80 FR 67826 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 212 (November 3, 2015)

Page Range		67826-67827
FR Document		2015-27906

Federal Register, Volume 80 Issue 212 (Tuesday, November 3, 2015)

[Federal Register Volume 80, Number 212 (Tuesday, November 3, 2015)]
[Notices]
[Pages 67826-67827]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2015-27906]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: U.S. Securities and
Exchange Commission, Office of FOIA Services, 100 F Street NE.,
Washington, DC 20549-2736.

Reinstatement: Rule 19h-1;
SEC File No. 270-247; OMB Control No. 3235-0259.

Notice by a Self-Regulatory Organization of Proposed Admission to
or Continuance in Membership or Participation or Association With a
Member of Any Person Subject to a Statutory Disqualification, and
Applications to the Commission for Relief Therefrom
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 proposed
request for reinstatement, with change, of a previously approved
collection for which approval has expired--Rule 19h-1, Notice by a
Self-Regulatory Organization of Proposed Admission to or Continuance in
Membership or Participation or Association With a Member of Any Person
Subject to a Statutory Disqualification, and Applications to the
Commission for Relief Therefrom (17 CFR 240.19h-1). The Commission
plans to submit this request for reinstatement to the Office of
Management and Budget (``OMB'') for approval.
Rule 19h-1 (``Rule'') under the Securities Exchange Act of 1934
(the ``Exchange Act'') prescribes the form and content of notices and
applications by self-regulatory organizations (``SROs'') regarding
proposed admissions to, or continuances in, membership, participation
or association with a member of any person subject to a statutory
disqualification.
The Commission uses the information provided in the submissions
filed pursuant to Rule 19h-1 to review decisions of SROs to permit the
entry into or continuance in the securities business of persons who
have committed serious misconduct. The filings submitted pursuant to
the Rule also permit inclusion of an application to the Commission for
consent to associate with a member of an SRO notwithstanding a
Commission order barring such association.
The Commission reviews filings made pursuant to the Rule to
ascertain whether it is in the public interest to permit the employment
in the securities business of persons subject to a statutory
disqualification. The filings contain information that is essential to
the staff's review and ultimate determination on whether an association
or employment is in the public interest and consistent with investor
protection. Without these filings, persons subject to a statutory
disqualification could reenter or continue employment in the securities
business without the Commission's critical review of their character,
ability to act as a fiduciary, and their employer's plan of
supervision. The failure to collect and review this information could
result in significant harm to the investing public.
The Commission estimates the annual burden of responding to this
collection of information is as follows.

Burden Hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
19h-1(a)--Notice of
admission or 19h-1(a)(4)--Notification of 19h-1(d)--Application to
continuance proposed admission or 19h-1(b)--Preliminary the Commission for relief
notwithstanding a continuance pursuant to an notifications from certain statutory
statutory exception from the notice disqualifications
disqualification requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated number of respondents =... 20..................... 20............................. 20......................... 20.
Estimated number of annual responses 11..................... 9.............................. 28......................... 5.
per respondent =.
Estimated annual reporting burden 80..................... 80............................. 13......................... 80.
per response =.
-------------------------------------------------------------------------------------------------------------------
Estimated total annual reporting 17,600 (20 respondents 14,400 (20 respondents x 9 7,280 (20 respondents x 28 8,000 (20 respondents x 5
burden =. x 11 annual responses annual responses per annual responses per annual responses per
per respondent x 80 respondent x 80 hours per respondent x 13 hours per respondent x 80 hours per
hours per respondent). respondent). respondent). respondent).
--------------------------------------------------------------------------------------------------------------------------------------------------------

Written comments are invited on: (a) Whether this 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 information on
respondents, including through the use of automated collection
techniques or other forms of information technology.
The Commission may not conduct or sponsor a collection of
information unless it displays a currently valid 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.
Persons submitting comments on the collection of information
requirements should direct them 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. Comments should reference SEC File

[[Page 67827]]

No. 270-247. Requests for materials submitted to OMB by the Commission
with regard to this collection of information should be in writing,
with reference to SEC File No. 270-247. Comments must be submitted to
the SEC within 60 days of this notice.

