Change Requests

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Rule 8c-1, Hypothecation of customer's securities

Key Information

Abstract

Rule 8c-1, 17 CFR 240.8c-1, prohibits the commingling under the same lien of securities of customers (a) with securities of other customers without their written consent and (b) with the broker-dealer's proprietary securities. The rule also prohibits a broker-dealer from hypothecating customers' securities for a sum in excess of the customer aggregate indebtedness to the broker-dealer.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 78q, 78w, 78mm, 80a-30(a), 80a	View Law

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Regulation 14N and Schedule 14N

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Abstract

Regulation 14N (17 CFR 240.14n-1 through 240.14n-3) sets forth the requirements for filings required to be made by certain nominating shareholders on Schedule 14N (17 CFR 240.14n-101). Schedule 14N requires the filing of certain information with the Commission by shareholders who submit, for inclusion in a company’s proxy materials, nominees for director pursuant to applicable state or foreign law, or a company’s governing documents.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 78mm	View Law

15 USC 78c, 78m, 78n, 78o, 78w(a)	View Law

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Federal Perkins Loan Program Regulations and General Provisions Regulations

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Abstract

This is a request by the Department of Education (Department) for continued approval of the reporting, disclosure and records maintenance requirements that are contained in the Student Assistance General Provisions regulations, the Federal Perkins Loan program, the Federal Work-Study program, and the Federal Supplemental Educational Opportunity Grant program. The Department is seeking an extension of the currently approved information collection 1845-0019. There has been no change to the regulatory or statutory requirements.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

20 USC 1070, 1087	View Law

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Rule 15c3-1; Net Capital Requirements for Brokers and Dealers

Key Information

Abstract

Rule 15c3-1, 17 CFR 240.15c3-1, was adopted in 1971 to ensure that brokers and dealers maintain sufficient liquid assets in excess of liabilities to promptly satisfy the claims of customers in the event the broker or dealer fails.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 78b, 78c, 78o, 78o-4, 78q, 78w	View Law

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Form 144 - Notice of Proposed Sale of Securities Pursuant to Rule 144 under the Securities Act of 1933

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Abstract

Rule 144 (17 CFR 230.144) provides that a person who sells restricted securities or who sells securities on behalf of affiliates should be deemed not to be engaged in a distribution of such securities, and not to be an underwriter thereof if all of the conditions of the rule are met. One condition requires that if an intended sale of securities exceeds certain thresholds, the security holder must file a notice of proposed sale on Form 144 (17 CFR 239.144). If the amount of securities to be sold in reliance on the rule during any three-month period exceeds 5,000 shares or $50,000, a notice on Form 144 must be filed with the Commission.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 77b(a)(11), 77d(a)(1)	View Law

15 USC 77d(a)(2), 77d(a)(4), 77s(a)	View Law

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Rule 3a-8 under the Investment Company Act; Certain Research and Development Companies

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Abstract

Rule 3a-8 (17 CFR 270.3a-8) under the Investment Company Act of 1940 applies to research and development companies that rely on the rule's safe harbor from the definition of investment company. The rule requires that the research and development company's board of directors adopt an appropriate resolution evidencing that the company is primarily engaged in non-investment business, record that resolution contemporaneously, and adopt a written investment policy with respect to capital preservation investments. These requirements help ensure involvement of the research and development company's board of directors in determining the company's status under the Investment Company Act of 1940 and as evidence of the company's primary business activities. The requirements also help ensure that adequate records are available for Commission review, if necessary.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 80a	View Law

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Required Information for Annual Improper Payment Estimation

Key Information

Abstract

Federal Student Aid (FSA) administers the Department of Education’s Federal student financial aid programs authorized by Title IV of the Higher Education Act of 1965, as amended. Under these programs, institutions of higher education act as a fiduciary in receiving grant and loan funds from the Department for the sole purpose of allowing students to pay the costs of attendance at the institution. The Department executes a two-stage Sampling and Estimation Methodology Plan (S&EMP) that is based in part on the results of compliance audits to estimate its improper payments and unknown payments in accordance with the Public Law 116-117, Payment Integrity Information Act of 2019 (PIIA) and OMB Circular A-123, Appendix C (A-123C). The Department requires sample, population, and as applicable, finding information regarding testing performed by the auditors, however, this is not reported with the compliance audit. This information is necessary to execute FSA’s S&EMP. The legal and administrative requirements that necessitate the collection of this information are the audit access provisions in 2 CFR 200.517(b) and Title IV regulations at 34 CFR 668.23(e)(1)(ii), which the Department has concluded gives it the authority to collect certain information from the single audit in order for the Department to carry out its oversight responsibilities with regard to improper payments and unknown payments. PIIA section 3352 (31 U.S.C. section 3352) requires federal agencies to review all programs and activities they administer that may be susceptible to significant improper payments and publish the payment integrity information annually. This is a request for a new information collection to develop a form for institutions of higher education to have a mechanism to report to the Department information required to carry out the S&EMP and publish payment integrity information on an annual basis.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 116 - 117 375	View Law

