81 FR 63561 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 179 (September 15, 2016)

Page Range		63561-63561
FR Document		2016-22169

Federal Register, Volume 81 Issue 179 (Thursday, September 15, 2016)

[Federal Register Volume 81, Number 179 (Thursday, September 15, 2016)]
[Notices]
[Page 63561]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-22169]


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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 15Ba2-1 and Form MSD; SEC File No. 270-0088; OMB Control 
No. 3235-0083.

    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 extension of the previously approved 
collection of information provided for in Rule 15Ba2-1 (17 CFR 
240.15Ba2-1) and Form MSD (17 CFR 249.1100) under the Securities 
Exchange Act of 1934 (``Exchange Act'') (17 U.S.C. 78a et seq.).
    Rule 15Ba2-1 provides that an application for registration with the 
Commission by a bank municipal securities dealer must be filed on Form 
MSD. The Commission uses the information obtained from Form MSD filings 
to determine whether bank municipal securities dealers meet the 
standards for registration set forth in the Act, to maintain a central 
registry where members of the public may obtain information about 
particular bank municipal securities dealers, and to develop risk 
assessment information about bank municipal securities dealers.
    Based upon past submissions, the staff estimates that approximately 
21 respondents will utilize this application procedure annually. The 
staff estimates that the average number of hours necessary to comply 
with the requirements of Rule 15Ba2-1 and Form MSD is 1.5 hours per 
respondent, for a total burden of approximately 31.5 hours per year. 
The staff estimates that the average internal compliance cost per hour 
is approximately $343. Therefore, the estimated total annual cost of 
compliance for the respondents is approximately $10,805.
    Rule 15Ba2-1 does not contain an explicit recordkeeping 
requirement, but the rule does require the prompt correction of any 
information on Form MSD that becomes inaccurate, meaning that bank 
municipal securities dealers need to maintain a current copy of Form 
MSD indefinitely. Providing the information on the application is 
mandatory in order to register with the Commission as a bank municipal 
securities dealer. The information contained in the application will 
not be kept confidential.
    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: September 9, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-22169 Filed 9-14-16; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 81, No. 179 / Thursday, September 15, 2016 / Notices 63561

respondent, for a total burden of 2.5 information provided for in Rule 100 F Street NE., Washington, DC
hours per year. The staff estimates that 15Ba2–1 (17 CFR 240.15Ba2–1) and 20549, or by sending an email to: PRA_
the average internal compliance cost per Form MSD (17 CFR 249.1100) under the Mailbox@sec.gov. Comments must be
hour is approximately $343. Therefore, Securities Exchange Act of 1934 submitted to OMB within 30 days of
the estimated total cost of compliance (‘‘Exchange Act’’) (17 U.S.C. 78a et seq.). this notice.
for the respondents is approximately Rule 15Ba2–1 provides that an Dated: September 9, 2016.
$858. application for registration with the
Brent J. Fields,
Providing the information on the Commission by a bank municipal
securities dealer must be filed on Form Secretary.
application is mandatory in order to
withdraw from registration with the MSD. The Commission uses the [FR Doc. 2016–22169 Filed 9–14–16; 8:45 am]
Commission as a bank municipal information obtained from Form MSD BILLING CODE 8011–01–P