Dated: October 28, 2015.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-27906 Filed 11-2-15; 8:45 am]
BILLING CODE 8011-01-P

67826 Federal Register / Vol. 80, No. 212 / Tuesday, November 3, 2015 / Notices

filing also will be available for Participation or Association With a The Commission uses the information
inspection and copying at the principal Member of Any Person Subject to a provided in the submissions filed
offices of the Exchange. All comments Statutory Disqualification, and pursuant to Rule 19h–1 to review
received will be posted without change; Applications to the Commission for decisions of SROs to permit the entry
the Commission does not edit personal Relief Therefrom into or continuance in the securities
identifying information from Notice is hereby given that, pursuant business of persons who have
submissions. You should submit only to the Paperwork Reduction Act of 1995 committed serious misconduct. The
information that you wish to make (44 U.S.C. 3501 et seq.), the Securities filings submitted pursuant to the Rule
available publicly. All submissions also permit inclusion of an application
and Exchange Commission
should refer to File Number SR–NYSE– to the Commission for consent to
(‘‘Commission’’) is soliciting comments
2015–49, and should be submitted on or associate with a member of an SRO
on the proposed request for
before November 24, 2015. notwithstanding a Commission order
reinstatement, with change, of a
For the Commission, by the Division of barring such association.
previously approved collection for
Trading and Markets, pursuant to delegated The Commission reviews filings made
which approval has expired—Rule 19h–
authority.23 pursuant to the Rule to ascertain
1, Notice by a Self-Regulatory
Robert W. Errett, whether it is in the public interest to
Organization of Proposed Admission to
Deputy Secretary. permit the employment in the securities
or Continuance in Membership or
[FR Doc. 2015–27911 Filed 11–2–15; 8:45 am]
business of persons subject to a
Participation or Association With a
statutory disqualification. The filings
BILLING CODE 8011–01–P Member of Any Person Subject to a
contain information that is essential to
Statutory Disqualification, and the staff’s review and ultimate
Applications to the Commission for determination on whether an
SECURITIES AND EXCHANGE Relief Therefrom (17 CFR 240.19h–1).
COMMISSION association or employment is in the
The Commission plans to submit this public interest and consistent with
request for reinstatement to the Office of investor protection. Without these
Submission for OMB Review;
Management and Budget (‘‘OMB’’) for filings, persons subject to a statutory
Comment Request
approval. disqualification could reenter or
Upon Written Request Copies Available Rule 19h–1 (‘‘Rule’’) under the continue employment in the securities
From: U.S. Securities and Exchange Securities Exchange Act of 1934 (the business without the Commission’s
Commission, Office of FOIA Services, ‘‘Exchange Act’’) prescribes the form critical review of their character, ability
100 F Street NE., Washington, DC and content of notices and applications to act as a fiduciary, and their
20549–2736. by self-regulatory organizations employer’s plan of supervision. The
Reinstatement: Rule 19h–1; (‘‘SROs’’) regarding proposed failure to collect and review this
SEC File No. 270–247; OMB Control No. admissions to, or continuances in, information could result in significant
3235–0259. membership, participation or harm to the investing public.
Notice by a Self-Regulatory association with a member of any The Commission estimates the annual
Organization of Proposed Admission to person subject to a statutory burden of responding to this collection
or Continuance in Membership or disqualification. of information is as follows.
BURDEN HOURS
19h–1(a)(4)—Notification of
19h–1(a)—Notice of 19h–1(d)—Application to the
proposed admission or con-
admission or continuance 19h–1(b)—Preliminary Commission for relief from
tinuance pursuant to an ex-
notwithstanding a statutory notifications certain statutory
ception from the
disqualification disqualifications
notice requirements

Estimated number of respondents = .......... 20 ........................................ 20 ........................................ 20 ........................................ 20.
Estimated number of annual responses 11 ........................................ 9 .......................................... 28 ........................................ 5.
per respondent =.
Estimated annual reporting burden per re- 80 ........................................ 80 ........................................ 13 ........................................ 80.
sponse =.