31 USC 3352	View Law

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FORM 14: ELECTRONIC SUBMISSION OF ALLEGATIONS AND DISCLOSURES

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Abstract

OSC Form 14 is used by current and former federal employees and applicants for federal employment, and other covered filers, to submit allegations of possible prohibited personnel practices or other prohibited activities for investigation and possible prosecution by OSC, or review and possible referral to relevant inspector general offices.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

5 USC 1212	View Law

5 USC CFR 1800	View Law

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Programs to Reduce Underage Drinking

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The purpose of the data collection through the State Survey will be to create a compendium of the States' best practices and performances in enacting, enforcing, and creating laws, regulations, and programs to prevent or reduce underage drinking. Congress mandated the collection of these data to provide policymakers and the public with currently unavailable but much-needed information regarding State underage drinking prevention policies and programs.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 290	View Law

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Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940

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Abstract

Rule 203-2 (17 CFR § 275.203-2) under the Investment Advisers Act of 1940 establishes procedures for an investment adviser to withdraw its registration, or a pending registration application, with the Securities and Exchange Commission (the “Commission”) and requires every person withdrawing from investment adviser registration with the Commission to file Form ADV-W electronically on the Investment Adviser Registration Depository. A copy of Form ADV-W must be preserved in the investment adviser’s records. The potential respondents to this information collection are investment advisers registered with the Commission that withdraw their registrations or pending registrations with the Commission. The collection of information constitutes a reporting requirement and is necessary to ensure that the Commission and the public are notified when each of these investment advisers withdraws its registration.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 80b	View Law

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Part 162 - Protection of Consumer Information under the Fair Credit Reporting Act

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Abstract

The CFTC requests approval of its request to extend OMB approval of the information collection requirements associated with the Commission's rules under Part 162 - Protection of Consumer Information under the Fair Credit Reporting Act ("FCRA"). Title X of the Dodd-Frank Act, which is titled the Consumer Financial Protection Act of 2010 (“CFP Act”), amends a number of federal consumer protection laws enacted prior to the Dodd-Frank Act including, in relevant part, the FCRA and the Fair and Accurate Credit Transactions Act of 2003 (“FACT Act”). Specifically, Section 1088 of the CFP Act sets out certain amendments to the FCRA and the FACT Act directing the Commission to promulgate regulations that are intended to provide privacy protections to certain consumer information held by an entity that is subject to the jurisdiction of the Commission. Section 1088 amends section 214(b) of the FACT Act—which added section 624 to the FCRA in 2003—and directs the Commission to implement the provisions of section 624 of the FCRA with respect to persons that are subject to the Commission’s enforcement jurisdiction. Section 624 of the FCRA gives a consumer the right to block affiliates of an entity subject to the Commission’s jurisdiction from using certain information obtained from such entity to make solicitations to that consumer (hereinafter referred to as the “affiliate marketing rules”). Under the affiliate marketing rules, the entities covered by the regulations are expected to prepare and provide clear, conspicuous and concise opt-out notices to any consumers with whom such entities have a pre-existing business relationship. A covered entity only has to provide an opt-out notice to the extent that an affiliate of the covered entity plans to make a solicitation to any of the covered entity’s consumers. A covered entity is required to send opt-out notices at the maximum of once every five years. Section 1088 of the CFP Act also amends section 628 of the FCRA and mandates that the Commission implement regulations requiring persons subject to the Commission’s jurisdiction who possess or maintain consumer report information in connection with their business activities to properly dispose of that information (hereinafter referred to as the “disposal rules”). Under the disposal rules, the entities covered by the regulations are expected to develop and implement a written disposal plan with respect to any consumer information within such entities’ possession. The regulations provide that a covered entity develop a written disposal plan that is tailored to the size and complexity of such entity’s business. The purpose of the written disposal plan is to establish a formal plan for the disposal of nonpublic, consumer information, which otherwise could be illegally confiscated and used by unauthorized third parties. Under the rules, a covered entity is required to develop a written disposal plan only once, but may subsequently amend such plan from time to time. In addition, Section 1088 of the CFP Act amended the FCRA by adding the CFTC and the Securities and Exchange Commission (“SEC,” together with the CFTC, the “Commissions”) to the list of federal agencies required to jointly prescribe and enforce identity theft red flags rules and guidelines and card issuer rules. Under the identity theft rules, entities covered by the regulation are required to develop and implement reasonable policies and procedures to identify, detect, and respond to relevant red flags for identity theft that are appropriate to the size and complexity of such entity’s business and, in the case of entities that issue credit or debit cards, to assess the validity of, and communicate with cardholders regarding address changes. They are also required to provide for the continued administration of identity theft policies and procedures.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 1681	View Law

