[Federal Register: July 24, 2006 (Volume 71, Number 141)]
[Proposed Rules]
[Page 41752-41753]
[DOCID:fr24jy06-20]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 122

[EPA-HQ-OW-2006-0141; FRL-8202-7]
RIN A2040-AE86

Extension of Public Comment Period for the National Pollutant
Discharge Elimination System (NPDES) Water Transfers Proposed Rule

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule; extension of the public comment period.

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SUMMARY: On Wednesday, June 7, 2006, the Environmental Protection
Agency published a proposed rule entitled ``National Pollutant
Discharge Elimination System (NPDES) Water Transfers Proposed Rule.''
As initially published in the Federal Register on June 7, 2006, written
comments on the proposed rulemaking were to be submitted to EPA on or
before July 24, 2006 (a 45-day public comment period). Since
publication, EPA has received several requests for additional time to
submit comments. Therefore, the public comment period is being extended
for 14 days and will now end on August 7, 2006.

DATES: Comments must be received on or before August 7, 2006.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-

OW-2006-0141 by one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov. Follow

the on-line instructions for submitting comments. EPA prefers to
receive comments submitted electronically.
    (2) E-mail<EMAIL_ADDRESS>Attention Docket ID No. EPA-HQ-OW-
2006-0141.
    (3) Mail: Send the original and three copies of your comments to:
Water Docket, Environmental Protection Agency, Mailcode 4203M, 1200
Pennsylvania Ave., NW., Washington, DC 20460, Attention Docket ID No.
EPA-HQ-OW-2006-0141.
    (4) Hand Delivery: Deliver your comments to: EPA Docket Center, EPA
West, Room B102, 1301 Constitution Avenue, NW., Washington, DC,
Attention: Docket ID No. EPA-HQ-OW-2006-0141. Such deliveries are only
accepted during the Docket's normal hours of operation and special
arrangements should be made.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OW-2006-
0141. EPA's policy is that all comments received will be included in
the public docket without change and may be made available online at
http://www.regulations.gov, including any personal information

provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through regulations.gov or e-
mail. The federal regulations.gov Web sites are ``anonymous access''
systems, which means EPA will not know your identity or contact
information unless you provide it in the body of your comment. If you
send an e-mail comment directly to EPA without going through
regulations.gov, your e-mail address will be automatically captured and
included as part of the comment that is placed in the public docket and
made available on the Internet. If you submit an electronic comment,
EPA recommends that you include your name and other contact information
in the body of your comment and with any disk or CD-ROM you submit. If
EPA cannot read your comment due to technical difficulties and cannot
contact you for clarification, EPA may not be able to consider your
comment. Electronic files should avoid the use of special characters,
any form of encryption, and be free of any defects or viruses.
    Docket: All documents in the docket are listed in the Regulations
index at http://www.regulations.gov/. Although listed in the index,

some information is not publicly available, i.e., CBI or other
information whose disclosure is restricted by statute. Certain other
material, such as copyrighted material, is not placed on the Internet
and will be publicly available only in hard copy form. Publicly
available docket materials are available either electronically at
http://www.regulations.gov or in hard copy at the Water Docket in the

EPA Docket Center, EPA West, Room B102, 1301 Constitution Ave., NW.,
Washington, DC. The Public Reading Room is open from 8:30 a.m. to 4:30
p.m., Monday through Friday, excluding legal holidays. The telephone
number for the Public Reading Room is<PHONE_NUMBER>, and the telephone
number for the Water Docket is<PHONE_NUMBER>.

    Note: The EPA Docket Center suffered damage due to flooding
during the last week of June 2006. The Docket Center is continuing
to operate. However, during the cleanup, there will be temporary
changes to Docket Center telephone numbers, addresses, and hours of
operation for people who wish to make hand deliveries or visit the
Public Reading Room to view documents. Consult EPA'sFederal Register
notice at 71 FR 38147 (July 5, 2006) or the EPA Web site at http://www.epa.gov/epahome/dockets.htm
 for current information on docket

operations, locations and telephone numbers. The Docket Center's
mailing address for U.S. mail and the procedure for submitting
comments to http://www.regulations.gov are not affected by the

flooding and will remain the same.

FOR FURTHER INFORMATION CONTACT: For additional information contact
Jeremy Arling, Water Permits Division, Office of Wastewater Management
(4203M), Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460; telephone number:<PHONE_NUMBER>, e-mail address:
<EMAIL_ADDRESS>

    Dated: July 19, 2006.
Brent A. Fewell,
Acting Assistant Administrator for Water.
 [FR Doc. E6-11702 Filed 7-21-06; 8:45 am]

BILLING CODE 6560-50-P


53,075
   [a] Federal government employees are exempt from ICR requirements. As a result, their subscriber agreements are not included in the exhibit.

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                                  Appendix C
Methodology for Estimating the Annual Number of Facility Employees Expected to Register and Comply with Identity Proofing Requirements of State/Tribe/Local Electronic Document Receiving Systems during the Three-Year Period Covered by the ICR

      This appendix describes the methodology for estimating the annual number of facility employees expected to register and comply with identity proofing requirements of State/Tribe/Local electronic document receiving systems during the three-year period covered by the Information Collection Request (ICR). Section 1 provides an overview of the methodology, Section 2 provides a detailed discussion of the methodology, and Section 3 presents the results.

 Overview

      EPA estimated the number of facilities reporting to State/Tribe/Local electronic document receiving systems by first identifying states with existing and new systems and compiling them into a table (referred to as the "Master Table" in this analysis).,   We then referred to survey data compiled by EPA in 2002 from states that estimated the number of facilities subject to their respective receiving systems by environmental program. We updated these state estimates to current (2014) levels based on analysis of respondent universe growth rates in EPA program ICRs. We then extrapolated the updated survey data to the states in the Master Table to estimate their number of facilities. The extrapolation was performed by first finding the total number of commercial establishments in each state based on U.S. Census data, comparing the number of establishments in the survey states to the states in the Master Table, and using a scaling factor to extrapolate the number of facilities in the survey states to the states in the Master Table based on their respective number of commercial establishments. We performed this extrapolation by environmental program for all states in the Master Table. Finally, we estimated the number of employees based on the number of facilities.

 Detailed Discussion

      EPA took the following steps to carry out the methodology.

