indicate if they will need an interpreter 

for the hearing. SSA uses the 

information either to arrange for a 

hearing or to prepare a decision based 

on the evidence of record. The 

respondents are applicants or claimants 

for Social Security benefits or 

Supplemental Security Income (SSI) 

payments. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 30,000. 

Frequency of Response: 1. 

Average Burden per Response: 13 

minutes. 

Estimated Annual Burden: 6,500 

hours. 

2. Disability Report—Adult—20 CFR 

404.1512, 416.912—0960–0579. State 

Disability Determination Services (DDS) 

use the information SSA collects on the 

SSA–3368 and its electronic versions to 

determine if an adult disability 

applicant’s impairment(s) is (are) severe 

and, if so, how the impairment(s) affects 

(affect) the applicant’s ability to work. 

The information the DDSs collect on 

this form is crucial in making disability 

determinations for all adult claimants 

filing for SSA disability benefits and/or 

SSI payments. The respondents are 

applicants for Title II benefits and/or 

Title XVI payments. Type of Request: 

Revision of an OMB-approved 

information collection. 

Collection method Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(hours) 

Estimated 

annual burden 

(hours) 

SSA–3368 (Paper Form) ......................................................................... 22,950 1 1 22,950 

Electronic Disability Collection System (EDCS) ...................................... 2,238,826 1 1 2,238,826 

i3368 (Internet) ........................................................................................ 319,994 1 11⁄2 479,991 

i3368PRO (Internet professional users—rollout only) ............................. 10,264 1 11⁄2 15,396 

Total .................................................................................................. 2,592,034 .......................... .......................... 2,757,163 

3. Request for Internet Services— 

Password Authentication—20 CFR 

401.45—0960–0632. SSA has a 

password infrastructure and process to 

verify the identity of individuals who 

choose to use the Internet and the 

automated telephone response system to 

conduct personal business with SSA in 

an electronic environment. To obtain a 

password from SSA’s individual 

password services, we prescribe 

information an individual must provide. 

SSA uses the information to 

authenticate an individual prior to 

issuing a temporary password. Once the 

individual creates a permanent 

password, he or she may use SSA 

password protected services, e.g., 

account status, change of address, direct 

deposit elections, or changes. The 

respondents are individuals electing to 

do personal business with SSA through 

an electronic medium. 

Type of Request: Extension of an 

OMB-approved information collection. 


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Federal Register / Vol. 74, No. 142 / Monday, July 27, 2009 / Notices 37083 

Automated systems Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Annual burden 

hours 

Internet Requestors ................................................................................. 3,092,069 1 10 515,345 

Telephone Requestors ............................................................................ 122,266 1 10 20,378 

Total .................................................................................................. 3,214,335 1 .......................... 535,723 

4. Function Report Adult—Third 

Party—20 CFR 404.1512 & 416.912— 

0960–0635. DDSs use the SSA–3380 to 

collect information about a disability 

applicant’s or recipient’s impairmentrelated limitations and ability to 

function. The information is an 

evidentiary source DDS evaluators use 

to determine eligibility for SSI and SSDI 

claims. The respondents are third 

parties familiar with the functional 

limitations (or lack thereof) of claimants 

who apply for SSI and SSDI benefits. 

Type of Request: Revision of an OMBapproved information collection. 

Respondent types Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

annual burden 

hours 

Individuals ................................................................................................ 500,000 1 61 508,333

Private Sector .......................................................................................... 500,000 1 61 508,333 

Total .................................................................................................. 1,000,000 .......................... .......................... 1,016,666 

5. Medical Consultant’s Review of 

Mental Residual Functional Capacity 

Assessment—20 CFR 404.1520a, 

404.1640, 404.1643, 404.1645, 

416.920a—0960–0678. SSA uses Form 

SSA–392–SUP to facilitate the medical/ 

psychological consultant’s review of the 

Mental Residual Functional Capacity 

Form, SSA–4734–SUP. The SSA–392– 

SUP records the reviewing medical/ 

psychological consultant’s assessment 

of the SSA–4734–SUP. It also 

documents whether the reviewer agrees 

or disagrees with how the adjudicator 

completed the SSA–4734–SUP. 

Medical/psychological consultants 

prepare the SSA–392–SUP for each 

SSA–4734–SUP an adjudicator 

completes. The respondents are 

medical/psychological consultants who 

conduct a quality review of adjudicating 

components’ completion of SSA’s 

medical assessment forms. 

Type of Request: Revision of an OMBapproved information collection. 

Number of Responses: 45,000. 

Frequency of Response: 1. 

Average Burden per Response: 12 

minutes. 

Estimated Annual Burden: 9,000 

hours. 

6. Representative Payment Policies 

Regulation—20 CFR 404.2011, 

404.2025, 416.611, 416.625—0960– 

0679. When SSA determines it is not in 

a beneficiary’s best interest to receive 

payments directly, as it may cause 

substantial harm, the beneficiary may 

dispute SSA’s decision. If the 

beneficiary disputes the decision, he or 

she provides SSA with information the 

agency will use to re-evaluate the 

decision. In addition, after SSA selects 

a representative payee, the payee must 

provide SSA with information on his or 

her continuing relationship and 

responsibility for the beneficiary and 

explain how he or she used the 

beneficiary’s payments. Respondents are 

beneficiaries and representative payees. 

Type of Request: Extension of an 

OMB-approved information collection. 

CFR section Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

annual burden 

hours 

404.2011(a)(1), 416.611(a)(1) ................................................................. 250 1 15 63 

404.2025, 416.625 ................................................................................... 3,000 1 6 300 

Total .................................................................................................. 3,250 .......................... .......................... 363 

7. Function Report Adult—20 CFR 

404.1512 & 416.912—0960–0681. State 

DDSs use Form SSA–3373–BK to collect 

information about a disability 

applicant’s or recipient’s impairmentrelated limitations and ability to 

function. The information is an 

evidentiary source DDS evaluators use 

to determine eligibility for SSI and SSDI 

claims. The respondents are Title II and 

Title XVI applicants (or current 

recipients undergoing redeterminations) 

for disability benefits. 

Type of Request: Revision of an OMBapproved information collection. 

Number of Respondents: 4,005,367. 

Frequency of Response: 1. 

Average Burden per Response: 61 

minutes. 

Estimated Annual Burden: 4,072,123 

hours. 

Dated: July 21, 2009. 

Elizabeth A. Davidson, 

Director, Center for Reports Clearance, Social 

Security Administration. 

[FR Doc. E9–17805 Filed 7–24–09; 8:45 am] 

BILLING CODE 4191–02–P 


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