Pub.L. 111 - 203 124 Stat. 1376 (2010)	View Law

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Application for Approval to Participate in Federal Student Aid Programs

Key Information

Abstract

Section 487(c) of the Higher Education Act (HEA) of 1965, as amended, requires that the Secretary of Education prescribe regulations to ensure that any funds postsecondary institutions receive under the HEA are used solely for the purposes specified in and in accordance with the provision of the applicable programs. The One Big Beautiful Bill Act (OBBBA), signed into law on July 4, 2025, made statutory changes to Federal Pell Grants that impact regulatory requirements proposed in this information collection. Section 83002(b) of the OBBB established a new academic program in which eligible students can receive Pell Grants. Programs must meet several criteria to become eligible workforce programs which the Department must obtain, review and maintain as outlined in the law and regulations. This is a request for a revision of 1845-0012 to add Eligible Workforce Programs to the Application. There have been no other changes to the collection since the last ICR approved by OMB on 03/31/2026. All additional burden currently assessed to this collection remain the same.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

20 USC 1094,1099c	View Law

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Pacific Coast Groundfish Trawl Rationalization Program Permit and License Information Collection

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Abstract

This request is for a revision and extension of a current information collection. The Magnuson-Stevens Fishery Conservation and Management Act (MSA), 16 U.S.C. 1801 et seq., authorizes Fishery Management Councils to prepare and amend fishery management plans (FMP) for any fishery in waters under its jurisdiction. The National Oceanic and Atmospheric Administration (NOAA) National Marine Fisheries Service (NMFS) manages the groundfish fishery in the Exclusive Economic Zone (EEZ), the area 3-200 mile zone off the Washington, Oregon, and California coasts. The Pacific Fishery Management Council (Council) began developing a trawl rationalization program, a catch share program, for the Pacific coast groundfish limited entry trawl fishery in 2003. The program is composed of three sectors, as follows: 1) the shore based individual fishing quota (IFQ) sector, 2) the at-sea whiting mothership (MS) sector, and 3) the at- sea whiting catcher/processor (C/P) sector. The shore based IFQ sector consists of quota share (QS) permit owners, catcher vessels that are registered to limited entry trawl permits, have vessel accounts, fish for quota pounds (QP), and first receiver site license (FRSL) holders who receive the shore based IFQ landings. The at-sea trawl fleets catch and process Pacific whiting (whiting) with midwater trawl gear. In the MS sector, mothership catcher vessels (MS/CVs) harvest the whiting and deliver the catch to large MS vessels, where it is sorted and processed at-sea. One or more MS coops may form and/or vessels may fish in a non-cooperative fishery. Both coop and non-coop fishery vessels pool their harvest together. In the C/P sector, C/P vessels catch and process whiting at-sea under a single C/P coop. This revision will include the removal of three ICs: Catch monitoring plans / First Receivers Preparation & Submission, Catch monitoring plans / First Receivers Inspection, & Shore based scales / First Receivers Inspection. The removal of these ICs is necessary because they are encompassed in the First Receiver Site License Application Form. This action decreases the duplicate actions and burden to fill out said forms.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 94 - 265 303	View Law

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Specific Authorization for Disclosure of Financial Information (DCSA 343) and Specific Authorization for Release of Behavioral Health and Related Medical Information (DCSA 344)