Find the Number of States with Receiving Systems, by State Environmental Program

 Identify states with existing and new electronic document receiving systems. To identify states with existing and new electronic document receiving systems, we referred to EPA's CROMERR Program and Stakeholder Management (PSM) System.  PSM is a custom implementation of a Salesforce.com platform that integrates database records, online file storage, multiple distinct spreadsheets, and email logs, to support the reduction of Technical Review Committee (TRC) and EPA's Office of Environmental Information (OEI) levels of effort in managing the application approval process.

      For purposes of this analysis, EPA categorized systems based on the following criteria:

                Existing Electronic
Document Receiving Systems
                   New Electronic
Document Receiving Systems
                                  System Type
                                 System Stage
                                  System Type
                                 System Stage
 Existing
 New
 Approval Review
 Completeness Review
 Draft Received
 EPA Approved
 Incomplete
 TRC Approved
 New
 Pending Receipt
 Scoping

 Estimate the number of existing and new state receiving systems, by environmental program. Existing and new receiving systems were categorized into state environmental programs based on the statute associated with the authorized program (e.g., Clean Air Act (CAA), Clean Water Act (CWA)). Attachment C-1 presents a table of the states with existing and new receiving systems, by state environmental program. This table is called the "Master Table" in this appendix.

Estimate the Number of Facilities, by State Environmental Program

 Estimate number of facilities by state environmental program, based on CROMERR cost-benefit analysis (CBA) survey data. To obtain information on the number of facilities by state environmental program, we referred to "Table V-2. Existing State Receiving Systems" of Cross-Media Electronic Reporting and Records Rule (CROMERRR) Cost Benefit Analysis - Final; dated November 17, 2004. This table contains information on the number of facilities associated with state receiving systems reported in a survey conducted by EPA during the summer of 2002. Attachment C-2 shows the number of facilities by state environmental program based on CBA survey data.

 Update CBA's facility estimate for each state environmental program, based on ICR respondent data. The data on number of facilities developed under Step C are based on 2002 data. In order to bring these numbers to the present (2017), we took the following steps:
 Obtained data on annual number of respondents in the ICRs listed in Attachment C-3. For each ICR, we obtained respondent universe estimates for at least two different years to enable us to estimate the annual percent change in the universe.
 Estimated the annual percent change in number of respondents for each ICR.
 Multiplied the annual percent change by 12 to estimate percent change over the 2002-2017 period.
 Applied the 2002-2017 percent change to facility estimates in order to update the number of facilities for each environmental program.

      Attachment C-4 shows the ICR data used to update the CBA's facility estimates, by state environmental program.

Extrapolate Updated State Survey Data on Number of Facilities to All States in Master Table

 Develop a scaling factor for use in extrapolation. We referred to U.S. Census Bureau data on number of establishments by employment size for states.  Based on these data, which are presented in Attachment C-5, we obtained the following information for each environmental program:
 Number of commercial establishments in the survey states for which respondent data were available; and
 Number of commercial establishments in states in the Master Table with existing and/or planned receiving systems.
      We then used these data to derive a scaling factor to be used in Step F. This scaling factor was derived using the following equation:

                               Scaling Factor =
              Number of establishments in states in Master Table

                   Number of establishments in survey states

 Extrapolate the CBA's updated facility estimates to states with existing and new receiving systems. In deriving the total number of facilities in all states in the Master Table, we first estimated the total number of facilities associated with each environmental program. To do this, we multiplied the updated survey data (Step D) by the corresponding scaling factor derived in Step E. This gave us the total number of facilities reporting to the receiving systems of states in the Master Table, by environmental program. We then added up the total number of facilities in states in the Master Table across all environmental programs.

 Estimate annual number of facilities subject to the ICR requirements. In estimating the annual number of facilities subject to the ICR requirements, we made the following assumptions:
 Existing receiving systems:  For purposes of this analysis, we assume that existing systems have been in operation since 2005. EPA estimates that 30 percent of facilities began to use the receiving system in the first year (i.e., 2005) and 10 percent in each subsequent year.
 New receiving systems:  We assume that one third of facilities will begin reporting in each year of the three-year period covered by the ICR. In each year of the ICR, EPA estimates that 30 percent of facilities will begin to use the receiving system in the first year and 10 percent in each subsequent year.
      The above implementation rates for use of an electronic receiving system were taken from the CBA (Exhibit 2-5).

 Estimate average annual number of facilities subject to the ICR requirements, by employment size. In estimating the average annual number of facilities by employment size, we referred to the U.S. Census Bureau data presented in Attachment C-5. Based on these data, in the U.S., 69 percent of establishments have less than 20 employees and 31 percent of establishments have 20 or more employees. We applied these percentages to the annual number of facilities in Step G. Once we estimated the annual number of facilities for each year from 2018 through 2020 (i.e., the three-year period covered by the ICR), we obtained the average over three years.

 Estimate average annual number of facility employees subject to the ICR requirements. In estimating the average annual number of facility employees, we assumed that small firm facilities have three employees and that medium/large firm facilities have six employees. These estimates were taken from the CBA (Section 2.3.3, "Facilities;" page 26).

 Estimate average annual number of facility employees subject to the ICR requirements by type of ownership (i.e., private sector vs. State/Tribe/Local) and remove Federal government facilities from this analysis. In estimating the average annual number of facility employees by type of ownership, we referred to data published by the Bureau of Labor Statistics on the number of employees in the U.S.  These data indicate that 84.94 percent of U.S. employees work for the private sector, 13.09 percent of employees work for States/Locals, and 1.97 percent of employees work for the Federal government. We applied these percentages to the annual number of facility employees in Step I. We then excluded Federal government employees from the analysis because they are exempt from ICR requirements.

      Attachments C-6 and C-7 present details on the application of the above methodology to existing and new receiving systems, respectively.

 Results

      Exhibit C-1 presents information on the average annual number of facility employees expected to register with existing and new State/Tribe/Local receiving systems.

