81 FR 45340 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 134 (July 13, 2016)

Page Range		45340-45340
FR Document		2016-16495

Federal Register, Volume 81 Issue 134 (Wednesday, July 13, 2016)

[Federal Register Volume 81, Number 134 (Wednesday, July 13, 2016)]
[Notices]
[Page 45340]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-16495]


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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 15Bc3-1 and Form MSDW; SEC File No. 270-93, OMB Control No. 
3235-0087.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and 
Exchange Commission (``Commission'') is soliciting comments on the 
existing collection of information provided for in Rule 15Bc3-1 (17 CFR 
15Bc3-1) and Form MSDW (17 CFR 249.1110) under the Securities Exchange 
Act of 1934 (17 U.S.C. 78a et seq.). The Commission plans to submit 
this existing collection of information to the Office of Management and 
Budget (``OMB'') for extension and approval.
    Rule 15Bc3-1 provides that a notice of withdrawal from registration 
with the Commission as a bank municipal securities dealer must be filed 
on Form MSDW. The Commission uses the information submitted on Form 
MSDW in determining whether it is in the public interest to permit a 
bank municipal securities dealer to withdraw its registration. This 
information is also important to the municipal securities dealer's 
customers and to the public, because it provides, among other things, 
the name and address of a person to contact regarding any of the 
municipal securities dealer's unfinished business.
    Based upon past submissions, the staff estimates that, on an annual 
basis, approximately five bank municipal securities dealers will file a 
notice of withdrawal from registration with the Commission as a bank 
municipal securities dealer on Form MSDW. The staff estimates that the 
average number of hours necessary to comply with the notice 
requirements set out in Rule 15Bc3-1 and Form MSDW is 0.5 per 
respondent, for a total burden of 2.5 hours per year. The staff 
estimates that the average internal compliance cost per hour is 
approximately $343. Therefore, the estimated total cost of compliance 
for the respondents is approximately $858.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information will 
have practical utility; (b) the accuracy of the Commission's estimate 
of the burden of the collection of information; (c) ways to enhance the 
quality, utility, and clarity of the information to be 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. 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 under the PRA unless it 
displays a currently valid OMB control number.
    Please direct your written comments 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: [email protected].

    Dated: July 6, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-16495 Filed 7-12-16; 8:45 am]
 BILLING CODE 8011-01-P