Estimated total annual reporting bur- 17,600 (20 respondents × 14,400 (20 respondents × 9 7,280 (20 respondents × 28 8,000 (20 respondents × 5
den =. 11 annual responses per annual responses per re- annual responses per re- annual responses per re-
respondent × 80 hours spondent × 80 hours per spondent × 13 hours per spondent × 80 hours per
per respondent). respondent). respondent). respondent).

Written comments are invited on: (a) collection of information on subject to the PRA that does not display
Whether this collection of information respondents, including through the use a valid OMB control number.
is necessary for the proper performance of automated collection techniques or Persons submitting comments on the
of the functions of the agency, including other forms of information technology. collection of information requirements
whether the information will have The Commission may not conduct or should direct them to Pamela Dyson,
mstockstill on DSK4VPTVN1PROD with NOTICES

practical utility; (b) the accuracy of the sponsor a collection of information Director/Chief Information Officer,
agency’s estimate of the burden imposed unless it displays a currently valid Securities and Exchange Commission,
by the collection of information; (c) control number. No person shall be c/o Remi Pavlik-Simon, 100 F Street
ways to enhance the quality, utility, and NE., Washington, DC 20549, or send an
subject to any penalty for failing to
clarity of the information collected; and email to: PRA_Mailbox@sec.gov.
comply with a collection of information
(d) ways to minimize the burden of the Comments should reference SEC File

23 17 CFR 200.30–3(a)(12).

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Federal Register / Vol. 80, No. 212 / Tuesday, November 3, 2015 / Notices 67827

No. 270–247. Requests for materials change to list and trade shares of the 100 F Street NE., Washington, DC
submitted to OMB by the Commission Global Currency Gold Fund under 20549–2736.
with regard to this collection of NYSE Arca Equities Rule 8.201. The Extension: Rule 17Ad–2(c), (d), and (h); SEC
information should be in writing, with proposed rule change was published for File No. 270–149, OMB Control No.
reference to SEC File No. 270–247. comment in the Federal Register on 3235–0130.
Comments must be submitted to the September 16, 2015.3 On September 29,
SEC within 60 days of this notice. 2015, the Exchange filed Amendment Notice is hereby given that pursuant
No. 1 to the proposed rule change.4 to the Paperwork Reduction Act of 1995
Dated: October 28, 2015. (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
Robert W. Errett,
Section 19(b)(2) of the Act 5 provides
that, within 45 days of the publication Securities and Exchange Commission
Deputy Secretary. (‘‘Commission’’) is soliciting comments
of notice of the filing of a proposed rule
[FR Doc. 2015–27906 Filed 11–2–15; 8:45 am]
change, or within such longer period up on the existing collection of information
BILLING CODE 8011–01–P to 90 days as the Commission may provided for in Rule 17Ad–2(c), (d), and
designate if it finds such longer period (h), (17 CFR 240.17Ad–2(c), (d), and
to be appropriate and publishes its (h)), under the Securities Exchange Act
SECURITIES AND EXCHANGE reasons for so finding or as to which the of 1934 (15 U.S.C. 78a et seq.). The
COMMISSION self-regulatory organization consents, Commission plans to submit this
[Release No. 34–76156; File No. SR–BYX– the Commission shall either approve the existing collection of information to the
2015–43] proposed rule change, disapprove the Office of Management and Budget
proposed rule change, or institute (‘‘OMB’’) for extension and approval.
Self-Regulatory Organizations; BATS proceedings to determine whether the Rule 17Ad–2(c), (d), and (h)
Y-Exchange, Inc.; Notice of Filing and proposed rule change should be enumerates the requirements with
Immediate Effectiveness of a Proposed disapproved. The Commission is which registered transfer agents must
Rule Change To Amend Rule 3.22, extending this 45-day time period. The comply to inform the Commission or the
Concerning Gifts and Gratuities in Commission finds that it is appropriate appropriate regulator of a transfer
Relation to the Business of the to designate a longer period within agent’s failure to meet the minimum
Employer of the Recipient, and which to take action on the proposed performance standards set by the
Renaming the Rule ‘‘Influencing or rule change so that it has sufficient time Commission rule by filing a notice.
Rewarding Employees of Others’’ to consider the proposed rule change. The Commission receives
October 15, 2015.
Accordingly, the Commission, approximately 3 notices a year pursuant
pursuant to Section 19(b)(2) of the Act,6 to Rule 17Ad–2(c), (d), and (h). The
Correction designates December 15, 2015, as the estimated annual time burden of these
In notice document 2015–26577, date by which the Commission shall filings on respondents is minimal in
appearing on pages 63624–63626 in the either approve or disapprove or institute view of: (a) The readily available nature
issue of Tuesday, October 20, 2015, proceedings to determine whether to of most of the information required to be
make the following correction: disapprove the proposed rule change included in the notice (since that
On page 63626, in the third column, (File Number SR–NYSEArca–2015–76). information must be compiled and
in the twenty-eighth line from the top, For the Commission, by the Division of retained pursuant to other Commission
‘‘October 23, 2015’’ should read Trading and Markets, pursuant to delegated rules); and (b) the summary fashion in
‘‘November 10, 2015’’. authority.7 which such information must be
[FR Doc. C1–2015–26577 Filed 11–2–15; 8:45 am] Robert W. Errett, presented in the notice (most notices are
Deputy Secretary. one page or less in length). In light of
BILLING CODE 1505–01–D
[FR Doc. 2015–27910 Filed 11–2–15; 8:45 am] the above, and based on the experience
BILLING CODE 8011–01–P
of the staff regarding the notices, the
SECURITIES AND EXCHANGE Commission staff estimates that, on
COMMISSION average, most notices require
SECURITIES AND EXCHANGE approximately one-half hour to prepare.
[Release No. 34–76291; File No. SR– COMMISSION Thus, the Commission staff estimates
NYSEArca–2015–76] that the industry-wide total time burden
Proposed Collection; Comment is approximately 1.5 hours.
Self-Regulatory Organizations; NYSE Request Written comments are invited on: (a)
Arca, Inc.; Notice of Designation of a
Whether the proposed collection of
Longer Period for Commission Action Upon Written Request, Copies Available
information is necessary for the proper
on a Proposed Rule Change To List From: Securities and Exchange
performance of the functions of the
and Trade Shares of the Global Commission, Office of FOIA Services,
Commission, including whether the
Currency Gold Fund Under NYSE Arca
information shall have practical utility;
Equities Rule 8.201 3 See Securities Exchange Act Release No. 75900

