81 FR 57946 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 164 (August 24, 2016)

Page Range		57946-57948
FR Document		2016-20257
Federal Register, Volume 81 Issue 164 (Wednesday, August 24, 2016)
[Federal Register Volume 81, Number 164 (Wednesday, August 24, 2016)]
[Notices]
[Pages 57946-57948]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-20257]


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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.

Extension:
    Rule 19b-4 and Form 19b-4 Filings with Respect to Proposed Rule 
Changes, Securities-Based Swap Submissions, and Advance Notices by 
Self-Regulatory Organizations and the Security-Based Swap Stay of 
Clearing Requirement; SEC File No. 270-38, OMB Control No. 3235-
0045.

    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'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the of the 
previously approved collection of information provided for in Rule 19b-
4 (17 CFR 240.19b-4), under the Securities Exchange Act of 1934 
(``Act'') (15 U.S.C. 78a et seq.).
    Section 19(b) of the Act (15 U.S.C. 78s(b)) requires each self-
regulatory organization (``SRO'') to file with the Commission copies of 
any proposed

[[Page 57947]]

rule, or any proposed change in, addition to, or deletion from the 
rules of such SRO. Rule 19b-4 implements the requirements of Section 
19(b) by requiring the SROs to file their proposed rule changes on Form 
19b-4 and by clarifying which actions taken by SROs are subject to the 
filing requirement set forth in Section 19(b). Rule 19b-4(n) requires a 
designated clearing agency to provide the Commission advance notice 
(``Advance Notice'') of any proposed change to its rules, procedures, 
or operations that could materially affect the nature or level of risks 
presented by such clearing agency. Rule 19b-4(o) requires a registered 
clearing agency to submit for a Commission determination any security-
based swap, or any group, category, type, or class of security-based 
swaps it plans to accept for clearing (``Security-Based Swap 
Submission''), and provide notice to its members of such submissions.
    The collection of information is designed to provide the Commission 
with the information necessary to determine, as required by the Act, 
whether the proposed rule change is consistent with the Act and the 
rules thereunder. The information is used to determine if the proposed 
rule change should be approved, disapproved, suspended, or if 
proceedings should be instituted to determine whether to approve or 
disapprove the proposed rule change.
    The respondents to the collection of information are SROs (as 
defined by Section 3(a)(26) of the Act), \1\ including national 
securities exchanges, national securities associations, registered 
clearing agencies, notice registered securities future product 
exchanges, and the Municipal Securities Rulemaking Board.
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    \1\ 15 U.S.C. 78c(a)(26).
---------------------------------------------------------------------------

    In calendar year 2015, each respondent filed an average of 
approximately 57 proposed rule changes. Each filing takes approximately 
39 hours to complete on average. Thus, the total annual reporting 
burden for filing proposed rule changes with the Commission is 86,697 
hours (57 proposals per year x 39 SROs x 39 hours per filing) for the 
estimated future number of 39 SROs.\2\ In addition to filing their 
proposed rule changes with the Commission, the respondents also are 
required to post each of their proposals on their respective Web sites, 
a process that takes approximately four hours to complete per proposal. 
Thus, for 1,935 proposals, the total annual reporting burden on 
respondents to post the proposals on their Web sites is 7,740 hours 
(1,935 proposals per year x 4 hours per filing) or 8,892 hours (57 
proposals per year x 39 SROs x 4 hours per filing) for the estimated 
future number of 39 SROs. Further, the respondents are required to 
update their rulebooks, which they maintain on their Web sites, to 
reflect the changes that they make in each proposal they file. Thus, 
for all filings that were not withdrawn by a respondent (240 withdrawn 
filings in calendar year 2015) or disapproved by the Commission (6 
disapproved filings in calendar year 2015), the respondents were 
required to update their online rulebooks to reflect the effectiveness 
of 1,689 proposals, each of which takes approximately four hours to 
complete per proposal. Thus, the total annual reporting burden for 
updating online rulebooks is 7,764 hours ((2,223 filings per year-275 
withdrawn filings \3\-7 disapproved filings \4\) x 4 hours). Finally, a 
respondent is required to notify the Commission if it does not post a 
proposed rule change on its Web site on the same day that it filed the 
proposal with the Commission. The Commission estimates that SROs will 
fail to post proposed rule changes on their Web sites on the same day 
as the filing 22 times a year (across all SROs), and that each SRO will 
spend approximately one hour preparing and submitting such notice to 
the Commission, resulting in a total annual burden of 22 hours (22 
notices x 1 hour per notice).
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    \2\ For most of 2015, 34 SROs were registered. One registered 
SRO withdrew in December 2015 and one SRO newly registered with the 
Commission in January 2016. The Commission expects five additional 
respondents to register during the three-year period for which this 
PRA Extension is applicable (three as registered clearing agencies 
and two as national securities exchanges), bringing the total number 
of respondents to 39.
    \3\ For 34 SROs, 240 withdrawn filings equal approximately 7.06 
filings per SRO. For 39 SROs, the figure would increase to 275 
withdrawn filings.
    \4\ For 34 SROs, six disapproved filings equal approximately 
0.18 filings per SRO. For 39 SROs, the figure would increase to 
seven disapproved filings.
---------------------------------------------------------------------------

