42564 Federal Register / Vol. 82, No. 173 / Friday, September 8, 2017 / Notices 

1 15 U.S.C. 80a. 

2Section 4(3) of the Act (15 U.S.C. 80a–4(3)) 

defines ‘‘management company’’ as ‘‘any 

investment company other than a face amount 

certificate company or a unit investment trust.’’ 

Dated: September 6, 2017 

Denise L. McGovern, 

Policy Coordinator, Office of the Secretary. 

[FR Doc. 2017–19138 Filed 9–6–17; 11:15 am] 

BILLING CODE 7590–01–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: 

Rule 17f–2 (d), SEC File No. 270–036, OMB 

Control No. 3235–0028. 

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 17f–2(d) (17 CFR 

240.17f–2(d)), 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 17f–2(d) requires that records 

created pursuant to the fingerprinting 

requirements of Section 17(f)(2) of the 

Act be maintained and preserved by 

every member of a national securities 

exchange, broker, dealer, registered 

transfer agent and registered clearing 

agency (‘‘covered entities’’ or 

‘‘respondents’’); permits, under certain 

circumstances, the records required to 

be maintained and preserved by a 

member of a national securities 

exchange, broker, or dealer to be 

maintained and preserved by a selfregulatory organization that is also the 

designated examining authority for that 

member, broker or dealer; and permits 

the required records to be preserved on 

microfilm. The general purpose for Rule 

17f–2 is to: (i) Identify security risk 

personnel; (ii) provide criminal record 

information so that employers can make 

fully informed employment decisions; 

and (iii) deter persons with criminal 

records from seeking employment or 

association with covered entities. The 

rule enables the Commission or other 

examining authority to ascertain 

whether all required persons are being 

fingerprinted and whether proper 

procedures regarding fingerprinting are 

being followed. Retention of these 

records for a period of not less than 

three years after termination of a 

covered person’s employment or 

relationship with a covered entity 

ensures that law enforcement officials 

will have easy access to fingerprint 

cards on a timely basis. This in turn acts 

as an effective deterrent to employee 

misconduct. 

Approximately 4,200 respondents are 

subject to the recordkeeping 

requirements of the rule. Each 

respondent maintains approximately 68 

new records per year, each of which 

takes approximately 2 minutes per 

record to maintain, for an annual 

burden of approximately 2.2666667 

hours (68 records times 2 minutes). The 

total annual burden for all respondents 

is approximately 9,520 (4,200 

respondents times 2.2666667 hours). As 

noted above, all records maintained 

subject to the rule must be retained for 

a period of not less than three years after 

termination of a covered person’s 

employment or relationship with a 

covered entity. In addition, we estimate 

the total cost to respondents is 

approximately $42,000 in third party 

storage costs. 

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 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. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

under the PRA unless it displays a 

currently valid OMB control number. 

Please direct your written comments 

to: Pamela Dyson, 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: September 5, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–19069 Filed 9–7–17; 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: 

Rule 19a–1; SEC File No. 270–240, OMB 

Control No. 3235–0216 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501–3520), 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 for extension 

and approval. 

Section 19(a) (15 U.S.C. 80a–19(a)) of 

the Investment Company Act of 1940 

(the ‘‘Act’’) 1 makes it unlawful for any 

registered investment company to pay 

any dividend or similar distribution 

from any source other than the 

company’s net income, unless the 

payment is accompanied by a written 

statement to the company’s 

shareholders which adequately 

discloses the sources of the payment. 

Section 19(a) authorizes the 

Commission to prescribe the form of 

such statement by rule. 

Rule 19a–1 (17 CFR 270.19a–1) under 

the Act, entitled ‘‘Written Statement to 

Accompany Dividend Payments by 

Management Companies,’’ sets forth 

specific requirements for the 

information that must be included in 

statements made pursuant to section 

19(a) by or on behalf of management 

companies.2 The rule requires that the 

statement indicate what portions of 

distribution payments are made from 

net income, net profits from the sale of 

a security or other property (‘‘capital 

gains’’) and paid-in capital. When any 

part of the payment is made from capital 

gains, rule 19a–1 also requires that the 

statement disclose certain other 

information relating to the appreciation 

or depreciation of portfolio securities. If 

an estimated portion is subsequently 

determined to be significantly 

inaccurate, a correction must be made 

on a statement made pursuant to section 

19(a) or in the first report to 


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