80 FR 21784 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 75 (April 20, 2015)

Page Range		21784-21785
FR Document		2015-08993

Federal Register, Volume 80 Issue 75 (Monday, April 20, 2015)

[Federal Register Volume 80, Number 75 (Monday, April 20, 2015)]
[Notices]
[Pages 21784-21785]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-08993]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; 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:
    Rule 239. SEC File No. 270-638, OMB Control No. 3235-0687.

    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 for extension and approval.
    Rule 239 (17 CFR 230.239) provides exemptions under the Securities 
Act of 1933 (15 U.S.C. 77a et seq.), the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.) and the Trust Indenture Act of 1939 
(U.S.C. 77aaa et seq.) for security-based swaps issued by certain 
clearing agencies satisfying certain conditions. The purpose of the 
information required by Rule 239 is to make certain information about 
security-based swaps that may be cleared by the registered or the 
exempt clearing agencies available to eligible contract participants 
and other market participants. We estimate that each registered or 
exempt clearing agency issuing security-based swaps in its function as 
a central counterparty will spend approximately 2 hours each time it 
provides or update the information in its agreements relating to 
security-based swaps or on its Web site. We estimate that each 
registered or exempt clearing agency will provide or update the 
information approximately 20 times per year. In addition, we estimate 
that 75% of the 2 hours per response (1.5 hours) is prepared internally 
by the clearing agency for a total annual reporting burden of 180 hours 
(1.5 hours per response x 20 times x 6 respondents).
    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 imposed by 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

[[Page 21785]]

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, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid control number.
    Please direct your written comment to Pamela Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email 
to: PRA_Mailbox@sec.gov.

    April 15, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-08993 Filed 4-17-15; 8:45 am]
 BILLING CODE 8011-01-P

21784 Federal Register / Vol. 80, No. 75 / Monday, April 20, 2015 / Notices

of the Act 19 and Rule 19b–4(f)(6)(iii) Comments may be submitted by any of SECURITIES AND EXCHANGE
thereunder.20 the following methods: COMMISSION
A proposed rule change filed
pursuant to Rule 19b–4(f)(6) under the Electronic Comments Proposed Collection; Comment
Act 21 normally does not become Request
• Use the Commission’s Internet
operative for 30 days after the date of its
comment form (http://www.sec.gov/ Upon Written Request Copies Available
filing. However, Rule 19b–4(f)(6)(iii) 22
rules/sro.shtml); or From: Securities and Exchange
permits the Commission to designate a
• Send an email to rule-comments@ Commission, Office of FOIA Services,
shorter time if such action is consistent
sec.gov. Please include File Number SR– 100 F Street NE., Washington, DC
with the protection of investors and the
20549–2736.
public interest. The Exchange has asked BYX–2015–22 on the subject line.
the Commission to waive the 30-day Extension:
operative delay so that the proposal may Paper Comments Rule 239. SEC File No. 270–638, OMB
Control No. 3235–0687.
become operative immediately upon • Send paper comments in triplicate
filing. The Exchange believes that Notice is hereby given that, pursuant
to Brent J. Fields, Secretary, Securities
waiving the 30-day operative delay is to the Paperwork Reduction Act of 1995
and Exchange Commission, 100 F Street
consistent with the protection of (44 U.S.C. 3501 et seq.), the Securities
NE., Washington, DC 20549–1090. and Exchange Commission
investors and the public interest
because it would allow the Exchange to All submissions should refer to File (‘‘Commission’’) is soliciting comments
timely offer investors a new option for Number SR–BYX–2015–22. This file on the collection of information
receiving consolidated volume number should be included on the summarized below. The Commission