    Designated clearing agencies have additional information collection 
burdens. As noted above, pursuant to Rule 19b-4(n), a designated 
clearing agency must file with the Commission an Advance Notice of any 
proposed change to its rules, procedures, or operations that could 
materially affect the nature or level of risks presented by such 
designated clearing agency. The Commission estimates that four 
designated clearing agencies will each submit five Advance Notices per 
year, with each submission taking 90 hours to complete. The total 
annual reporting burden for filing Advance Notices is therefore 1,800 
hours (4 designated clearing agencies x 5 Advance Notices per year x 90 
hours per response).
    Designated clearing agencies are required to post all Advance 
Notices to their Web sites, each of which takes approximately four 
hours to complete. For five Advance Notices, the total annual reporting 
burden for posting them to respondents' Web sites is 80 hours (4 
designated clearing agencies x 5 Advance Notices per year x 4 hours per 
Web site posting). Respondents are required to update the postings of 
those Advance Notices that become effective, each of which takes 
approximately four hours to complete. The total annual reporting burden 
for updating Advance Notices on the respondents' Web sites is 80 hours 
(4 designated clearing agencies x 5 Advance Notices per year x 4 hours 
per Web site posting).
    Pursuant to Rule 19b-4(n)(5), the respondents are also required to 
provide copies of all materials submitted to the Commission relating to 
an Advance Notice to the Board of Governors of the Federal Reserve 
System (``Board'') contemporaneously with such submission to the 
Commission, which is estimated to take two hours. The total annual 
reporting burden for designated clearing agencies to meet this 
requirement is 40 hours (4 designated clearing agencies x 5 Advance 
Notices per year x 2 hours per response).
    The Commission estimates that three security-based swap clearing 
agencies will each submit 20 Security-Based Swap Submissions per year, 
with each submission taking 140 hours to complete resulting in a total 
annual reporting burden of 8,400 hours (3 respondent clearing agencies 
x 20 Security-Based Swap Submissions per year x 140 hours per 
response). Respondent clearing agencies are required to post all 
Security-Based Swap Submissions to their Web sites, each of which takes 
approximately four hours to complete. For 20 Security-Based Swap 
Submissions, the total annual reporting burden for posting them to the 
three respondents' Web sites is 240 hours (3 respondent clearing 
agencies x 20 Security-Based Swap Submissions per year x 4 hours per 
Web site posting). In addition, three clearing agencies that have not 
previously posted Security-Based Swap Submissions, Advance Notices, and 
proposed rule changes on their Web sites may need to update their 
existing Web sites to post such filings online. The Commission 
estimates that each of these three clearing agencies would spend 
approximately 15 hours updating its existing Web site, resulting in a 
total one-time burden of 45 hours (3