                                  Exhibit C-1
            Average Annual Number of Facility Employees Expected to
      Register with Existing and New State/Tribe/Local Receiving Systems
              during the Three-Year Period Covered by the ICR [a]

                                 Type of Firm
                Average Annual Number of Facility Employees [b]

                          Existing Receiving Systems
                             New Receiving System
                             All Receiving Systems
                           (i.e., Existing and New)
Private Sector
Small Firms
                                     5,142
                                     5,135
                                    10,277
Medium-Size and Large Firms
                                     4,622
                                     4,612
                                     9,234
                                                                       Subtotal
                                     9,764
                                     9,747
                                    19,511
States/Locals
Small Firms
                                      792
                                      791
                                     1,583
Medium-Size and Large Firms
                                      712
                                      711
                                     1,423
                                                                       Subtotal
                                     1,504
                                     1,502
                                     3,006
All (Private Sector and States/Locals)
Small Firms
                                     5,934
                                     5,926
                                    11,860
Medium-Size and Large Firms
                                     5,334
                                     5,323
                                    10,657
                                                                          Total
                                    11,268
                                    11,249
                                    22,517
[a] Exhibit includes rounding error.
[b] Federal government employees are not reflected in the table because they are exempt from ICR requirements.

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                                Attachment C-1
Number of Existing and New State/Tribe/Local Electronic Document
Receiving Systems, by State Environmental Program
(also referred to as the "Master Table")

                                     State
                               Existing Systems
                                  New Systems

                                      Air
                                     Water
                                     Waste
                                      Air
                                     Water
                                     Waste
Alabama

                                       X

Alaska
                                       X
                                       X

American Samoa

Arizona

                                       X

                                       X

Arkansas
                                       X
                                       X
                                       X

California
                                       X
                                       X

                                       X

Colorado

                                       X

Connecticut

                                       X

                                       X

Delaware
                                       X
                                       X
                                       X

District of Columbia
                                       X
                                       X
                                       X
                                       X

Florida
                                       X
                                       X
                                       X

Georgia
                                       X
                                       X

Guam

Hawaii

                                       X

                                       X

Idaho
                                       X

Illinois
                                       X
                                       X

Indiana
                                       X
                                       X
                                       X

Iowa
                                       X
                                       X

Kansas
                                       X
                                       X
                                       X

Kentucky
                                       X
                                       X
                                       X

Louisiana

                                       X

Maine

                                       X

Maryland

                                       X

Massachusetts
                                       X
                                       X
                                       X

                                       X
Michigan
                                       X
                                       X
                                       X

Minnesota
                                       X
                                       X
                                       X

Mississippi
                                       X
                                       X
                                       X

Missouri [b]
                                       X
                                       X
                                       X

                                       X

Montana

                                       X

Nebraska

                                       X
                                       X

Nevada

                                       X
                                       X

New Hampshire

                                       X

New Jersey
                                       X
                                       X
                                       X

New Mexico
                                       X

New York
                                       X
                                       X
                                       X

North Carolina
                                       X
                                       X

                                       X
                                       X

North Dakota

                                       X

Northern Mariana Islands

Ohio
                                       X
                                       X
                                       X

Oklahoma
                                       X
                                       X
                                       X

Oregon

                                       X

Pennsylvania

Puerto Rico

Rhode Island

                                       X

South Carolina

                                       X

South Dakota
                                       X
                                       X
                                       X

Tennessee

                                       X

                                       X

Texas
                                       X
                                       X
                                       X

U.S. Virgin Islands

Utah

                                       X

Vermont
                                       X
                                       X
                                       X

Virginia

                                       X

                                       X
                                       X
Washington
                                       X
                                       X
                                       X

West Virginia

                                       X

Wisconsin
                                       X
                                       X
                                       X

Wyoming
                                       X
                                       X
                                       X

Source:	U.S. Environmental Protection Agency (USEPA), CROMERR Program and Stakeholder Management (PSM) System, data current as of October 9, 2014.

                                Attachment C-2
Number of Facilities Associated with Existing State Electronic Document Receiving Systems
in the CROMERR Cost-Benefit Analysis Survey, by State Environmental Program
                       (Data Current as of Summer 2002)

                                     State
                                      Air
                                     Water
                        Waste, USTs, Emergency Planning

                                      Air
                                     (CEM)
                                      Air
                                    Permits
                                      Air
                                     (NEI)
                                      Air
                                    Title V
                                   Emissions
                                   Emission
                                    Reports
                                 (Non-Title V)
                                      Air
                                    Quality
                                      PTO
                                 Applications
                                   Asbestos
                                 Notification
                                     EDMR
                                   Drinking/
                                    Ground
                                     Water
                                  Wastewater
                                      UIC
                                      HW
                                    Annual
                                    Report
                                      UST
                                     Risk
                                  Management
Florida

                                       3

New Jersey
                                      12
                                     1,500

                                     1,000

New Mexico

                                      200

North Dakota

                                      250

Ohio

                                      200

                                      780
                                     2,400

                                      780

                                     5,700
                                     1,550

                                      480

                                      500
Pennsylvania

                                      125

                                     6,000

Wisconsin
                                     5,200
                                      22

                                      600

[a] For purposes of this analysis, data for Wisconsin's "Consolidated (air, haz waste)" program was divided among the "Air" and "HW Annual Report" categories. Specifically, 90 percent of the facilities were allocated to the "Air" category and the remaining 10 percent were allocated to the "HW Annual Report" category. This allocation was based on Ohio's data and available information on the number of hazardous waste handlers that reported to the 2007 Hazardous Waste Report.
Source:	U.S. Environmental Protection Agency (USEPA), "Table V-2. Existing State Receiving Systems" of Cross-Media Electronic Reporting and Records Rule (CROMERRR) Cost Benefit Analysis, Final; November 17, 2004.
Acronyms
CEM	Continuous Emissions Monitoring
EDMR	Electronic Discharge Monitoring Report
HW	Hazardous Waste
NEI	National Emission Inventory
PTO	Permit to Operate
UIC	Underground Injection Control
UST	Underground Storage Tank

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                                Attachment C-3
            List of ICRs Used in Analysis, by Environmental Program

                                  ICR Numbers
                                   ICR Name
Air
                                    1587.06
                                    1587.13
State Operating Permit Regulations
                                    111.10
                                    111.14
NESHAP for Asbestos
                                    1088.10
                                    1088.14
NSPS for Industrial-Commercial-Institutional Steam Generating Units
Water
                                     2.11
                                     2.16
National Pretreatment Program
                                    270.42
                                    270.46
Public Water System Supervision Program
Waste, USTs, Emergency Planning
                                    261.14
Notification of Regulated Waste Activity
                                    976.11
2007 Hazardous Waste Report
                                    976.18
2013 Hazardous Waste Report, Notification of Regulated Waste Activity, and Part A Hazardous Waste Permit Application and Modification
                                    1360.07
                                    1360.15
Underground Storage Tanks: Technical and Financial Requirements, and State Program Approval Procedures
Source:  	Office of Management and Budget (OMB). Information Collection Review Data on RegInfo.gov. Data current as of August 31, 2017. Available online at:  https://www.reginfo.gov/public/do/PRAMain, last accessed on August 31, 2017.

