81 FR 53509 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 156 (August 12, 2016)

Page Range		53509-53509
FR Document		2016-19182

Federal Register, Volume 81 Issue 156 (Friday, August 12, 2016)

[Federal Register Volume 81, Number 156 (Friday, August 12, 2016)]
[Notices]
[Page 53509]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-19182]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-72, OMB Control No. 3235-0076]


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 D and Regulation D.

    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 D (17 CFR 239.500) is a notice of sales filed by issuers 
making an offering of securities in reliance on an exemption under 
Regulation D (17 CFR 230.501 et seq.) or Section 4(a)(5) of the 
Securities Act of 1933 (15 U.S.C. 77d(a)(5)). Regulation D sets forth 
rules governing the limited offer and sale of securities without 
Securities Act registration. The purpose of Form D is to collect 
empirical data, which provides a continuing basis for action by the 
Commission either in terms of amending existing rules and regulations 
or proposing new ones. In addition, the Form D allows the Commission to 
elicit information necessary in assessing the effectiveness of 
Regulation D (17 CFR 230.501 et seq.) and Section 4(6) of the 
Securities Act of 1933 (15 U.S.C. 77d(6)) as capital-raising devices 
for all businesses. Form D information is required to obtain or retain 
benefits under Regulation D. Approximately 21,686 issuers file Form D 
and it takes approximately 4 hours per response. We estimate that 25% 
of the 4 hours per response (1 hour per response) is prepared by the 
issuer for an annual reporting burden of 21,686 hours (1 hour per 
response x 21,686 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: 
[email protected]; 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: [email protected]. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: August 5, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-19182 Filed 8-11-16; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 81, No. 156 / Friday, August 12, 2016 / Notices 53509