[[Page 57948]]

respondent clearing agencies x 15 hours per Web site update) or 15 
hours annualized over three years.
    Respondent clearing agencies will also have to provide training to 
staff members using the Electronic Form 19b-4 Filing System (``EFFS'') 
to submit Security-Based Swap Submissions, Advance Notices, and/or 
proposed rule changes electronically. The Commission estimates that one 
anticipated security-based swap clearing agency will spend 
approximately 20 hours training all staff members who will use EFFS to 
submit Security-Based Swap Submissions, Advance Notices, and/or 
proposed rule changes electronically, or 6.7 hours annualized over 
three years. The Commission also estimates that one anticipated 
clearing agency will have a one-time burden of 130 hours to draft and 
implement internal policies and procedures for using EFFS to make these 
submissions, or 43.3 hours annualized over three years. The Commission 
estimates that each of the 39 respondents will spend 10 hours each year 
training new compliance staff members and updating the training of 
existing compliance staff members to use EFFS, for a total annual 
burden of 390 hours (39 respondent SROs x 10 hours).
    In connection with Security-Based Swap Submissions, counterparties 
may apply for a stay from a mandatory clearing requirement under Rule 
3Ca-1. The Commission estimates that each clearing agency will submit 
five applications for stays from a clearing requirement per year and it 
will take approximately 18 hours to retrieve, review, and submit each 
application. Thus, the total annual reporting burden for the Rule 3Ca-1 
stay of clearing requirement would be 270 hours (3 respondent clearing 
agencies x 5 stay of clearing applications per year x 18 hours to 
retrieve, review, and submit the stay of clearing information).
    Based on the above, the total estimated annual response burden 
pursuant to Rule 19b-4 and Form 19b-4 is the sum of the total annual 
reporting burdens for filing proposed rule changes, Advance Notices, 
and Security-Based Swap Submissions; training staff to file such 
proposals; drafting, modifying, and implementing internal policies and 
procedures for filing such proposals; posting each proposal on the 
respondents' Web sites; updating Web sites to enable posting of 
proposals; updating the respondents' online rulebooks to reflect the 
proposals that became effective; submitting copies of Advance Notices 
to the Board; and applying for stays from clearing requirements, which 
is 114,740 hours.
    Compliance with Rule 19b-4 is mandatory. Information received in 
response to Rule 19b-4 shall not be kept confidential; the information 
collected is public information.
    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.
    The public may view 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 by sending an 
email to: [email protected]. Comments must be submitted to OMB within 
30 days of this notice.

    Dated: August 19, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-20257 Filed 8-23-16; 8:45 am]
 BILLING CODE 8011-01-P
57946 Federal Register / Vol. 81, No. 164 / Wednesday, August 24, 2016 / Notices

