Upon written request, copies available from: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension: Form 2-E under 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 (“Commission”) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information entitled.
Form 2-E Under the Securities Act of 1933, Report of Sales Pursuant to Rule 609 of Regulation E, and Rule 609 Under the Securities Act of 1933, Report of Sales
Under Rule 609 under the Securities Act of 1933 (17 CFR 230.609), Form 2-E (17 CFR 239.201) is used by small business investment companies or business development companies engaged in limited offerings of securities to report semi-annually the progress of the offering, including the number of shares sold. The form solicits information such as the dates an offering has commenced and has been completed, the number of shares sold and still being offered, amounts received in the offering, and expenses and underwriting discounts incurred in the offering. This information assists the staff in determining whether the issuer has stayed within the limits of an offering exemption.
Form 2-E must be filed semi-annually during an offering and as a final report at the completion of the offering. Less frequent filing would not allow the Commission to monitor the progress of the limited offering in order to ensure that the issuer was not attempting to avoid the normal registration provisions of the securities laws.
During the calendar year 2005, there were 36 filings of Form 2-E by 24 respondents. The Commission estimates, based on its experience with disclosure documents generally and Form 2-E in particular, and based on informal contacts with the investment company industry, that the total annual burden associated with information collection, Form 2-E preparation, and submission is four hours per filing or 144 hours for all respondents.
The estimates of average burden hours are made solely for the purposes of the Act and are not derived from a comprehensive or even representative survey or study of the cost of Commission rules and forms.
Form 2-E does not involve any recordkeeping requirements. The information required by the form is mandatory and the information provided 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 Start Printed Page 38679displays a currently valid control number.
General 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 e-mail to: David_Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312, or send an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice.Start Signature
Dated: June 29, 2006.
J. Lynn Taylor,
[FR Doc. E6-10638 Filed 7-6-06; 8:45 am]
BILLING CODE 8010-01-P