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                                Attachment C-4a
    ICR Data Used to Update Number of Facilities Obtained from CROMERR CBA
                                 Air Programs

                                Attachment C-4b
    ICR Data Used to Update Number of Facilities Obtained from CROMERR CBA
                                Water Programs

                                Attachment C-4c
    ICR Data Used to Update Number of Facilities Obtained from CROMERR CBA
                   Waste, USTs, Emergency Planning Programs

                       [Page intentionally left blank.]

                                Attachment C-5
        Number of Establishments (Facilities) by Employment Size, 2014

                                     STATE
                            Less than 20 Employees
                             20 or More Employees
                                     Total
United States
                                   5,255,498
                                   2,307,586
                                   7,563,084
Alabama
                                    62,016
                                    35,698
                                    97,714
Alaska
                                    14,867
                                     5,885
                                    20,752
Arizona
                                    88,833
                                    45,601
                                    134,434
Arkansas
                                    42,946
                                    21,724
                                    64,670
California
                                    648,357
                                    241,289
                                    889,646
Colorado
                                    115,263
                                    42,801
                                    158,064
Connecticut
                                    61,057
                                    27,498
                                    88,555
Delaware
                                    15,867
                                     8,445
                                    24,312
District of Columbia
                                    12,774
                                     9,436
                                    22,210
Florida
                                    387,873
                                    132,002
                                    519,875
Georgia
                                    149,308
                                    71,297
                                    220,605
Hawaii
                                    21,206
                                    10,595
                                    31,801
Idaho
                                    32,201
                                    11,615
                                    43,816
Illinois
                                    222,287
                                    93,833
                                    316,120
Indiana
                                    91,993
                                    51,833
                                    143,826
Iowa
                                    53,796
                                    26,670
                                    80,466
Kansas
                                    49,410
                                    24,645
                                    74,055
Kentucky
                                    58,537
                                    32,881
                                    91,418
Louisiana
                                    68,797
                                    36,179
                                    104,976
Maine
                                    29,274
                                    11,095
                                    40,369
Maryland
                                    92,666
                                    43,835
                                    136,501
Massachusetts
                                    121,250
                                    52,325
                                    173,575
Michigan
                                    150,468
                                    67,813
                                    218,281
Minnesota
                                    101,502
                                    45,981
                                    147,483
Mississippi
                                    38,028
                                    20,513
                                    58,541
Missouri
                                    104,794
                                    49,151
                                    153,945
Montana
                                    28,517
                                     8,274
                                    36,791
Nebraska
                                    36,447
                                    16,544
                                    52,991
Nevada
                                    41,324
                                    20,301
                                    61,625
New Hampshire
                                    25,622
                                    11,774
                                    37,396
New Jersey
                                    171,181
                                    59,419
                                    230,600
New Mexico
                                    29,088
                                    14,660
                                    43,748
New York
                                    414,313
                                    122,577
                                    536,890
North Carolina
                                    146,925
                                    72,972
                                    219,897
North Dakota
                                    17,030
                                     7,668
                                    24,698
Ohio
                                    158,285
                                    92,250
                                    250,535
Oklahoma
                                    62,948
                                    29,482
                                    92,430
Oregon
                                    78,806
                                    31,069
                                    109,875
Pennsylvania
                                    198,899
                                    99,398
                                    298,297
Rhode Island
                                    20,229
                                     7,903
                                    28,132
South Carolina
                                    67,451
                                    34,846
                                    102,297
South Dakota
                                    18,780
                                     7,418
                                    26,198
Tennessee
                                    81,106
                                    50,398
                                    131,504
Texas
                                    364,569
                                    193,152
                                    557,721
Utah
                                    53,070
                                    20,305
                                    73,375
Vermont
                                    15,609
                                     5,432
                                    21,041
Virginia
                                    129,362
                                    66,277
                                    195,639
Washington
                                    129,682
                                    49,330
                                    179,012
West Virginia
                                    23,421
                                    13,933
                                    37,354
Wisconsin
                                    92,012
                                    46,209
                                    138,221
Wyoming
                                    15,452
                                     5,355
                                    20,807
              Source:	U.S. Census Bureau, "Number of Firms, Number of Establishments, Employment, and Annual Payroll by Enterprise Employment Size for the United States and States, Totals:  2014," September 29, 2016. Available online at:  http://www.census.gov/econ/susb/, last accessed on August 31, 2017. These are the latest Statistics of U.S. Businesses (SUSB) annual data.

                                Attachment C-6
           Application of Methodology to Existing Receiving Systems

                                Attachment C-7
              Application of Methodology to New Receiving Systems


[Federal Register Volume 84, Number 223 (Tuesday, November 19, 2019)]
[Notices]
[Page 63951]
[FR Doc No: 2019-25006]

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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:
    Rules 7a-15 through 7a-37, SEC File No. 270-115, OMB Control No.
3235-0132.

    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 this request for extension of the previously approved
collection of information discussed below.
    Rules 7a-15 through 7a-37 (17 CFR 260.7a-15--260.7a-37) under the
Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.) set forth the
general requirements as to form and content of applications, statements
and reports that must be filed under the Trust Indenture Act. The
respondents are persons and entities subject to the requirements of the
Trust Indenture Act. Trust Indenture Act Rules 7a-15 through 7a-37 are
disclosure guidelines and do not directly result in any collection of
information. The rules are assigned only one burden hour for
administrative convenience.
    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.
    The public may view the background documentation for this
information collection at the following website, 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:
<EMAIL_ADDRESS>and (ii) Charles Riddle, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o
Cynthia Roscoe, 100 F Street NE, Washington, DC 20549 or send an email
to<EMAIL_ADDRESS>Comments must be submitted to OMB within 30
days of this notice.

