81 FR 48878 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 143 (July 26, 2016)

Page Range		48878-48879
FR Document		2016-17636

Federal Register, Volume 81 Issue 143 (Tuesday, July 26, 2016)

[Federal Register Volume 81, Number 143 (Tuesday, July 26, 2016)]
[Notices]
[Pages 48878-48879]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2016-17636]

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SECURITIES AND EXCHANGE COMMISSION

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.

Ombudsman Matter Management System, OMB Control No. 3235-XXXX, SEC
File No. 270-797.

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'' or ``SEC'') has submitted this new request
for the new collection of information to the Office of Management and
Budget for approval.
Members of the public who contact the Ombudsman for assistance
currently do so by traditional mail, electronic mail, telephone, and
facsimile. To make

[[Page 48879]]

it easier for retail investors and others to contact the Ombudsman
electronically, the Commission is developing the Ombudsman Matter
Management System (``OMMS''), a new, electronic data-collection system
for the receipt, collection, and analysis of inquiries, complaints, and
recommendations from retail investors directed to the SEC Ombudsman and
the Office of the Investor Advocate, and invites comment on OMMS.
Through OMMS, members of the public may request assistance from the
Ombudsman and staff using a web-based form (the ``OMMS Form'') tailored
to gather information about matters within the scope of the Ombudsman's
function and streamline the inquiry and response process.
The OMMS Form will facilitate communication with the Ombudsman via
an electronic series of basic questions with user-friendly response
features such as radio buttons, drop-down menu responses, pop-up
explanation bubbles, Web page links, fillable narrative text fields,
and document upload options. In addition, the OMMS Form incorporates
functionality that, depending upon certain responses, pre-populates
specific fields, and prompts the user to provide additional
information. By eliciting specific information from the user, the OMMS
Form will facilitate communication between the user and the Ombudsman,
reduce response and resolution times, and maximize Ombudsman staff
resources available for recording, processing, and responding to
matters. The requested information collection is voluntary and will not
change the contact methods currently available.
The Commission expects that OMMS will be operative and the OMMS
Form publicly available through the Commission's Web site, https://www.sec.gov. The Commission estimates that the total reporting burden
for using the OMMS Form will be 250 hours. The calculation of this
estimate depends on how many members of the public use the form each
year and the estimated time it takes to complete the forms: 500
respondents x 30 minutes = 250 burden hours. The estimates of average
burden hours are made solely for the purposes of the Paperwork
Reduction Act and are not derived from a comprehensive or even
representative survey or study of the cost of Commission rules and
forms. The total estimated one-time cost to the federal government of
creating OMMS and the OMMS Form is $400,000.
An agency 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 Office of
Management and Budget control number.
Written comments are invited on all aspects of this proposed
information collection request, in particular: (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.
Background documentation for this information collection may be
viewed 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 within 30 days of
this notice.

Dated: July 21, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-17636 Filed 7-25-16; 8:45 am]
BILLING CODE 8011-01-P