45340 Federal Register / Vol. 81, No. 134 / Wednesday, July 13, 2016 / Notices

respond to, a collection of information securities dealer on Form MSDW. The (‘‘Act’’),1 and Rule 19b–4 thereunder,2
under the PRA unless it displays a staff estimates that the average number notice is hereby given that on June 24,
currently valid OMB control number. of hours necessary to comply with the 2016, NASDAQ BX, Inc. (‘‘BX’’ or
Please direct your written comments notice requirements set out in Rule ‘‘Exchange’’) filed with the Securities
to: Pamela Dyson, Director/Chief 15Bc3–1 and Form MSDW is 0.5 per and Exchange Commission (‘‘SEC’’ or
Information Officer, Securities and respondent, for a total burden of 2.5 ‘‘Commission’’) the proposed rule
Exchange Commission, c/o Remi Pavlik- hours per year. The staff estimates that change as described in Items I, II, and
Simon, 100 F Street NE., Washington, the average internal compliance cost per III, below, which Items have been
DC 20549, or send an email to: PRA_ hour is approximately $343. Therefore, prepared by the Exchange. The
Mailbox@sec.gov. the estimated total cost of compliance Commission is publishing this notice to
Dated: July 6, 2016. for the respondents is approximately solicit comments on the proposed rule
Brent J. Fields, $858. change from interested persons.
Secretary.
Written comments are invited on: (a) I. Self-Regulatory Organization’s
Whether the proposed collection of Statement of the Terms of Substance of
[FR Doc. 2016–16494 Filed 7–12–16; 8:45 am]
information is necessary for the proper the Proposed Rule Change
BILLING CODE 8011–01–P
performance of the functions of the
Commission, including whether the The Exchange proposes to adopt rules
information will have practical utility; under Rule 4770 to implement the
SECURITIES AND EXCHANGE quoting and trading provisions of the
(b) the accuracy of the Commission’s
COMMISSION Plan to Implement a Tick Size Pilot
estimate of the burden of the collection
of information; (c) ways to enhance the Program submitted to the Commission
Proposed Collection; Comment
quality, utility, and clarity of the pursuant to Rule 608 of Regulation
Request
information to be collected; and (d) NMS 3 under the Act (the ‘‘Plan’’).4 The
Upon Written Request, Copies Available ways to minimize the burden of the proposed rule change is substantially
From: Securities and Exchange collection of information on similar to proposed rule changes
Commission, Office of FOIA Services, respondents, including through the use recently approved or published by the
100 F Street NE., Washington, DC of automated collection techniques or Commission by New York Stock
20549–2736. other forms of information technology. Exchange LLC to adopt NYSE Rules
Consideration will be given to 67(a) and 67(c)–(e), which also
Extension:
comments and suggestions submitted in implemented the quoting and trading
Rule 15Bc3–1 and Form MSDW; SEC File
No. 270–93, OMB Control No. 3235– writing within 60 days of this provisions of the Plan.5
0087. publication. The text of the proposed rule change
An agency may not conduct or is available on the Exchange’s Web site
Notice is hereby given that, pursuant at http://
to the Paperwork Reduction Act of 1995 sponsor, and a person is not required to
respond to, a collection of information nasdaqomxbx.cchwallstreet.com/, at the
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the principal office of the Exchange, and at
Securities and Exchange Commission under the PRA unless it displays a
currently valid OMB control number. the Commission’s Public Reference
(‘‘Commission’’) is soliciting comments Room.
on the existing collection of information Please direct your written comments
provided for in Rule 15Bc3–1 (17 CFR to: Pamela Dyson, Director/Chief II. Self-Regulatory Organization’s
15Bc3–1) and Form MSDW (17 CFR Information Officer, Securities and Statement of the Purpose of, and
249.1110) under the Securities Exchange Commission, c/o Remi Pavlik- Statutory Basis for, the Proposed Rule
Exchange Act of 1934 (17 U.S.C. 78a et Simon, 100 F Street NE., Washington, Change
seq.). The Commission plans to submit DC 20549, or send an email to: PRA_
In its filing with the Commission, the
this existing collection of information to Mailbox@sec.gov.
Exchange included statements
the Office of Management and Budget Dated: July 6, 2016. concerning the purpose of and basis for
(‘‘OMB’’) for extension and approval. Brent J. Fields, the proposed rule change and discussed
Rule 15Bc3–1 provides that a notice Secretary. any comments it received on the
of withdrawal from registration with the [FR Doc. 2016–16495 Filed 7–12–16; 8:45 am] proposed rule change. The text of these
Commission as a bank municipal BILLING CODE 8011–01–P statements may be examined at the
securities dealer must be filed on Form places specified in Item IV below. The
MSDW. The Commission uses the Exchange has prepared summaries, set
information submitted on Form MSDW SECURITIES AND EXCHANGE
in determining whether it is in the COMMISSION 1 15 U.S.C. 78s(b)(1).
public interest to permit a bank 2 17 CFR 240.19b–4.
municipal securities dealer to withdraw [Release No. 34–78250; File No. SR–BX– 3 17 CFR 242.608.
4 See Securities and Exchange Act Release No.
its registration. This information is also 2016–039]
74892 (May 6, 2015), 80 FR 27513 (File No. 4–657)
important to the municipal securities (‘‘Tick Plan Approval Order’’). See also Securities
dealer’s customers and to the public, Self-Regulatory Organizations; and Exchange Act Release No. 76382 (November 6,
because it provides, among other things, NASDAQ BX, Inc.; Notice of Filing and 2015) (File No.
the name and address of a person to Immediate Effectiveness of Proposed 4–657), 80 FR 70284 (File No. 4–657) (November
Rule Change To Adopt Rules To 13, 2015), which extended the pilot period
jstallworth on DSK7TPTVN1PROD with NOTICES

contact regarding any of the municipal commencement date from May 6, 2015 to October
securities dealer’s unfinished business. Implement the Quoting and Trading 3, 2016.
Based upon past submissions, the Provisions of the Plan To Implement a 5 See Securities Exchange Act Release No. 76229

staff estimates that, on an annual basis, Tick Size Pilot Program (October 22, 2015), 80 FR 66065 (October 28, 2015)
approximately five bank municipal (SR–NYSE–2015–46), as amended by Partial
July 7, 2016. Amendments No. 1 and No. 2 to the Quoting &
securities dealers will file a notice of Trading Rules Proposal. See Securities Exchange
withdrawal from registration with the Pursuant to Section 19(b)(1) of the Act Release No. 77703 (April 25, 2016), 81 FR
Commission as a bank municipal Securities Exchange Act of 1934 25725 (April 29, 2016) (SR–NYSE–2015–46).

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Document Created: 2016-07-13 01:44:10
Document Modified: 2016-07-13 01:44:10

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		81 FR 45340