    Dated: November 8, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-25006 Filed 11-18-19; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 100 (Friday, May 23, 2014)]
[Notices]
[Pages 29826-29828]
[FR Doc No: 2014-11929]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IC-31051; 812-14313]

Credit Suisse Asset Management, LLC, et al.; Notice of
Application and Temporary Order

May 19, 2014.
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'').

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SUMMARY: Applicants have received a temporary order exempting them from
section 9(a) of the Act, with respect to a guilty plea entered on May
19, 2014, by Credit Suisse AG (``CSAG'') in the U.S. District Court for
the Eastern District of Virginia (``District Court'') in connection
with a plea agreement between CSAG and the U.S. Department of Justice
(``DOJ''), until the Commission takes final action on an application
for a permanent order. Applicants have also applied for a permanent
order.

Applicants: Credit Suisse Asset Management, LLC (``CSAM''), Credit
Suisse Asset Management Limited (``CSAML''), Credit Suisse Hedging-
Griffo Servicos Internacionais S.A. (``CSHG''), Credit Suisse
Securities (USA) LLC (``CSSU''), and CSAG (each an ``Applicant'' and
collectively, the ``Applicants''),\1\ and Credit Suisse Group AG (``CS
Group'').\2\
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    \1\ Applicants request that any relief granted pursuant to the
application also apply to any existing or future company of which
CSAG is or may become an affiliated person within the meaning of
section 2(a)(3) of the Act (together with the Applicants, the
``Covered Persons'') with respect to any activity contemplated by
section 9(a) of the Act.
    \2\ CS Group is a party to the application solely for purposes
of agreeing to the portion of condition 4 that applies to it.

DATES: Filing Date: The application was accepted on EDGAR on May 19,
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2014, with a filing date of May 20, 2014.

Hearing or Notification of Hearing: An order granting the application
will be issued unless the Commission orders a hearing. Interested
persons may request a hearing by writing to the Commission's Secretary
and serving Applicants with a copy of the request, personally or by
mail. Hearing requests should be received by the Commission by 5:30
p.m. on June 13, 2014, and should be accompanied by proof of service on
Applicants, in the form of an affidavit, or for lawyers, a certificate
of service. Hearing requests should state the nature of the writer's
interest, the reason for the request, and the issues contested. Persons
who wish to be notified of a hearing may request notification by
writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street NE., Washington, DC 20549-1090. Applicants: c/o Credit Suisse
Asset Management, LLC, Eleven Madison Avenue, New York, NY 10010.

FOR FURTHER INFORMATION CONTACT: Courtney S. Thornton, Senior Counsel,
at<PHONE_NUMBER> or Mary Kay Frech, Branch Chief, at<PHONE_NUMBER>
(Division of Investment Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: The following is a temporary order and a
summary of the application. The complete application may be obtained
via the Commission's Web site by searching for the file number, or an
applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling<PHONE_NUMBER>.

Applicants' Representations

    1. Each of the Applicants is a direct or indirect wholly owned
subsidiary of CS Group, the parent company of CSAG. CSAM, a limited
liability company formed under Delaware law, is registered as an
investment adviser under the Investment Advisers Act of 1940
(``Advisers Act''). CSAML, a corporation formed under the laws of the
United Kingdom, is registered as an investment adviser under the
Advisers Act. CSHG, a corporation formed under the laws of Brazil, is
registered as an investment adviser under the Advisers Act. CSSU, a
limited liability company formed under Delaware law, is registered as a
broker-dealer under the Securities Exchange Act of 1934 and as an
investment adviser under the Advisers Act, and is registered as a
member of the Financial Industry Regulatory Authority. CSAM, CSAML,
CSHG, and CSSU serve either as investment adviser (as defined in
section 2(a)(20) of the Act) to investment companies (or series
thereof) registered under the Act (``Funds'') and employees' securities
companies (``ESCs''), or as principal underwriter (as defined in
section 2(a)(29) of the Act) to open-end management investment
companies registered under the Act (``Open-End Funds'') (such
activities, collectively, ``Fund Service Activities''). CSAG is the
principal operating subsidiary of CS Group, which operates as a holding
company. Both CSAG and CS Group are corporations organized under the
laws of Switzerland; both are engaged in the private banking,

investment banking, and asset management businesses.
    2. On May 19, 2014, the DOJ filed a one-count criminal information
(the ``Information'') in the District Court charging CSAG with
conspiracy to commit tax fraud related to accounts CSAG established for
cross-border clients in violation of Title 18, United States Code,
Section 371. CASG has agreed to resolve the action brought by DOJ
through a plea agreement dated May 19, 2014 (the ``Plea Agreement'').
Under the Plea Agreement, CSAG pleaded guilty to the charge set out in
the Information (the ``Guilty Plea''). Applicants expect that the
District Court will enter a judgment against CSAG that will require
remedies that are materially the same as set forth in the Plea
Agreement. Pursuant to the Plea Agreement, CSAG agreed to comply with
the undertakings described in the application and to pay substantial
criminal penalties and restitution.
    3. In addition to the Plea Agreement with DOJ, on February 21,
2014, CS Group reached a settlement with the Commission that resolved
its investigation into the provision of unregistered broker-dealer and
investment adviser services to U.S. clients during the time period
between 2002-2008 (the ``Commission Settlement''). The conduct that was
the subject of the Commission investigation related to the conduct
charged in the Information. As part of the Commission Settlement, CS
Group agreed to pay $196,511,014, which includes $82,170,990 in
disgorgement, $64,340,024 in interest and a $50,000,000 penalty. CS
Group also retained an independent consultant in connection with the
Commission Settlement.
    4. CSAG will enter a settlement with the Board of Governors of the
Federal Reserve System (the ``Federal Reserve'') to resolve certain
findings by the Federal Reserve, including that the activities of CSAG
regarding opening of foreign accounts for U.S. taxpayers, provision of
investment services to U.S. clients, and operation of CSAG's New York
representative office prior to 2009 lacked adequate enterprise-wide
risk management and compliance policies and procedures sufficient to
ensure that all of its activities comply with U.S. laws and regulations
(the ``Federal Reserve Order'').
    5. CSAG also will enter into a consent order with the New York
State Department of Financial Services (``DFS'') to resolve DFS's
investigation into the Conduct, as defined below (the ``DFS Order'').
    6. Ten individuals who have been identified as having been
responsible for the conduct underlying the Plea Agreement (including
the conduct described in any of the exhibits to the Plea Agreement)
(the ``Conduct'') are current employees of CSAG or a Covered Person.
All other employees of CSAG and any Covered Person who were identified
as having been responsible for the Conduct have either resigned or been
terminated. Of the individuals identified as having been responsible
for the Conduct that remain employees of CSAG or a Covered Person, all
but one (the ``December Employee'') will be notified no later than May
31, 2014 that their employment with CSAG or a Covered Person will be
terminated no later than August 31, 2014.\3\
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    \3\ The employment of the December Employee will be terminated
at the earlier of December 31, 2014 or the date that the December
Employee's services are no longer needed by CSAG. The sole activity
of the December Employee as an employee will be to perform
compliance-related services in a specific area. The activity of the
December Employee will be subject to direct supervision by senior
legal personnel.
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    7. Additionally, beginning in 2008, CSAG commenced a remediation
program to ensure that only U.S. clients who established compliance
with U.S. tax laws could remain clients of CSAG. U.S. clients that
could not demonstrate tax compliance had to terminate their
relationship with CSAG. As part of that program, CSAG moved the
securities business with U.S. residents into U.S.-regulated
subsidiaries or terminated those relationships.