information. The Exchange further notes subject line if email is used. To help the plans to submit this existing collection
that other exchanges currently offer Commission process and review your of information to the Office of
similar data products that include comments more efficiently, please use Management and Budget for extension
consolidated volume.23 The only one method. The Commission will and approval.
Commission believes that waiving the Rule 239 (17 CFR 230.239) provides
post all comments on the Commission’s
30-day operative delay is consistent exemptions under the Securities Act of
Internet Web site (http://www.sec.gov/ 1933 (15 U.S.C. 77a et seq.), the
with the protection of investors and the
rules/sro.shtml). Copies of the Securities Exchange Act of 1934 (15
public interest. Therefore, the
submission, all subsequent U.S.C. 78a et seq.) and the Trust
Commission hereby waives the
operative delay and designates the amendments, all written statements Indenture Act of 1939 (U.S.C. 77aaa et
proposed rule change operative upon with respect to the proposed rule seq.) for security-based swaps issued by
filing.24 change that are filed with the certain clearing agencies satisfying
At any time within 60 days of the Commission, and all written certain conditions. The purpose of the
filing of the proposed rule change, the communications relating to the information required by Rule 239 is to
Commission summarily may proposed rule change between the make certain information about
temporarily suspend such rule change if Commission and any person, other than security-based swaps that may be
it appears to the Commission that such those that may be withheld from the cleared by the registered or the exempt
action is necessary or appropriate in the public in accordance with the clearing agencies available to eligible
public interest, for the protection of provisions of 5 U.S.C. 552, will be contract participants and other market
investors, or otherwise in furtherance of available for Web site viewing and participants. We estimate that each
the purposes of the Act. If the printing in the Commission’s Public registered or exempt clearing agency
Commission takes such action, the Reference Room, 100 F Street NE., issuing security-based swaps in its
Commission shall institute proceedings Washington, DC 20549 on official function as a central counterparty will
to determine whether the proposed rule business days between the hours of 10 spend approximately 2 hours each time
should be approved or disapproved. it provides or update the information in
a.m. and 3 p.m. Copies of such filing
its agreements relating to security-based
IV. Solicitation of Comments also will be available for inspection and
swaps or on its Web site. We estimate
Interested persons are invited to copying at the principal office of the
that each registered or exempt clearing
submit written data, views, and Exchange. All comments received will agency will provide or update the
arguments concerning the foregoing, be posted without change; the information approximately 20 times per
including whether the proposed rule Commission does not edit personal year. In addition, we estimate that 75%
change is consistent with the Act. identifying information from of the 2 hours per response (1.5 hours)
submissions. You should submit only is prepared internally by the clearing
19 15 U.S.C. 78s(b)(3)(A). information that you wish to make agency for a total annual reporting
20 17 CFR 240.19b–4(f)(6)(iii). As required under available publicly. All submissions burden of 180 hours (1.5 hours per
Rule 19b–4(f)(6)(iii), the Exchange provided the
Commission with written notice of its intent to file
should refer to File Number SR–BYX– response × 20 times × 6 respondents).
the proposed rule change, along with a brief 2015–22, and should be submitted on or Written comments are invited on: (a)
description and the text of the proposed rule before May 11, 2015. Whether the proposed collection of
change, at least five business days prior to the date information is necessary for the proper
of filing of the proposed rule change, or such For the Commission, by the Division of
shorter time as designated by the Commission. Trading and Markets, pursuant to delegated performance of the functions of the
mstockstill on DSK4VPTVN1PROD with NOTICES