48878 Federal Register / Vol. 81, No. 143 / Tuesday, July 26, 2016 / Notices

potential for a Trading Halt Auction to the Commission to waive the 30-day post all comments on the Commission’s
be a clearly erroneous execution. In operative delay so that the proposal may Internet Web site (http://www.sec.gov/
addition, the Exchange believes that become operative immediately upon rules/sro.shtml). Copies of the
pending the outcome of the analysis filing. The Commission believes that submission, all subsequent
being performed by the Operating waiving the 30-day operative delay is amendments, all written statements
Committee to the LULD Plan, extending consistent with the protection of with respect to the proposed rule
the Exchange’s interim measure an investors and the public interest. As the change that are filed with the
additional six months would be Exchange notes, waiver of the operative Commission, and all written
consistent with the protection of delay would allow for the current price communications relating to the
investors and the public interest. collar thresholds, which are due to proposed rule change between the
expire on July 28, 2016, to continue Commission and any person, other than
B. Self-Regulatory Organization’s
uninterrupted pending the ongoing those that may be withheld from the
Statement on Burden on Competition
market-wide analysis regarding public in accordance with the
The Exchange does not believe that potential changes to automated provisions of 5 U.S.C. 552, will be
the proposed rule change will impose reopenings following a trading pause. available for Web site viewing and
any burden on competition that is not Accordingly, the Commission hereby printing in the Commission’s Public
necessary or appropriate in furtherance waives the operative delay and Reference Room, 100 F Street NE.,
of the purposes of the Act. The designates the proposal operative upon Washington, DC 20549 on official
proposed change is not designed to filing.14 business days between the hours of
address any competitive issue but rather At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the
to provide for a six-month extension to filing of the proposed rule change, the filing also will be available for
the price collar thresholds for Trading Commission summarily may inspection and copying at the principal
Halt Auctions on the Exchange, pending temporarily suspend such rule change if office of the Exchange. All comments
the analysis being conducted by the it appears to the Commission that such received will be posted without change;
Operating Committee to the LULD Plan. action is necessary or appropriate in the the Commission does not edit personal
C. Self-Regulatory Organization’s public interest, for the protection of identifying information from
Statement on Comments on the investors, or otherwise in furtherance of submissions. You should submit only
Proposed Rule Change Received From the purposes of the Act. If the information that you wish to make
Commission takes such action, the available publicly. All submissions
Members, Participants, or Others
Commission shall institute proceedings should refer to File Number SR–
No written comments were solicited to determine whether the proposed rule NYSEARCA–2016–98 and should be
or received with respect to the proposed change should be approved or submitted on or before August 16, 2016.
rule change. disapproved. For the Commission, by the Division of
III. Date of Effectiveness of the IV. Solicitation of Comments Trading and Markets, pursuant to delegated
Proposed Rule Change and Timing for authority.15
Interested persons are invited to Robert W. Errett,
Commission Action
submit written data, views, and
Because the foregoing proposed rule Deputy Secretary.
arguments concerning the foregoing,
change does not: (i) Significantly affect [FR Doc. 2016–17585 Filed 7–25–16; 8:45 am]
including whether the proposed rule
the protection of investors or the public change is consistent with the Act. BILLING CODE 8011–01–P
interest; (ii) impose any significant Comments may be submitted by any of
burden on competition; and (iii) become the following methods:
operative for 30 days from the date on SECURITIES AND EXCHANGE
which it was filed, or such shorter time Electronic Comments COMMISSION
as the Commission may designate, the • Use the Commission’s Internet Submission for OMB Review;
proposed rule change has become comment form (http://www.sec.gov/ Comment Request
effective pursuant to Section 19(b)(3)(A) rules/sro.shtml); or
of the Act 10 and Rule 19b–4(f)(6) • Send an email to rule-comments@ Upon Written Request Copies Available
thereunder.11 sec.gov. Please include File Number SR– From: Securities and Exchange
A proposed rule change filed NYSEARCA–2016–98 on the subject Commission, Office of FOIA Services,
pursuant to Rule 19b–4(f)(6) under the line. 100 F Street NE., Washington, DC
Act 12 normally does not become 20549–2736.
Paper Comments
operative for 30 days after the date of its Ombudsman Matter Management System,
filing. However, Rule 19b–4(f)(6)(iii) 13 • Send paper comments in triplicate OMB Control No. 3235–XXXX, SEC File
permits the Commission to designate a to Secretary, Securities and Exchange No. 270–797.
shorter time if such action is consistent Commission, 100 F Street NE.,
Washington, DC 20549–1090. Notice is hereby given that, pursuant
with the protection of investors and the to the Paperwork Reduction Act of 1995
public interest. The Exchange has asked All submissions should refer to File (44 U.S.C. 3501 et seq.), the Securities
Number SR–NYSEARCA–2016–98. This and Exchange Commission
10 15 U.S.C. 78s(b)(3)(A). file number should be included on the (‘‘Commission’’ or ‘‘SEC’’) has
11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– subject line if email is used. To help the submitted this new request for the new
4(f)(6) requires a self-regulatory organization to give Commission process and review your
srobinson on DSK5SPTVN1PROD with NOTICES

the Commission written notice of its intent to file collection of information to the Office of
the proposed rule change, along with a brief comments more efficiently, please use Management and Budget for approval.
description and the text of the proposed rule only one method. The Commission will Members of the public who contact
change, at least five business days prior to the date the Ombudsman for assistance currently
of filing of the proposed rule change, or such 14 For purposes only of waiving the 30-day
shorter time as designated by the Commission. The do so by traditional mail, electronic
operative delay, the Commission has also
Exchange has satisfied this requirement. considered the proposed rule’s impact on mail, telephone, and facsimile. To make
12 17 CFR 240.19b–4(f)(6).
efficiency, competition, and capital formation. See
13 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 15 17 CFR 200.30–3(a)(12).

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Document Created: 2018-02-08 08:01:10
Document Modified: 2018-02-08 08:01:10

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 48878