80 FR 71906 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 221 (November 17, 2015)

Page Range		71906-71907
FR Document		2015-29203

Federal Register, Volume 80 Issue 221 (Tuesday, November 17, 2015)

[Federal Register Volume 80, Number 221 (Tuesday, November 17, 2015)]
[Notices]
[Pages 71906-71907]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-29203]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-101, OMB Control No. 3235-0082]


Submission for OMB Review; 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: Form 11-K.

    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 this request for extension of the previously approved 
collection of information discussed below.
    Form 11-K (17 CFR 249.311) is the annual report designed for use by 
employee stock purchase, savings and similar plans to comply with the 
reporting requirements under Section 15(d) of the Securities and 
Exchange Act of 1934 (the ``Exchange Act'') (15 U.S.C. 78o(d)). Section 
15(d) establishes a periodic reporting obligation for every issuer of 
securities registered under the Securities Act of 1933 (the 
``Securities Act'')(15 U.S.C. 77a et seq.). Form 11-K provides 
employees of an issuer with financial information so that they can

[[Page 71907]]

assess the performance of the stock plan or investment vehicle. The 
information collected must be filed with the Commission and is publicly 
available. Form 11-K takes approximately 30 hours per response and is 
filed by 1,761 respondents for total of 52,830 burden hours (30 hours 
per response x 1,761 responses).
    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.
    The public may view the background documentation for this 
information collection at the following Web site, www.reginfo.gov. 
Comments should be directed to: (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 by sending an email to: 
Shagufta_Ahmed@omb.eop.gov; and (ii) 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 must be submitted to OMB within 30 
days of this notice.

    Dated: November 10, 2015.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-29203 Filed 11-16-15; 8:45 am]
 BILLING CODE 8011-01-P

71906 Federal Register / Vol. 80, No. 221 / Tuesday, November 17, 2015 / Notices

system, and, in general to protect become effective pursuant to Section provisions of 5 U.S.C. 552, will be
investors and the public interest. The 19(b)(3)(A)(iii) of the Act 13 and available for Web site viewing and
Exchange believes that the requirements subparagraph (f)(6) of Rule 19b–4 printing in the Commission’s Public
of the Securities Trader and Securities thereunder.14 Reference Room, 100 F Street NE.,
Trader Principal registration categories, At any time within 60 days of the Washington, DC 20549, on official
as well as the new Securities Trader filing of the proposed rule change, the business days between the hours of
qualification examination, should help Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the
ensure that proprietary traders and the temporarily suspend such rule change if filing also will be available for
principals who supervise proprietary it appears to the Commission that such inspection and copying at the principal
traders and proprietary trading are, and action is: (i) Necessary or appropriate in office of the Exchange. All comments
will continue to be, properly trained the public interest; (ii) for the protection received will be posted without change;
and qualified to perform their functions of investors; or (iii) otherwise in the Commission does not edit personal
which should protect investors and the furtherance of the purposes of the Act. identifying information from
public interest. If the Commission takes such action, the submissions. You should submit only
B. Self-Regulatory Organization’s Commission shall institute proceedings information that you wish to make
Statement on Burden on Competition to determine whether the proposed rule available publicly.
should be approved or disapproved. All submissions should refer to File
The Exchange does not believe that Number SR–Phlx–2015–92 and should
the proposed rule change will impose IV. Solicitation of Comments be submitted on or before December 8,
any burden on competition not Interested persons are invited to 2015.
necessary or appropriate in furtherance submit written data, views, and For the Commission, by the Division of
of the purposes of the Act. arguments concerning the foregoing, Trading and Markets, pursuant to delegated
Implementation of the proposed including whether the proposed rule authority.15
changes to Phlx’s registration rules in change is consistent with the Act. Robert W. Errett,
coordination with the FINRA Comments may be submitted by any of Deputy Secretary.
Amendments does not present any the following methods: [FR Doc. 2015–29213 Filed 11–16–15; 8:45 am]
competitive issues, but rather is
designed to provide less burdensome Electronic Comments BILLING CODE 8011–01–P

and more efficient regulatory • Use the Commission’s Internet
compliance for members and enhance comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE
the ability of the Exchange to fairly and rules/sro.shtml); or COMMISSION
efficiently regulate members, which will • Send an email to rule-comments@
further enhance competition. sec.gov. Please include File Number SR– [SEC File No. 270–101, OMB Control No.
Additionally, the proposed rule change Phlx–2015–92 on the subject line. 3235–0082]
should not affect intramarket
competition because all similarly Paper Comments Submission for OMB Review;
situated representatives and principals • Send paper comments in triplicate Comment Request
will be required to complete the same to Brent J. Fields, Secretary, Securities Upon Written Request Copies Available
qualification examinations and maintain and Exchange Commission, 100 F Street From: Securities and Exchange
the same registrations. Finally, the NE., Washington, DC 20549–1090. Commission, Office of FOIA Services,
proposed rule change does not impose All submissions should refer to File 100 F Street NE., Washington, DC
any additional examination burdens on Number SR–Phlx–2015–92. This file 20549–2736.
persons who are already registered. number should be included on the Extension: Form 11–K.
There is no obligation to take the subject line if email is used. To help the
proposed Series 57 examination in order Commission process and review your Notice is hereby given that, pursuant
to continue in their present duties, so comments more efficiently, please use to the Paperwork Reduction Act of 1995
the proposed rule change is not only one method. The Commission will (44 U.S.C. 3501 et seq.), the Securities
expected to disadvantage current post all comments on the Commission’s and Exchange Commission
registered persons relative to new Internet Web site (http://www.sec.gov/ (‘‘Commission’’) has submitted to the
entrants in this regard. rules/sro.shtml). Office of Management and Budget this
Copies of the submission, all request for extension of the previously
C. Self-Regulatory Organization’s approved collection of information
Statement on Comments on the subsequent amendments, all written
statements with respect to the proposed discussed below.
Proposed Rule Change Received From Form 11–K (17 CFR 249.311) is the
Members, Participants, or Others rule change that are filed with the
annual report designed for use by
Commission, and all written
No written comments were either employee stock purchase, savings and
communications relating to the
solicited or received. similar plans to comply with the
proposed rule change between the
reporting requirements under Section
III. Date of Effectiveness of the Commission and any person, other than
15(d) of the Securities and Exchange Act
Proposed Rule Change and Timing for those that may be withheld from the
of 1934 (the ‘‘Exchange Act’’) (15 U.S.C.
Commission Action public in accordance with the
78o(d)). Section 15(d) establishes a
mstockstill on DSK4VPTVN1PROD with NOTICES

Because the foregoing proposed rule 13 15
periodic reporting obligation for every
U.S.C. 78s(b)(3)(a)(iii).
change does not: (i) Significantly affect 14 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– issuer of securities registered under the
the protection of investors or the public 4(f)(6) requires a self-regulatory organization to give Securities Act of 1933 (the ‘‘Securities
interest; (ii) impose any significant the Commission written notice of its intent to file Act’’)(15 U.S.C. 77a et seq.). Form 11–
burden on competition; and (iii) become the proposed rule change at least five business days K provides employees of an issuer with
prior to the date of filing of the proposed rule
operative for 30 days from the date on change, or such shorter time as designated by the financial information so that they can
which it was filed, or such shorter time Commission. The Exchange has satisfied this
as the Commission may designate, it has requirement. 15 17 CFR 200.30–3(a)(12).

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Document Created: 2015-12-14 14:00:09
Document Modified: 2015-12-14 14:00:09

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 71906