Chairman as necessary to facilitate the DATES: Comments are encouraged and inclusion on the CFC charity list. This
conduct of the meeting, persons will be accepted until September 23, ICR is being revised to accommodate
planning to attend should check with 2016. This process is conducted in presentation in an online CFC charity
the DFO if such rescheduling would accordance with 5 CFR 1320.1. application format. Revisions include:
result in a major inconvenience. ADDRESSES: Interested persons are 1. The addition of name and email
If attending this meeting, please enter invited to submit written comments on fields for CFC application system
through the One White Flint North the proposed information collection to account creation;
Building, 11555 Rockville Pike, the Office of Information and Regulatory 2. the inclusion of electronic fund
Rockville, MD. After registering with Affairs, Office of Management Budget, transfer (EFT) information (for national
security, please contact Mr. Theron 725 17th Street NW., Washington, DC and international charities);
Brown (240–888–9835) to be escorted to 20503, Attention: Desk Officer for the 3. the addition of a ‘‘thank you
the meeting room. Office of Personnel Management or sent statement’’ field to facilitate immediate
Dated: August 16, 2016. via electronic mail to oira_submission@ acknowledgement of electronic pledges;
Mark L. Banks, omb.eop.gov or faxed to (202) 395–6974. 4. the addition of three questions
Chief, Technical Support Branch, Advisory FOR FURTHER INFORMATION CONTACT: A surrounding volunteers opportunities
Committee on Reactor Safeguards. copy of this ICR, with applicable and solicitation of federal employees for
[FR Doc. 2016–20269 Filed 8–23–16; 8:45 am] supporting documentation, may be these opportunities;
obtained by contacting the Office of 5. design of the schedule of services
BILLING CODE 7590–01–P
Information and Regulatory Affairs, to align with an online form; and
Office of Management Budget, 725 17th 6. revision of certification statements
Street NW., Washington, DC 20503, to make them parallel with eligibility
OFFICE OF PERSONNEL requirements at 5 CFR 950 as revised
MANAGEMENT Attention: Desk Officer for the Office of
Personnel Management or sent via April 16, 2014, effective January 1,
[OMB Control No. 3206–0131] electronic mail to oira_submission@ 2017.
omb.eop.gov or faxed to (202) 395–6974. U.S. Office of Personnel Management.
Revision of Information Collection:
SUPPLEMENTARY INFORMATION: The Office Beth F. Cobert,
Combined Federal Campaign
Applications of Management and Budget is Acting Director.
particularly interested in comments [FR Doc. 2016–20190 Filed 8–23–16; 8:45 am]
AGENCY: U.S. Office of Personnel that: BILLING CODE 6325–46–P
Management. 1. Evaluate whether the proposed
ACTION: 30-Day notice and request for collection of information is necessary
comments. for the proper performance of the
SECURITIES AND EXCHANGE
functions of the agency, including
SUMMARY: In accordance with the COMMISSION
whether the information will have
Paperwork Reduction Act of 1995 (Pub. practical utility; Submission for OMB Review;
L. 104–13, May 22, 1995), this notice 2. Evaluate the accuracy of the Comment Request
announces that the Office of Personnel agency’s estimate of the burden of the
Management intends to submit to the proposed collection of information, Upon Written Request, Copies Available
Office of Management and Budget including the validity of the From: Securities and Exchange
(OMB) a request for clearance to revise methodology and assumptions used; Commission, Office of FOIA Services,
an information collection. Combined 3. Enhance the quality, utility, and 100 F Street NE., Washington, DC
Federal Campaign Applications, OMB clarity of the information to be 20549–2736.
Control No. 3206–0131, which include collected; and Extension:
OPM Forms 1647–A, –B, and –E, are 4. Minimize the burden of the Rule 19b–4 and Form 19b–4 Filings with
used to review the eligibility of national, collection of information on those who Respect to Proposed Rule Changes,
international, and local charitable are to respond, including through the Securities-Based Swap Submissions, and
organizations and Department of use of appropriate automated, Advance Notices by Self-Regulatory
Defense morale, welfare, and recreation electronic, mechanical, or other Organizations and the Security-Based
(MWR)/Family Support and Youth technological collection techniques or Swap Stay of Clearing Requirement; SEC
Activities/Programs (FSYA/FSYP) other forms of information technology, File No. 270–38, OMB Control No. 3235–
0045.
organizations that wish to participate in e.g., permitting electronic submissions
the Combined Federal Campaign. The of responses. Notice is hereby given that pursuant
proposed revisions reflect changes in The Combined Federal Campaign to the Paperwork Reduction Act of 1995
eligibility guidance from the Office of (CFC) is the world’s largest and most (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Personnel Management. On March 10, successful annual workplace Securities and Exchange Commission
2016, we published a 60-day notice and philanthropic giving campaign, with (‘‘Commission’’) has submitted to the
request for comments. We received two 127 CFC campaigns throughout the Office of Management and Budget
comments recommending the addition country and overseas raising millions of (‘‘OMB’’) a request for approval of
of a ‘‘thank you statement’’ field that dollars each year. The mission of the extension of the of the previously
would facilitate immediate CFC is to promote and support approved collection of information
acknowledgement of electronic pledges. philanthropy through a program that is provided for in Rule 19b–4 (17 CFR
mstockstill on DSK3G9T082PROD with NOTICES

This recommended revision is included employee focused, cost-efficient, and 240.19b–4), under the Securities
below. effective in providing all federal Exchange Act of 1934 (‘‘Act’’) (15 U.S.C.
We estimate 20,500 responses to this employees the opportunity to improve 78a et seq.).
information collection annually. Each the quality of life for all. Section 19(b) of the Act (15 U.S.C.
form takes approximately three hours to The CFC charity applications collect 78s(b)) requires each self-regulatory
complete. The annual estimated burden information from about 20,500 national, organization (‘‘SRO’’) to file with the
is 40,500 hours. international, and local charities for Commission copies of any proposed