available for public inspection all Securities Act of 1933 (15 U.S.C. 77d(6)) (‘‘Commission’’) the proposed rule
submissions from organizations or as capital-raising devices for all change as described in Items I and II
businesses and from persons identifying businesses. Form D information is below, which Items have been prepared
themselves as representatives or required to obtain or retain benefits by the Exchange. The Commission is
officials of organizations and under Regulation D. Approximately publishing this notice to solicit
businesses. 21,686 issuers file Form D and it takes comments on the proposed rule change
Time: The meeting will be held from approximately 4 hours per response. We from interested persons.
10:00 a.m. to 11:30 a.m. on Monday, estimate that 25% of the 4 hours per
September 12, 2016. response (1 hour per response) is I. Self-Regulatory Organization’s
Location: The meeting will be held at prepared by the issuer for an annual Statement of the Terms of Substance of
1202 Ralston Avenue, San Francisco, reporting burden of 21,686 hours (1 the Proposed Rule Change
CA 94129. hour per response × 21,686 responses).
An agency may not conduct or Pursuant to the provisions of Section
FOR FURTHER INFORMATION CONTACT:
sponsor, and a person is not required to 19(b)(1) under the Securities Exchange
Additional information is available
online at http://www.presidio.gov/ respond to, a collection of information Act of 1934 (‘‘Act’’) [sic],4 and Rule
institute/about/Pages/advisory- unless it displays a currently valid 19b–4 thereunder,5 Investors Exchange
council.aspx control number. LLC (‘‘IEX’’ or ‘‘Exchange’’) [sic] is filing
The public may view the background with the Securities and Exchange
Dated: August 8, 2016.
documentation for this information Commission (‘‘Commission’’) [sic] a
Andrea M. Andersen, proposed rule change to amend IEX
collection at the following Web site,
Acting General Counsel. www.reginfo.gov . Comments should be Rule 9.218 (Violations Appropriate for
[FR Doc. 2016–19200 Filed 8–11–16; 8:45 am] directed to: (i) Desk Officer for the Disposition Under Plan Pursuant to
BILLING CODE 4310–4R–P Securities and Exchange Commission, Exchange Act Rule 19d–1(c)(2)) to
Office of Information and Regulatory specify the list of violations eligible for
Affairs, Office of Management and disposition under IEX Rule 9.216(b),
SECURITIES AND EXCHANGE Budget, Room 10102, New Executive (Procedure for Violation Under Plan
COMMISSION Office Building, Washington, DC 20503, Pursuant to Exchange Act Rule 19d–
[SEC File No. 270–72, OMB Control No. or by sending an email to: Shagufta_ 1(c)(2)) pursuant to IEX’s Minor Rule
3235–0076] Ahmed@omb.eop.gov; and (ii) Pamela Violation Plan (‘‘MRVP’’).6 The
Dyson, Director/Chief Information Exchange has designated this proposal
Submission for OMB Review; Officer, Securities and Exchange as non-controversial and provided the
Comment Request Commission, c/o Remi Pavlik-Simon, Commission with the notice required by
100 F Street NE., Washington, DC 20549 Rule 19b–4(f)(6)(iii) under the Act.7
Upon Written Request Copies Available or send an email to: PRA_Mailbox@
From: Securities and Exchange sec.gov. Comments must be submitted to The text of the proposed rule change
Commission, Office of FOIA Services, OMB within 30 days of this notice. is available at the Exchange’s Web site
100 F Street NE., Washington, DC at www.iextrading.com, at the principal
20549–2736. Dated: August 5, 2016.
office of the Exchange, and at the
Robert W. Errett,
Extension: Commission’s Public Reference Room.
Form D and Regulation D. Deputy Secretary.
[FR Doc. 2016–19182 Filed 8–11–16; 8:45 am] II. Self-Regulatory Organization’s
Notice is hereby given that, pursuant Statement of the Purpose of, and the
BILLING CODE 8011–01–P
to the Paperwork Reduction Act of 1995 Statutory Basis for, the Proposed Rule
(44 U.S.C. 3501 et seq.), the Securities Change
and Exchange Commission SECURITIES AND EXCHANGE
(‘‘Commission’’) has submitted to the COMMISSION In its filing with the Commission, the
Office of Management and Budget this self-regulatory organization included
request for extension of the previously [Release No. 34–78502; File No. SR–IEX– statements concerning the purpose of
approved collection of information 2016–10]
and basis for the proposed rule change
discussed below. and discussed any comments it received
Form D (17 CFR 239.500) is a notice Self-Regulatory Organizations:
Investors Exchange LLC; Notice of on the proposed rule change. The text
of sales filed by issuers making an of these statement [sic] may be
offering of securities in reliance on an Filing and Immediate Effectiveness of
Proposed Rule Change To Amend Rule examined at the places specified in Item
exemption under Regulation D (17 CFR IV below. The self-regulatory
230.501 et seq.) or Section 4(a)(5) of the 9.218 To Specify the List of Violations
Eligible for Disposition Under IEX’s organization has prepared summaries,
Securities Act of 1933 (15 U.S.C.
Minor Rule Violation Plan set forth in Sections A, B, and C below,
77d(a)(5)). Regulation D sets forth rules
governing the limited offer and sale of of the most significant aspects of such
August 8, 2016.
securities without Securities Act statements.
Pursuant to Section 19(b)(1) 1 of the
registration. The purpose of Form D is Securities Exchange Act of 1934
to collect empirical data, which (‘‘Act’’) 2 and Rule 19b–4 thereunder,3
provides a continuing basis for action by
mstockstill on DSK3G9T082PROD with NOTICES

notice is hereby given that, on August
the Commission either in terms of 4, 2016, the Investors Exchange LLC
amending existing rules and regulations (‘‘IEX’’ or ‘‘Exchange’’) filed with the 4 15 U.S.C. 78s(b)(1).
or proposing new ones. In addition, the Securities and Exchange Commission 5 17 CRF 240.19b–4.
Form D allows the Commission to elicit 6 IEX’s MRVP was declared effective by the

information necessary in assessing the 1 15 U.S.C. 78s(b)(1). Commission on August 3, 2016. See, Securities
effectiveness of Regulation D (17 CFR 2 15 U.S.C. 78a. Exchange Act Release No. 78474 (August 3, 2016).
230.501 et seq.) and Section 4(6) of the 3 17 CFR 240.19b–4. 7 17 CFR 240.19b–4(f)(6)(iii).

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Document Created: 2018-02-09 11:33:12
Document Modified: 2018-02-09 11:33:12

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 53509