21 17 CFR 240.19b–4(f)(6). authority.25 agency, including whether the
22 17 CFR 240.19b–4(f)(6)(iii).
Brent J. Fields,
information will have practical utility;
23 See supra note 15 (noting that NYSE BQT and (b) the accuracy of the agency’s estimate
NLS Plus carry consolidated volume for all listed Secretary. of the burden imposed by the collection
equities). [FR Doc. 2015–08939 Filed 4–17–15; 8:45 am] of information; (c) ways to enhance the
24 For purposes only of waiving the 30-day

operative delay, the Commission has considered the
BILLING CODE 8011–01–P quality, utility, and clarity of the
proposed rule’s impact on efficiency, competition, information collected; and (d) ways to
and capital formation. See 15 U.S.C. 78c(f). 25 17 CFR 200.30–3(a)(12). minimize the burden of the collection of

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Federal Register / Vol. 80, No. 75 / Monday, April 20, 2015 / Notices 21785

information on respondents, including may submit a license application Form comments and suggestions submitted in
through the use of automated collection N–5 is an integrated registration form writing within 60 days of this
techniques or other forms of information and may be used as the registration publication.
technology. Consideration will be given statement under both the Securities Act Please direct your written comments
to comments and suggestions submitted and the Investment Company Act. The to Pamela Dyson, Director/Chief
in writing within 60 days of this purpose of Form N–5 is to meet the Information Officer, Securities and
publication. filing and disclosure requirements of Exchange Commission, c/o Remi Pavlik-
An agency may not conduct or both the Securities Act and Investment Simon, 100 F Street NE., Washington,
sponsor, and a person is not required to Company Act, and to provide investors DC 20549; or send an email to: PRA_
respond to, a collection of information with information sufficient to evaluate Mailbox@sec.gov.
unless it displays a currently valid an investment in an SBIC. The April 15, 2015.
control number. information that is required to be filed Brent J. Fields,
Please direct your written comment to with the Commission permits Secretary.
Pamela Dyson, Director/Chief verification of compliance with
[FR Doc. 2015–08991 Filed 4–17–15; 8:45 am]
Information Officer, Securities and securities law requirements and assures
BILLING CODE 8011–01–P
Exchange Commission, c/o Remi Pavlik- the public availability and
Simon, 100 F Street NE., Washington, dissemination of the information.
DC 20549 or send an email to: PRA_ The Commission has received one
SECURITIES AND EXCHANGE
Mailbox@sec.gov. filing on Form N–5 in the last three
COMMISSION
years, and we therefore estimate that
April 15, 2015.
SBICs will file about 0.333 filings on [Release No. 34–74727; File No. SR–
Brent J. Fields, NYSEArca–2015–30]
Form N–5 per year. The currently
Secretary. approved burden of Form N–5 is 352
[FR Doc. 2015–08993 Filed 4–17–15; 8:45 am] hours per response. Therefore, the Self-Regulatory Organizations; NYSE
BILLING CODE 8011–01–P number of currently approved aggregate Arca, Inc.; Notice of Filing and
burden hours, when calculated using Immediate Effectiveness of Proposed
the current estimate for number of Rule Change Amending the NYSE Arca
SECURITIES AND EXCHANGE filings is about 117 hours per year. The Options Fee Schedule
COMMISSION currently approved cost burden of Form April 14, 2015.
N–5 is $30,000 per filing. We continue Pursuant to Section 19(b)(1) 1 of the
Proposed Collection; Comment to believe this estimate for Form N–5’s
Request Securities Exchange Act of 1934 (the
cost burden is appropriate. Therefore, ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
Upon Written Request, Copy Available we estimate that the aggregate cost notice is hereby given that on April 9,
From: Securities and Exchange burden, when calculated using the 2015, NYSE Arca, Inc. (‘‘Exchange’’ or
Commission, Office of FOIA Services, Commission’s estimate of 0.333 filings ‘‘NYSE Arca’’) filed with the Securities
100 F Street NE., Washington, DC per year, is about $10,000 in external and Exchange Commission
20549–2736. costs per year. (‘‘Commission’’) the proposed rule
Estimates of average burden hours change as described in Items I, II and III
Extension: and costs are made solely for the
Form N–5, SEC File No. 270–172, OMB below, which Items have been prepared
Control No. 3235–0169.
purposes of the Paperwork Reduction by the self-regulatory organization. The
Act, and are not derived from a Commission is publishing this notice to
Notice is hereby given that, pursuant comprehensive or even representative
to the Paperwork Reduction Act of 1995 solicit comments on the proposed rule
survey or study of the costs of change from interested persons.
(44 U.S.C. 3501 et seq.), the Securities Commission rules and forms.
and Exchange Commission (the Compliance with the collection of I. Self-Regulatory Organization’s
‘‘Commission’’) is soliciting comments information requirements of Form N–5 Statement of the Terms of Substance of
on the collection of information is mandatory. Responses to the the Proposed Rule Change
summarized below. The Commission collection of information will not be The Exchange proposes to amend the
plans to submit this existing collection kept confidential. An agency may not NYSE Arca Options Fee Schedule (‘‘Fee
of information to the Office of conduct or sponsor, and a person is not Schedule’’) in a number of different
Management and Budget (‘‘OMB’’) for required to respond to, a collection of ways as described below. The Exchange
extension and approval. information unless it displays a proposes to implement the fee change
Form N–5 (17 CFR 239.24 and 274.5) currently valid OMB control number. effective April 9, 2015. The text of the
is the form used by small business Written comments are invited on: (a) proposed rule change is available on the
investment companies (‘‘SBICs’’) to Whether the collection of information is Exchange’s Web site at www.nyse.com,
register their securities under the necessary for the proper performance of at the principal office of the Exchange,
Securities Act of 1933 (15 U.S.C. 77a et the functions of the Commission, and at the Commission’s Public
seq.) (‘‘Securities Act’’) and the including whether the information has Reference Room.
Investment Company Act of 1940 (15 practical utility; (b) the accuracy of the
U.S.C. 80a–1 et seq.) (‘‘Investment Commission’s estimate of the burden of II. Self-Regulatory Organization’s
Company Act’’). Form N–5 is the the collection of information; (c) ways to Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
mstockstill on DSK4VPTVN1PROD with NOTICES

registration statement form adopted by enhance the quality, utility, and clarity
the Commission for use by an SBIC that of the information collected; and (d) Change
has been licensed as such under the ways to minimize the burden of the In its filing with the Commission, the
Small Business Investment Act of 1958 collection of information on self-regulatory organization included
or which has received the preliminary respondents, including through the use
approval of the Small Business of automated collection techniques or 1 15 U.S.C. 78s(b)(1).
Administration (‘‘SBA’’) and has been other forms of information technology. 2 15 U.S.C. 78a.
notified by the SBA that the company Consideration will be given to 3 17 CFR 240.19b–4.

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Document Created: 2018-02-21 10:13:01
Document Modified: 2018-02-21 10:13:01

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
FR Citation		80 FR 21784