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Abstract

The information collected on the 343 and 344 is used for Federal and Federal contract employment that allows consent for DCSA to access certain financial and medical records which are protected under the provisions of the Right to Financial Privacy Act and the Health Insurance Portability and Accountability Act.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 115 - 91 925	View Law

Presidential Action:

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Best Interest Determination - Prison Education Program

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Abstract

The Prison Education Program (PEP) is authorized under section 484(t) of the Higher Education Act of 1965, as amended (HEA) with the requirements for participation outlined in 34 CFR 668, Subpart P, effective July 1, 2023. The regulatory requirements are for a school to offer a PEP to confined or incarcerated individuals. This is a request for a new information collection to develop a form for Oversight Entities to have a mechanism to report the Best Interest Determination for every PEP under their jurisdiction as required under 34 CFR 668.241. This is an optional form which includes the required elements and is being offered for ease of reporting by the appropriate Oversight Entities. Oversight Entities include the appropriate State department of corrections or other entity responsible for overseeing correctional facilities or the Federal Bureau of Prisons. Once completed by the Oversight Entities, the report is forwarded to the institution which in turn will file the report with the Department of Education.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

20 USC 1091	View Law

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Form for Maintenance of Effort Waiver Requests

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Abstract

Section 8521(a) of the Elementary and Secondary Education Act of 1965, as amended by the Every Student Succeeds Act (ESEA) provides that a local educational agency (LEA) may receive funds under Title I, Part A and other ESEA “covered programs” for any fiscal year only if the State educational agency (SEA) finds that either the combined fiscal effort per student or the aggregate expenditures of the LEA and the State with respect to the provision of free public education by the LEA for the preceding fiscal year was not less than 90 percent of the combined fiscal effort or aggregate expenditures for the second preceding fiscal year. This provision is the maintenance of effort (MOE) requirements for LEAs under the ESEA. If an LEA fails to meet the MOE requirement, under section 8521(b) of the ESEA, the SEA must reduce the amount of funds allocated under the programs covered by the MOE requirement in any fiscal year in the exact proportion by which the LEA fails to maintain effort by falling below 90 percent of either the combined fiscal effort per student or aggregate expenditures, if the LEA has also failed to maintain effort for 1 or more of the 5 immediately preceding fiscal years. In reducing an LEA’s allocation because it failed to meet the MOE requirement, the SEA uses the measure most favorable to the LEA. Section 8521(c) gives the U.S. Department of Education (ED) the authority to waive the ESEA's MOE requirement for an LEA if it would be equitable to grant the waiver due to an exceptional or uncontrollable circumstance such as a natural disaster or a change in the organizational structure of the LEA or a precipitous decline in the LEA's financial resources. If an MOE waiver is granted, the reduction required by section 8521(b) does not occur for that year. A request for a waiver of the MOE requirement is discretionary. Only an LEA that has failed to maintain effort and that believes its failure justifies a waiver would request one. To review an MOE waiver request, ED relies primarily on expenditure, revenue, and other data relevant to an LEA’s request provided by the SEA. To assist an SEA with submitting this information, ED developed an MOE waiver form as part of the 2009 Title I, Part A Waiver Guidance, which covered a range of waivers that ED invited at that time. The purpose of this request is to renew approval for the MOE waiver form. This collection includes burden at the SEA level.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

20 USC 8521	View Law

Presidential Action:

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Campus Program Grantee Needs and Progress Assessment Tool

Key Information

Abstract

The Grantee Needs and Progress Assessment Tool will be used to determine the training and technical assistance needs of Campus Program grantees – both new and continuation grantees – throughout the life of the grant award as well measure the development of the capacity of grantees to respond and prevent violence against women on their campuses. In addition, the tool will help campuses and OVW document the impact of their grant- funded work, promote sustainability of important intervention and prevention activities, and provide outcome-based information throughout the life of the grant to help OVW –funded technical assistance providers and grantees make changes to the goals and objectives necessary to achieve the statutory intent when Congress authorized the Campus Program.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

34 USC 20125	View Law

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National Incident-Based Reporting System (NIBRS)

Key Information

Abstract

Under Title 28, United States Code (U.S.C.), Section (§) 534 and 34 U.S.C. § 41303, this collection requests incident-based data from law enforcement agencies in order for the FBI UCR Program to collect and disseminate NIBRS data.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Presidential Action:

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The Recognition Process for Accrediting Agencies, State Approval Agencies; Evaluation of Foreign Medical, and Foreign Veterinary Accrediting Agencies(e-Recognition)

Key Information

Abstract

The United States (U.S.) Secretary of Education (the Secretary) is required by law to publish a list of nationally recognized accrediting agencies that have been determined to be reliable authorities regarding the quality of education or training offered by the institutions or programs they accredit. The system is the e-Recognition system. In determining whether a specific agency should be recognized, the Secretary evaluates the submission for compliance with the criteria for Recognition contained in regulations. The collection of information is necessary for the Secretary to evaluate compliance with each of the criteria and to monitor the continued compliance with the criteria during any period of recognition granted. The authority for collecting this information is contained in the Higher Education Act of 1965, as amended § 496 (HEA), and implementing regulations at 34 CFR § 602. The data is required in order for recognized accrediting agencies to demonstrate compliance with 34 CFR § 602. The Secretary will use these criteria in determining whether an accrediting agency is a reliable authority as to the quality of education or training provided by institutions of higher education they accredit. The data is required by State Agencies for the approval of Vocational Education to demonstrate compliance with 34 CFR § 603. The Secretary will use these criterial to determine whether a State Agency for the Approval of Vocational Education is a reliable authority as to the quality of education or training provided by the vocational institutions of higher education they accredit. The data is also required in order for State approval Agencies for Nurse Education to demonstrate compliance with the criteria and procedures for recognition of State Agencies for Approval of Nurse Education. The Secretary will use these criteria in determining whether a State agency is a reliable authority as to the quality of training offered by schools of nursing.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

20 USC 1099b	View Law

Presidential Action:

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Request Type:

Accrediting Agencies Reporting Activities for Institutions and Programs - Database of Accredited Postsecondary Institution and Programs (DAPIP)

Key Information

Abstract

Sections 496(a)(7) (a)(8) (c)(7) and (c)(8) of the Higher Education Act (HEA) and federal regulations at 34 CFR 34 CFR § § 602.26 and 602.27 contain certain requirements for reporting by recognized accrediting agencies to the Department on the institutions and programs the agencies accredit. This collection specifies the required and requested reporting. It also discusses the channel for reporting this information and reporting information the accrediting agency may wish to submit voluntarily to ensure that the Department's Database of Accredited Postsecondary Institutions and Programs is accurate and comprehensive.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

20 USC 1099b	View Law

Presidential Action:

Title:

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Request Type:

Third Party Servicer Data Collection

Key Information

Abstract

The Department is seeking a reinstatement with change of information collection 1845-0130, covering a Third-Party Servicer Data Inquiry form. This form collects information from third party servicers. The HEA allows institutions of higher education to outsource aspects of their participation in Title IV programs. Any individual or entity that contracts with or performs work on behalf of an institution to administer any aspect of that institution’s responsibilities required under the Title IV programs is defined as a third-party servicer. The Title IV regulations authorize the Department to provide oversight of third-party servicers, which are subject to the highest standard of care and diligence in their administration of Title IV programs. (34 CFR 668.2) The information collected through the Third-Party Servicer Data Inquiry form allows the Department to identify institutions of higher education that are failing to report or incorrectly reporting third-party servicer information; to monitor and enforce third-party servicer compliance with annual audit requirements; to identify other persons or organizations that contract with a third-party servicer to assist with any aspect of the administration of a Title IV program on behalf of the third-party servicer or its clients; and to effectively coordinate third-party servicer program review assessments

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

20 USC 1094	View Law

Presidential Action:

Title:

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Action:

Request Type:

State Educational Agency, Local Educational Agency, and School Data Collection and Reporting under ESEA, Title I, Part A

Key Information

Abstract

Title I, Part A (Title I) of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the Every Student Succeeds Act of 2015 (ESSA), contains several provisions that require State educational agencies (SEAs), local educational agencies (LEAs), and schools to collect and disseminate information. Thus, SEAs, LEAs, and schools collect and disseminate the information to carry out these reporting requirements. The collected information facilitates compliance with statutory requirements and to provides information to school communities (including parents), LEAs, SEAs and the U.S. Department of Education (the Department) regarding activities required under Title I of the ESEA. The Paperwork Reduction Act (PRA) covers these activities. However, the present information collection authorization is due to expire. Therefore, the Department requests an extension of the currently approved information collection (1810-0581).