(September 11, 2015), 80 FR 55674 (SR–NYSEArca– (b) the accuracy of the Commission’s
October 28, 2015. 2015–76). estimates of the burden of the proposed
On August 28, 2015, NYSE Arca, Inc. 4 In Amendment No. 1, the Exchange: (1)
collection of information; (c) ways to
identified weightings of each currency referenced in enhance the quality, utility, and clarity
(the ‘‘NYSE Arca’’ or ‘‘Exchange’’) filed the Index; (2) supplemented its description of the
mstockstill on DSK4VPTVN1PROD with NOTICES

with the Securities and Exchange method of calculation for the Spot Rate; (3) clarified of the information on respondents; and
Commission (‘‘Commission’’), pursuant when the Fund may suspend the right of (d) ways to minimize the burden of the
to Section 19(b)(1) of the Securities redemption or postpone the redemption settlement collection of information on
date. Amendment No. 1 is available at: http:// respondents, including through the use
Exchange Act of 1934 (‘‘Act’’) 1 and Rule www.sec.gov/rules/sro/nysearca/2015/34-75900-
19b–4 thereunder,2 a proposed rule amendment1.pdf. of automated collection techniques or
5 15 U.S.C. 78s(b)(2). other forms of information technology.
1 15 U.S.C. 78s(b)(1). 6 Id. Consideration will be given to
2 17 CFR 240.19b–4. 7 17 CFR 200.30–3(a)(31). comments and suggestions submitted in

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Document Created: 2018-03-01 11:32:32
Document Modified: 2018-03-01 11:32:32

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 67826