Applicants' Legal Analysis

    1. Section 9(a)(1) of the Act provides, in pertinent part, that a
person may not serve or act as an investment adviser or depositor of
any registered investment company or a principal underwriter for any
registered open-end investment company or registered unit investment
trust, if such person within ten years has been convicted of any felony
or misdemeanor arising out of such person's conduct, as, among other
things, an investment adviser, a broker or dealer, or a bank. Section
2(a)(10) of the Act defines the term ``convicted'' to include a plea of
guilty. Section 9(a)(3) of the Act extends the prohibitions of section
9(a)(1) to a company any affiliated person of which has been
disqualified under the provisions of section 9(a)(1). Section 2(a)(3)
of the Act defines ``affiliated person'' to include, among others, any
person directly or indirectly controlling, controlled by, or under
common control with, the other person. Applicants state that CSAG is an
affiliated person of each of the other Applicants within the meaning of
section 2(a)(3). Applicants state that the Guilty Plea would result in
a disqualification of each Applicant for ten years under section 9(a)
of the Act because CSAG would become the subject of a conviction
described in 9(a)(1).
    2. Section 9(c) of the Act provides that the Commission shall grant
an application for exemption from the disqualification provisions of
section 9(a) if it is established that these provisions, as applied to
Applicants, are unduly or disproportionately severe or that the
Applicants' conduct has been such as not to make it against the public
interest or the protection of investors to grant the exemption.
Applicants have filed an application pursuant to section 9(c) seeking
temporary and permanent orders exempting the Applicants and other
Covered Persons from the disqualification provisions of section 9(a) of
the Act.
    3. Applicants believe they meet the standard for exemption
specified in section 9(c). Applicants state that the prohibitions of
section 9(a) as applied to them would be unduly and disproportionately
severe and that the conduct of Applicants has been such as not to make
it against the public interest or the protection of investors to grant
the exemption from section 9(a).
    4. Applicants assert that the Conduct did not involve any of
Applicants acting as an investment adviser or depositor of any Fund,
ESC or business development company or principal underwriter for any
Open-End Fund, unit investment trust registered under the Act, or face
amount certificate company registered under the Act. The Conduct
similarly did not involve any Fund, ESC or business development company
with respect to which Applicants engaged in Fund Service Activities.\4\
Applicants further assert that (i) none of the current or former
directors, officers or employees of the Applicants (other than certain
personnel of CSAG who were not involved in any of the Applicants' Fund
Service Activities) had involvement in the Conduct; (ii) except as
noted above, no current or former employee of CSAG or any Covered
Person who previously has been or who subsequently may be identified by
CSAG or any U.S. or non-U.S. regulatory or enforcement agencies as
having been responsible for the Conduct will be an officer, director,
or employee of CSAM, CSAML, CSHG, CSSU, or of any other Covered Person;
(iii) those identified

employees have had no, and will not have any future, involvement in the
Covered Persons' activities in any capacity described in section 9(a)
of the Act; and (iv) because the personnel of the Applicants (other
than certain personnel of CSAG who were not involved in any of the
Applicants' Fund Service Activities) did not have any involvement in
the Conduct, shareholders of the Funds and ESCs were not affected any
differently than if those Funds and ESCs had received services from any
other non-affiliated investment adviser or principal underwriter.
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    \4\ CSAG does not engage, has not engaged, and will not engage
in Fund Service Activities.
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    5. Except as discussed above, Applicants have agreed that neither
they nor any of the other Covered Persons will employ any of the
current or former employees of CSAG or any Covered Person who
previously have been or who subsequently may be identified by CSAG or
any U.S. or non-U.S. regulatory or enforcement agencies as having been
responsible for the Conduct in any capacity without first making a
further application to the Commission pursuant to section 9(c).
Applicants also have agreed that each Applicant (and any Covered Person
that acts in any capacity described in section 9(a) of the Act) will
adopt and implement policies and procedures reasonably designed to
ensure compliance with the terms and conditions of the order granted
under section 9(c). In addition, CSAG has agreed to comply in all
material respects with the material terms and conditions of the Plea
Agreement and the material terms of the Federal Reserve Order and the
DFS Order, and CS Group has agreed to comply in all material respects
with the material terms and undertakings of the Commission Settlement.
    6. Applicants further represent that the inability of CSAM, CSAML,
CSHG, and CSSU to continue providing Fund Service Activities would
result in potential hardships for both the Funds and the ESCs and their
shareholders. Applicants state that they will distribute written
materials, including an offer to meet in person to discuss the
materials, to the board of trustees of the Funds, including the
directors who are not ``interested persons,'' as defined in section
2(a)(19) of the Act, of such Funds, and their independent legal counsel
as defined in rule 0-1(a)(6) under the Act, regarding the Plea
Agreement, any impact on the Funds, and the application. The Applicants
will provide the Funds with all information concerning the Plea
Agreement and the application that is necessary for the Funds to
fulfill their disclosure and other obligations under the federal
securities laws.
    7. Applicants also state that, if CSAM, CSAML, CSHG, and CSSU were
barred from providing Fund Service Activities to the Funds and the
ESCs, the effect on their business and employees would be severe.
    8. Applicants state that certain of the Applicants and their
affiliates have received exemptive orders under section 9(c), as
described in greater detail in the application.