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 114 - 95 1111	View Law

Presidential Action:

Title:

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Request Type:

Swap Recordkeeping Requirements

Key Information

Abstract

The CFTC requests approval for the renewal of the information collections associated with the Swap Recordkeeping regulations under OMB Clearance No. 3038-0090. The information collection obligations imposed by the “Adaptation of Regulations to Incorporate Swaps” regulations are necessary to implement section 721 of the Dodd-Frank Act, which amended the definitions of futures commission merchant (“FCM”) and introducing broker (“IB”) to permit these intermediaries to trade swaps on behalf of customers. They also are necessary to implement section 733 of the Dodd-Frank Act which introduced swap execution facilities (“SEFs”) as a new trading platform for swaps. As a result of the enactment of sections 721 and 733, the Commission amended certain recordkeeping regulations (1.31, 1.33, 1.35, 1.37, and 1.39) so that records of swap transactions are maintained analogously to how futures transactions are maintained. Further, the “Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities” regulation amended the Commission’s swap dealer definition to permit a person to exclude “utility operations-related swaps” with “utility special entities” in their de minimis threshold calculations. The regulation requires a person claiming the exclusion to maintain in accordance with Commission regulation 1.31 any written representations that the person receives from utility special entities related to this exclusion.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

7 USC 6r, 6s, 7, 7a-1, 7a-2, 7b	View Law

7 USC 6h, 6i, 6k, 6l, 6m, 6n, 6o, 6p	View Law

7 USC 7b-3, 8, 9, 10a, 12, 12a, 12c	View Law

Pub.L. 111 - 203 124 Stat. 1376 (2010)	View Law

7 USC 13a, 13a-1, 16, 16a, 19, 21	View Law

7 USC 23 and 24	View Law

7 USC 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g	View Law

7 USC 1a, 2, 5	View Law

Presidential Action:

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Concluded:

Action:

Request Type:

Study of Warning Devices for Stopped Commercial Motor Vehicles

Key Information

Abstract

FMCSA is seeking Office of Management and Budget (OMB) approval of a new information collection entitled “Study of Warning Devices for Stopped Commercial Motor Vehicles.” Participation in the study is voluntary, so in the event of participation, no small business will have an imposed burden that it is not willing to bear. Information collection activities are planned for an 18-month period. Parked or disabled commercial motor vehicles (PDCMVs) on the road negatively impact traffic operations and safety. FMCSA requires specific warning devices to be carried on all commercial motor vehicles (CMVs) and, except in the case of necessary traffic stops, be deployed near the vehicle whenever it is stopped on the road or shoulder. Advances in automated driving system (ADS) technology have raised critical questions regarding potential barriers to regulatory compliance with warning device safety standards and regulations which reference a “driver.” Alternative types of warning devices developed by industry, including those intended to increase driver safety during device deployment, have resulted in multiple applications for exemption from the corresponding safety regulations. These recent issues related to warning device requirements also call attention to unresolved questions of how and to what extent the use of such devices improves traffic safety. Given the increasing focus on ADS, questions surrounding the safety of CMV drivers when deploying warning devices, and the availability of new technology and alternative devices, there is a need to thoroughly evaluate the use of warning devices under current regulations. FMCSA has established a contract with Virginia Tech Transportation Institute (VTTI) to collect the information associated with this ICR. Under indirect oversight of an FMCSA Contracting Officer’s Representative, experienced VTTI research staff will perform all data collection activities described in this ICR. The findings will contribute to safety by ensuring that FMCSA’s decisions and regulations are data-driven and based on safety. FMCSA’s purpose for collecting this information is to develop an understanding of whether and to what extent the deployment of warning devices near a stopped commercial motor vehicle affects the driving behavior of passing motorists, and those elements of driving behavior which have the potential to influence the likelihood of a crash involving the stopped vehicle.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

49 USC 31133	View Law

49 USC 31136	View Law

49 USC 31502	View Law

49 USC 31108	View Law

49 USC 504	View Law

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Form N-PX under the Investment Company Act of 1940, Annual Report of Proxy Voting Record

Key Information

Abstract

Registered management investment companies use Form N-PX to file annual reports with the Commission containing their complete proxy voting record for the most recent twelve-month period ended June 30. Institutional investment managers also use Form N-PX to file annual reports with the Commission containing their executive compensation proxy voting record.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 78n-1	View Law

15 USC 80a-29	View Law

Presidential Action: