[Federal Register Volume 79, Number 33 (Wednesday, February 19, 2014)]
[Notices]
[Pages 9502-9503]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-03578]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Rule 0-2, Form ADV-NR; OMB Control No. 3235-0240, SEC File No.
270-214.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget (``OMB'') for extension and approval.
The title for the collection of information is ``Rule 0-2 and Form
ADV-NR'' under the Investment Advisers Act of 1940. Rule 0-2 and Form
ADV-NR facilitate service of process to non-resident investment
advisers and exempt reporting advisers and their non-resident general
partners or non-resident managing agents. The Form requires these
persons to designate the Commission as agent for service of process.
The purpose of this collection of information is to enable the
commencement of legal and or regulatory actions against investment
advisers and exempt reporting advisers that are doing business in the
United States, but are not residents.
The respondents to this information collection would be each non-
resident general partner or non-resident managing agent of an SEC-
registered adviser and each non-resident general partner or non-
resident managing agent of an exempt reporting adviser. The Commission
has estimated that compliance with the requirement to complete Form
ADV-NR imposes a total burden of approximately 1.0 hours for an
adviser. Based on our experience with these filings, we estimate that
we will receive 47 Form ADV-NR filings annually. Based on the 1.0 hours
per respondent estimate, the Commission staff estimates a total annual
burden of 47 hours for this collection of information.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the 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 a
collection of information unless it displays a currently valid OMB
control number. No person shall be subject to any penalty for failing
to comply with a collection of information subject to the PRA that does
not display a valid OMB control number.
Please direct your written comments to Thomas Bayer, Chief
Information Officer, Securities and Exchange Commission, C/O Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549; or send an email
to: [email protected].
[[Page 9503]]
Dated: February 12, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-03578 Filed 2-18-14; 8:45 am]
BILLING CODE 8011-01-P