securities dealer. The information filings to determine whether bank
contained in the notice will not be kept municipal securities dealers meet the
confidential. standards for registration set forth in the SECURITIES AND EXCHANGE
An agency may not conduct or Act, to maintain a central registry where COMMISSION
sponsor, and a person is not required to members of the public may obtain [Release No. 34–78796; File No. SR–
respond to, a collection of information information about particular bank BatsBZX–2016–55]
under the PRA unless it displays a municipal securities dealers, and to
currently valid OMB control number. develop risk assessment information Self-Regulatory Organizations; Bats
The public may view background about bank municipal securities dealers. BZX Exchange, Inc.; Notice of Filing
documentation for this information Based upon past submissions, the and Immediate Effectiveness of a
collection at the following Web site: staff estimates that approximately 21 Proposed Rule Change To Amend Rule
www.reginfo.gov. Comments should be respondents will utilize this application 11.27(b) Regarding the Data Collection
directed to: (i) Desk Officer for the procedure annually. The staff estimates Requirements of the Regulation NMS
Securities and Exchange Commission, that the average number of hours Plan To Implement a Tick Size Pilot
Office of Information and Regulatory necessary to comply with the Program
Affairs, Office of Management and requirements of Rule 15Ba2–1 and Form
MSD is 1.5 hours per respondent, for a September 9, 2016.
Budget, Room 10102, New Executive Pursuant to Section 19(b)(1) of the
Office Building, Washington, DC 20503, total burden of approximately 31.5
hours per year. The staff estimates that Securities Exchange Act of 1934
or by sending an email to: (‘‘Act’’),1 and Rule 19b–4 thereunder,2
Shagufta_Ahmed@omb.eop.gov; and (ii) the average internal compliance cost per
hour is approximately $343. Therefore, notice is hereby given that on August
Pamela Dyson, Director/Chief 26, 2016, Bats BZX Exchange, Inc.
Information Officer, Securities and the estimated total annual cost of
compliance for the respondents is (‘‘Exchange’’ or ‘‘BZX’’) filed with the
Exchange Commission, c/o Remi Pavlik- Securities and Exchange Commission
Simon, 100 F Street NE., Washington, approximately $10,805.
Rule 15Ba2–1 does not contain an (‘‘Commission’’) the proposed rule
DC 20549, or by sending an email to: change as described in Items I and II
PRA_Mailbox@sec.gov. Comments must explicit recordkeeping requirement, but
the rule does require the prompt below, which Items have been prepared
be submitted to OMB within 30 days of by the Exchange. The Exchange has
this notice. correction of any information on Form
MSD that becomes inaccurate, meaning designated this proposal as a ‘‘non-
Dated: September 9, 2016. that bank municipal securities dealers controversial’’ proposed rule change
Brent J. Fields, need to maintain a current copy of Form pursuant to Section 19(b)(3)(A) of the
Secretary. MSD indefinitely. Providing the Act 3 and Rule 19b–4(f)(6)(iii)
[FR Doc. 2016–22170 Filed 9–14–16; 8:45 am] information on the application is thereunder,4 which renders it effective
BILLING CODE 8011–01–P mandatory in order to register with the upon filing with the Commission. The
Commission as a bank municipal Commission is publishing this notice to
securities dealer. The information solicit comments on the proposed rule
SECURITIES AND EXCHANGE contained in the application will not be change from interested persons.
COMMISSION kept confidential. I. Self-Regulatory Organization’s
An agency may not conduct or
Submission for OMB Review; Statement of the Terms of Substance of
sponsor, and a person is not required to
Comment Request the Proposed Rule Change
respond to, a collection of information
under the PRA unless it displays a The Exchange filed a proposal to
Upon Written Request, Copies Available amend Exchange Rule 11.27(b)
currently valid OMB control number.
From: Securities and Exchange regarding the data collection
The public may view background
Commission, Office of FOIA Services, requirements of the Regulation NMS
documentation for this information
100 F Street NE., Washington, DC Plan to Implement a Tick Size Pilot
collection at the following Web site:
20549–2736. Program (‘‘Plan’’).5
www.reginfo.gov. Comments should be
Extension: directed to: (i) Desk Officer for the The text of the proposed rule change
Rule 15Ba2–1 and Form MSD; SEC File No. Securities and Exchange Commission, is available at the Exchange’s Web site
270–0088; OMB Control No. 3235–0083. Office of Information and Regulatory at www.batstrading.com, at the
Notice is hereby given that pursuant Affairs, Office of Management and principal office of the Exchange, and at
sradovich on DSK3GMQ082PROD with NOTICES

to the Paperwork Reduction Act of 1995 Budget, Room 10102, New Executive
1 15 U.S.C. 78s(b)(1).
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the Office Building, Washington, DC 20503,
2 17 CFR 240.19b–4.
Securities and Exchange Commission or by sending an email to: Shagufta_ 3 15 U.S.C. 78s(b)(3)(A).
(‘‘Commission’’) has submitted to the Ahmed@omb.eop.gov; and (ii) Pamela 4 17 CFR 240.19b–4(f)(6)(iii).
Office of Management and Budget Dyson, Director/Chief Information 5 See Securities Exchange Act Release No. 74892
(‘‘OMB’’) a request for extension of the Officer, Securities and Exchange (May 6, 2015), 80 FR 27513 (May 13, 2015)
previously approved collection of Commission, c/o Remi Pavlik-Simon, (‘‘Approval Order’’).

VerDate Sep<11>2014 17:34 Sep 14, 2016 Jkt 238001 PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 E:\FR\FM\15SEN1.SGM 15SEN1

Document Created: 2018-02-09 13:18:13
Document Modified: 2018-02-09 13:18:13

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 63561