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57948 Federal Register / Vol. 81, No. 164 / Wednesday, August 24, 2016 / Notices

respondent clearing agencies × 15 hours Compliance with Rule 19b–4 is governed under this rule set
per Web site update) or 15 hours mandatory. Information received in (collectively, the ‘‘CAB rules’’).
annualized over three years. response to Rule 19b–4 shall not be kept The Commission published the
Respondent clearing agencies will confidential; the information collected proposed rule change for public
also have to provide training to staff is public information. comment in the Federal Register on
members using the Electronic Form An agency may not conduct or December 23, 2015.3 On January 28,
19b–4 Filing System (‘‘EFFS’’) to submit sponsor, and a person is not required to 2016, FINRA extended the time period
Security-Based Swap Submissions, respond to, a collection of information in which the Commission must approve
Advance Notices, and/or proposed rule under the PRA unless it displays a the proposed rule change, disapprove
changes electronically. The Commission currently valid OMB control number. the proposed rule change or institute
estimates that one anticipated security- The public may view background proceedings to determine whether to
based swap clearing agency will spend documentation for this information approve or disapprove the proposed
approximately 20 hours training all staff collection at the following Web site, rule change to March 22, 2016. On
members who will use EFFS to submit www.reginfo.gov. Comments should be March 17, 2016, the Commission
Security-Based Swap Submissions, directed to: (i) Desk Officer for the instituted proceedings pursuant to
Advance Notices, and/or proposed rule Securities and Exchange Commission, Section 19(b)(2)(B) of the Exchange Act 4
changes electronically, or 6.7 hours Office of Information and Regulatory to determine whether to approve or
annualized over three years. The Affairs, Office of Management and disapprove the proposed rule change.5
Commission also estimates that one Budget, Room 10102, New Executive The Commission received 18 comment
anticipated clearing agency will have a Office Building, Washington, DC 20503, letters on the proposal.6
one-time burden of 130 hours to draft or by sending an email to: In response to comments, on March
and implement internal policies and Shagufta_Ahmed@omb.eop.gov; and (ii) 29, 2016 FINRA filed a partial
procedures for using EFFS to make Pamela Dyson, Director/Chief amendment (‘‘Amendment No. 1’’) to its
these submissions, or 43.3 hours Information Officer, Securities and proposed rule change to amend CAB
annualized over three years. The Exchange Commission, c/o Remi Pavlik- Rule 016(c)(2) to clarify that the
Commission estimates that each of the Simon, 100 F Street NE., Washington, definition of ‘‘capital acquisition
39 respondents will spend 10 hours DC 20549, or by sending an email to: broker’’ does not include any broker or
each year training new compliance staff PRA_Mailbox@sec.gov. Comments must
members and updating the training of be submitted to OMB within 30 days of 3 Exchange Act Release No. 76675 (December 17,