Applicants' Conditions

    Applicants agree that any order granted by the Commission pursuant
to the application will be subject to the following conditions:
    1. Any temporary exemption granted pursuant to the application will
be without prejudice to, and shall not limit the Commission's rights in
any manner with respect to, any Commission investigation of, or
administrative proceedings involving or against, Covered Persons,
including, without limitation, the consideration by the Commission of a
permanent exemption from section 9(a) of the Act requested pursuant to
the application or the revocation or removal of any temporary
exemptions granted under the Act in connection with the application.
    2. Except as set out in the second paragraph of Section IV.E of the
application, neither the Applicants nor any of the other Covered
Persons will employ any of the current or former employees of CSAG or
any Covered Person who previously have been or who subsequently may be
identified by CSAG or any U.S. or non-U.S. regulatory or enforcement
agencies as having been responsible for the Conduct in any capacity
without first making a further application to the Commission pursuant
to section 9(c).
    3. Each Applicant and Covered Person will adopt and implement
policies and procedures reasonably designed to ensure that they will
comply with the terms and conditions of the requested orders within 60
days of the date on which any permanent order is granted or, with
respect to condition 4, such later date as may be contemplated by the
Federal Reserve Order, the DFS Order, or the Commission Settlement, as
applicable.
    4. CSAG will comply in all material respects with the material
terms and conditions of the Plea Agreement and with the material terms
of the Federal Reserve Order and the DFS Order, and CS Group will
comply in all material respects with the material terms and
undertakings of the Commission Settlement.
    5. Applicants will provide written notification to the Chief
Counsel of the Commission's Division of Investment Management, with a
copy to the Chief Counsel of the Commission's Division of Enforcement,
of a material violation of the terms and conditions of the requested
orders within 30 days of discovery of the material violation.

Temporary Order

    The Commission has considered the matter and finds that the
Applicants have made the necessary showing to justify granting a
temporary exemption.
Accordingly
    It is hereby ordered, pursuant to section 9(c) of the Act, that the
Applicants and the other Covered Persons are granted a temporary
exemption from the provisions of section 9(a), effective forthwith,
solely with respect to the Guilty Plea, subject to the representations
and conditions in the application, until the date the Commission takes
final action on their application for a permanent order.

    By the Commission.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-11929 Filed 5-22-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 87, Number 182 (Wednesday, September 21, 2022)]
[Notices]
[Pages 57750-57752]
[FR Doc No: 2022-20405]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2022-0163]

Agency Information Collection Activities; New Information
Collection: Human Factors Considerations in Commercial Motor Vehicle
Automated Driving Systems

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), Department
of Transportation (DOT).

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FMCSA
announces its plan to submit the Information Collection Request (ICR)
described below to the Office of Management and Budget (OMB) for its
review and approval and invites public comment. This notice invites
comments on a proposed information collection titled Human Factors
Considerations in Commercial Motor Vehicle Automated Driving Systems.
It is a driving simulator study with a series of questionnaires that
will evaluate how commercial motor vehicle (CMV) drivers engage in
Society of Automotive Engineers (SAE) Level 2 (L2) and Level 3 (L3)
automated driving system (ADS)-equipped CMVs. Approximately 100 CMV
drivers will participate in the study. The study will examine the
effect of non-driving secondary task engagement, transfer of control,
and training on driver behavior in ADS-equipped CMVs.

DATES: Comments on this notice must be received on or before November
21, 2022.

ADDRESSES: You may submit comments identified by Federal Docket
Management System Docket Number FMCSA-2022-0163 using any of the
following methods:

     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the online instructions for submitting comments.
     Fax: 1-202-493-2251.
     Mail: Dockets Operations; U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building, Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building, Ground Floor,
Room W12-140, Washington, DC 20590-0001 between 9 a.m. and 5 p.m. e.t.,
Monday through Friday, except Federal holidays.
    Instructions: All submissions must include the Agency name and
docket number. For detailed instructions on submitting comments, see
the Public Participation heading below. Note that all comments received
will be posted without change to https://www.regulations.gov, including
any personal information provided. Please see the Privacy Act heading
below.
    Docket: For access to the docket to read background documents or
comments received, go to https://www.regulations.gov, and follow the
online instructions for accessing the docket, or go to the street
address listed above.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its decision making. DOT
posts these comments, without edit, including any personal information
the commenter provides, to https://www.regulations.gov, as described in
the system of records notice (DOT/ALL-14 FDMS), which can be reviewed
at https://www.dot.gov/privacy.
    Public Participation: The Federal eRulemaking Portal is available
24 hours each day, 365 days each year. You can obtain electronic
submission and retrieval help and guidelines under the ``FAQ'' section
of the Federal eRulemaking Portal website. If you want us to notify you
that we received your comments, please include a self-addressed,
stamped envelope or postcard, or print the acknowledgement page that
appears after submitting comments online. Comments received after the
comment closing date will be included in the docket and will be
considered to the extent practicable.

FOR FURTHER INFORMATION CONTACT: Theresa Hallquist, Office of Research
and Registration, DOT, FMCSA, West Building 6th Floor, 1200 New Jersey
Avenue SE, Washington, DC 20590-0001;<PHONE_NUMBER>;
[email protected].

