
[Federal Register Volume 76, Number 225 (Tuesday, November 22, 2011)]
[Notices]
[Pages 72226-72227]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-30069]


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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:
    Form 2-E and Rule 609; SEC File No. 270-222; OMB Control No. 
3235-0233.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (the ``Commission'') 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.
    Rule 609 (17 CFR 230.609) under the Securities Act of 1933 (15 
U.S.C. 77a et seq.) requires small business investment companies and 
business development companies that have engaged in offerings of 
securities that are exempt from registration pursuant to Regulation E 
under the Securities Act of 1933 (17 CFR 230.601 to 610a) to report 
semi-

[[Page 72227]]

annually on Form 2-E (17 CFR 239.201) the progress of the offering. The 
form solicits information such as the dates an offering commenced and 
was completed (if completed), the number of shares sold and still being 
offered, amounts received in the offering, and expenses and 
underwriting discounts incurred in the offering. The information 
provided on Form 2-E assists the staff in monitoring the progress of 
the offering and in determining whether the offering has stayed within 
the limits set for an offering exempt under Regulation E.
    During the calendar year 2010, there was one filing of Form 2-E by 
one respondent. The Commission has previously estimated that the total 
annual burden associated with information collection and Form 2-E 
preparation and submission is four hours per filing. Based on the 
Commission's experience with disclosure documents generally, the 
Commission continues to believe that this estimate is appropriate.
    Estimates of average burden hours are made solely for the purposes 
of the Paperwork Reduction Act and are not derived from a comprehensive 
or even representative survey or study of the costs of Commission rules 
and forms. The collection of information under rule 609 and Form 2-E is 
mandatory. The information provided under rule 609 and Form 2-E will 
not be kept confidential. An agency may not conduct or sponsor, and a 
person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number.
    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.
    Please direct your written comments to Thomas Bayer, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312; or send an 
email to: PRA_Mailbox@sec.gov.

     Dated: November 16, 2011.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2011-30069 Filed 11-21-11; 8:45 am]
BILLING CODE 8011-01-P