existing compliance staff members to this notice. 2015), 80 FR 79969 (December 23, 2015) (Notice of
use EFFS, for a total annual burden of Filing of File No. SR–FINRA–2015–054) (‘‘Notice of
Dated: August 19, 2016. Filing’’).
390 hours (39 respondent SROs × 10 Brent J. Fields, 4 15 U.S.C. 78s(b)(2)(B).
hours). Secretary. 5 Exchange Act Release No. 77391 (March 17,
In connection with Security-Based 2016), 81 FR 15588 (March 23, 2016) (Order
[FR Doc. 2016–20257 Filed 8–23–16; 8:45 am]
Swap Submissions, counterparties may Instituting Proceedings To Determine Whether to
BILLING CODE 8011–01–P Approve or Disapprove Proposed Rule Change to
apply for a stay from a mandatory
Adopt FINRA Capital Acquisition Broker Rules on
clearing requirement under Rule 3Ca–1. File No. SR–FINRA–2015–054).
The Commission estimates that each 6 Letters from Peter W. LaVigne, Esq., Chair,
SECURITIES AND EXCHANGE
clearing agency will submit five Securities Regulation Committee, Business Law
COMMISSION
applications for stays from a clearing Section, New York State Bar Association, dated
requirement per year and it will take [Release No. 34–78617; File No. SR–FINRA– January 22, 2016 (‘‘New York Bar Association
2015–054] Letter’’); Judith M. Shaw, President, North
approximately 18 hours to retrieve, American Securities Administrators Association,
review, and submit each application. Inc., dated January 15, 2016 (‘‘NASAA Letter’’);
Thus, the total annual reporting burden Self-Regulatory Organizations; Timothy Cahill, President, Compass Securities
for the Rule 3Ca–1 stay of clearing Financial Industry Regulatory Corporation, dated January 13, 2016; Mark
requirement would be 270 hours (3 Authority, Inc.; Order Approving Rule Fairbanks, President, Foreside Distributors, dated
Change as Modified by Amendment January 13, 2016 (‘‘Foreside Letter’’); Dan Glusker,
respondent clearing agencies × 5 stay of Perkins Fund Marketing, LLC, dated January 13,
clearing applications per year × 18 Nos. 1 and 2 To Adopt FINRA Capital 2016; Steven Jafarzadeh, CAIA, Managing Director,
hours to retrieve, review, and submit the Acquisition Broker Rules CCO Partner, Stonehaven, dated January 13, 2016;
Richard A. Murphy, Manager, North Bridge Capital
stay of clearing information). August 18, 2016. LLC, dated January 13, 2016; Ron Oldenkamp,
Based on the above, the total President, Genesis Marketing Group, dated January
estimated annual response burden I. Introduction 13, 2016; Michael S. Quinn, Member and CCO, Q
pursuant to Rule 19b–4 and Form 19b– On December 4, 2015, the Financial Advisors LLC, dated January 13, 2016 (‘‘Q Advisors
4 is the sum of the total annual Letter’’); Lisa Roth, President, Monahan & Roth,
Industry Regulatory Authority, Inc. LLC, dated January 13, 2016 (‘‘Roth Letter’’);
reporting burdens for filing proposed (‘‘FINRA’’) filed with the Securities and Howard Spindel, Senior Managing Director, and
rule changes, Advance Notices, and Exchange Commission (the Cassondra E. Joseph, Managing Director, Integrated
Security-Based Swap Submissions; ‘‘Commission’’ or ‘‘SEC’’), pursuant to Management Solutions USA LLC, dated April 8,
training staff to file such proposals; 2016 (‘‘IMS Letter 1’’)and January 13, 2016 (‘‘IMS
Section 19(b)(1) of the Securities Letter 2’’); Sajan K. Thomas, President, and Stephen
drafting, modifying, and implementing Exchange Act of 1934 (‘‘Exchange J. Myott, Chief Compliance Officer, Thomas Capital
internal policies and procedures for Act’’) 1 and Rule 19b–4 thereunder,2 Group, Inc., dated January 13, 2016; Donna
filing such proposals; posting each proposed rule change SR–FINRA–2015– DiMaria, Chairman of the Board of Directors, and
proposal on the respondents’ Web sites; Lisa Roth, Board of Directors, Third Party Marketers
mstockstill on DSK3G9T082PROD with NOTICES

054, pursuant to which FINRA proposed Association, dated January 12, 2016 (‘‘3PM Letter’’);
updating Web sites to enable posting of to adopt a rule set that would apply Frank P. L. Minard, Managing Partner, XT Capital
proposals; updating the respondents’ exclusively to firms that meet the Partners, LLC, dated January 12, 2016; Arne Rovell,
online rulebooks to reflect the proposals definition of ‘‘capital acquisition Coronado Investments, LLC, dated January 6, 2016
that became effective; submitting copies (‘‘Coronado Letter’’); Daniel H. Kolber, President/
broker’’ (‘‘CAB’’) and that elect to be CEO, Intellivest Securities, Inc., dated December 30,
of Advance Notices to the Board; and 2016 (‘‘Intellivest Letter’’); and Roger W. Mehle,
applying for stays from clearing 1 15 U.S.C. 78s(b)(1). Chairman and CEO, Achates Capital Advisors LLC,
requirements, which is 114,740 hours. 2 17 CFR 240.19b–4. dated December 29, 2015 (‘‘Achates Letter’’).

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Document Created: 2016-08-24 03:02:52
Document Modified: 2016-08-24 03:02:52
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 57946