SUPPLEMENTARY INFORMATION:

Background

    Lower levels of automated driving system (ADS)-equipped CMVs
present an environment that is ripe for overreliance. An L2 vehicle
offers longitudinal and lateral support to the driver; however, the
driver is still responsible for driving at all times. At this level,
engaging in non-driving secondary tasks can be highly detrimental to
driving performance as the driver may not recognize and respond to
hazards timely or appropriately. In an L3 vehicle, the role of
distraction is blurred. The driver takes on a more supervisory role and
is in full control of the vehicle in a limited number of situations.
When an L3 vehicle alerts the driver that a takeover is required, the
driver needs to have situational awareness to resume full control of
the vehicle. Engagement in non-driving secondary tasks may prevent the
driver from maintaining situational awareness of the driving
environment.
    A recently completed study by FMCSA on research involving ADSs in
CMVs found a lack of research related to ADS-equipped CMVs. To date,
most commercial ADSs on U.S. roadways are in passenger vehicles, and
CMV ADSs are only recently being implemented in real-world operations.
Therefore, FMCSA needs more data on ADS-equipped CMVs to understand
driver behavior and policy implications.
    The purpose for obtaining data in this study is to evaluate driver
readiness to assume control in SAE L2 and L3 ADS-equipped CMVs and
develop and test a CMV driver distraction training program designed to
improve driver readiness. Specifically, there are three primary
objectives for the data collection: (i) determine the effect of
distraction on CMV drivers of L2 vehicles; (ii) determine the effect of
transfer of control on CMV drivers in L3 vehicles; and (iii) develop
and evaluate a training program that is designed to decrease the levels
of distraction that were identified in CMV drivers in L2 vehicles and
designed to improve the problems with the transfer of control that were
identified in L3 vehicles. Answers to these research questions will
provide insight into the human factors associated with semi-automated
CMVs. Moreover, these findings will inform training materials to
educate drivers on distraction and the functionality of ADS as well as
policy pertaining to the implications of ADSs in CMVs.
    The study includes data collection from a series of questionnaires
and a driving simulator-focused experiment. The collected survey data
will support the simulator experiment data. The survey data will be
used in two ways: in the assessment of driving performance data as
covariates in the model (to control for certain demographic variables,
such as age, gender, and experience) and to answer a research question
on the relationship between driver characteristics and driver readiness
and performance. Data on driver readiness and performance will be
collected from the simulator experiment. Eligible drivers will hold a
valid commercial driver's license, currently drive a CMV, be 21 years
of age or older, and pass the motion sickness history screening
questionnaire.
    Data will be collected over two study sessions. The first study
session will collect data on the effects of non-driving secondary tasks
and readiness to resume control of an L2- or L3-equipped CMV. The
second study session will assess the effectiveness of driver training
to improve safety while operating an L2 or L3 CMV. Questionnaire data
will be collected prior to the simulator study, during the simulator
study, and after the simulator study. In addition, participants will
complete questionnaires about the training in the second study session.
All questionnaires will be preloaded in an app format for drivers to
complete on a tablet.
    We anticipate 100 participants in total for the driving simulator
study. Fifty drivers will participate in the L2 study sessions, and the
other 50 drivers will participate in the L3 study sessions. During
consent, each participant will agree to participate in both the L2/L3
simulator study session and the training study session. For a
participant who chooses not to continue, a new driver will be recruited
to fill their position. These new participants will not have data from
the L2/L3 study but will need to complete a new consent form, pre-/
post-study questionnaires, and the training questionnaire. Each study
session will be completed in 4 hours, resulting in a total of up to 8
hours of participation for drivers that complete both study sessions.
    Multiple analyses will be used, including an assessment of driver
distraction and its effects on driver readiness and driving
performance. In the L2 and L3 studies, general linear mixed models
(GLMMs) will be used to answer the research questions. In the
transportation safety field, GLMMs are often used to analyze driver
behavior and assess relationships between driving scenarios and
behaviors. To evaluate the effectiveness of the training program,
linear mixed models will be

used with random intercepts. Driver random intercepts will account for
participants' correlated behaviors and expectations in the L2 or L3
system before and after training.
    Title: Human Factors Considerations in Commercial Motor Vehicle
Automated Driving Systems.
    OMB Control Number: 2126-00XX.
    Type of Request: New ICR.
    Respondents: CMV drivers.
    Estimated Number of Respondents: 100.
    Estimated Time per Response: 4 hours.
    Expiration Date: This is a new ICR.
    Frequency of Response: Two responses.
    Estimated Total Annual Burden: 475.5 hours.
    Public Comments Invited: You are asked to comment on any aspect of
this information collection, including: (1) whether the proposed
collection is necessary for the performance of FMCSA's functions; (2)
the accuracy of the estimated burden; (3) ways for FMCSA to enhance the
quality, usefulness, and clarity of the collected information; and (4)
ways that the burden could be minimized without reducing the quality of
the collected information. The Agency will summarize or include your
comments in the request for OMB's clearance of this ICR.

    Issued under the authority of 49 CFR 1.87.
Thomas P. Keane,
Associate Administrator, Office of Research and Registration.
[FR Doc. 2022-20405 Filed 9-20-22; 8:45 am]
BILLING CODE 4910-EX-P


[Federal Register: February 23, 2006 (Volume 71, Number 36)]
[Notices]
[Page 9386]
[DOCID:fr23fe06-97]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.

Extension:
    Regulation FD; OMB Control No. 3235-0536; SEC File No. 270-475.

    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 a
request for extension of the previously approved collection of
information discussed below.
    Regulation FD--Other Disclosure Materials requires public
disclosure of material information from issuers of publicly traded
securities so that investors have current information upon which to
base investment decisions. The purpose of the regulation is to require
that; (1) When an issuer intentionally discloses material information,
it does so through public disclosure, not selective disclosure; and (2)
whenever an issuer learns that it has made a non-intentional material
selective disclosure, the issuer makes prompt public disclosure of that
information. Regulation FD was adopted due to a concern that the
practice of selective disclosure leads to a loss of investor confidence
in the integrity of our capital markets. All information is provided to
the public for review. The information required is filed on occasion
and is mandatory. We estimate that approximately 13,000 issuers make
Regulation FD disclosures approximately five times a year for a total
of 58,000 issuers make Regulation FD disclosures approximately five
times a year for a total of 58,000 submissions annually, not including
an estimated 7,000 issuers who file Form 8-K to comply with Regulation
FD. We estimate that it takes approximately 5 hours per response
(58,000 x 5 hours) for a total burden of 290,000 hours annually. The
filer prepares 25% of the 290,000 annual burden hours for a total of
72,500 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 or send an e-mail to
<EMAIL_ADDRESS>and (ii) R. Corey Booth, Director/Chief

Information Officer, Office of Information Technology, Securities and
Exchange Commission, 100 F Street, NE., Washington, DC 20549. Comments
must be submitted to OMB within 30 days of this notice.

    Dated: February 16, 2006.
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. 06-1668 Filed 2-22-06; 8:45 am]

BILLING CODE 8010-01-M