81 FR 73458 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 206 (October 25, 2016)

Page Range		73458-73459
FR Document		2016-25706

Federal Register, Volume 81 Issue 206 (Tuesday, October 25, 2016)

[Federal Register Volume 81, Number 206 (Tuesday, October 25, 2016)]
[Notices]
[Pages 73458-73459]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-25706]


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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:
    Form F-1, SEC File No. 270-249, OMB Control No. 3235-0258

    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 F-1 (17 CFR 239.31) is used by certain foreign private issuers 
to register securities pursuant to the Securities Act of 1933 (15 
U.S.C. 77a et seq.). The information collected is intended to ensure 
that the information required to be filed by the Commission permits

[[Page 73459]]

verification of compliance with securities law requirements and assures 
the public availability of such information. Form F-1 takes 
approximately 1,709 hours per response and is filed by approximately 63 
respondents. We estimate that 25% of the 1,709 hours per response 
(427.25 hours) is prepared by the registrant for a total annual 
reporting burden of 26,917 hours (427.25 hours per response x 63 
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: October 18, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-25706 Filed 10-24-16; 8:45 am]
BILLING CODE 8011-01-P

73458 Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Notices

rather than a FLEX Specialist due to subject line if email is used. To help the filing. Additionally, deleting the
market structure changes. The new rules Commission process and review your proposal to permit cash settlement for
will set forth with specificity the comments more efficiently, please use all FLEX Equity Options other than
particular functions and requirements of only one method. The Commission will FLEX ByRDs, and the corresponding
a FLEX Official to, among other things, post all comments on the Commission’s provision that would permit the use of
ensure adherence to FLEX rules and call Internet Web site (http://www.sec.gov/ a VWAP settlement for FLEX Equity
in a Specialist to make FLEX Quotes. rules/sro.shtml). Copies of the Options other than FLEX ByRDs, helps
The Exchange has represented that the submission, all subsequent to ensure that the proposal does not
FLEX Official would be an Exchange amendments, all written statements raise investor protection and
employee that reports to the regulatory with respect to the proposed rule manipulation concerns and allows the
officer of the Exchange. The change that are filed with the Commission to no longer consider these
Commission would expect the Exchange Commission, and all written provisions for consistency with the Act.
to ensure that such FLEX Official, or communications relating to the Accordingly, for the reasons noted
any other designated qualified proposed rule change between the above, the Commission finds good cause
employees called in to assist the FLEX Commission and any person, other than for approving the proposed rule change,
Official as permitted under the new those that may be withheld from the as modified by Amendment Nos. 2 and
rule, are properly qualified and meet public in accordance with the 3, on an accelerated basis, pursuant to
any necessary requirements. The provisions of 5 U.S.C. 552, will be Section 19(b)(2) of the Act.71
regulatory oversight of FLEX available for Web site viewing and
printing in the Commission’s Public VI. Conclusion
transactions by a properly qualified
FLEX Official could help to ensure that Reference Room, 100 F Street NE., It is therefore ordered, pursuant to
FLEX transactions comply with the Washington, DC 20549 on official Section 19b(2) of the Act,72 that the
FLEX rules. Therefore we find this business days between the hours of proposed rule change (SR–NYSEMKT–
change is consistent with the Act. The 10:00 a.m. and 3:00 p.m. Copies of such 2016–48), as modified by Amendment
proposed conforming changes to other filing also will be available for Nos. 2 and 3 thereto, be, and hereby is,
provisions in the Exchange rules would inspection and copying at the principal approved on an accelerated basis.
enhance clarity and consistency. office of the Exchange. All comments For the Commission, by the Division of
Moreover, the Commission believes that received will be posted without change; Trading and Markets, pursuant to delegated
the proposed changes to refer to FLEX the Commission does not edit personal authority.73
Requests for Quotes and FLEX Quotes as identifying information from Brent J. Fields,
being disseminated and remove the submissions. You should submit only Secretary.
concept of a post specific to the trading information that you wish to make [FR Doc. 2016–25713 Filed 10–24–16; 8:45 am]
of FLEX options will align the rules available publicly. All submissions BILLING CODE 8011–01–P
with current trading practices on the should refer to File Number SR–
Exchange’s floor.70 NYSEMKT–2016–48, and should be
Finally, the Commission believes that submitted on or before November 15, SECURITIES AND EXCHANGE
the proposal’s minor, conforming, and 2016. COMMISSION
technical revisions to Section 15, Rules V. Accelerated Approval of Proposed
900G through 909G are consistent with Submission for OMB Review;
Rule Change, as Modified by
the Act. Amendment Nos. 2 and 3 Comment Request
IV. Solicitation of Comments on The Commission finds good cause to Upon Written Request Copies Available
Amendment Nos. 2 and 3 approve the proposed rule change, as From: Securities and Exchange
Interested persons are invited to modified by Amendment Nos. 2 and 3, Commission, Office of FOIA Services,
submit written data, views, and prior to the thirtieth day after the date 100 F Street NE., Washington, DC
arguments concerning whether of publication of the notice of 20549–2736.
Amendment Nos. 2 and 3 are consistent Amendment Nos. 2 and 3 in the Federal Extension:
with the Act. Comments may be Register. As discussed above, the Form F–1, SEC File No. 270–249, OMB
submitted by any of the following proposed changes regarding the Control No. 3235–0258
methods: operation of FLEX ByRDs, including the Notice is hereby given that, pursuant
delineation of applicable position limits to the Paperwork Reduction Act of 1995
Electronic Comments and statement that FLEX ByRDs will be (44 U.S.C. 3501 et seq.), the Securities
• Use the Commission’s Internet settled similar to Non-FLEX ByRDs, and Exchange Commission
comment form (http://www.sec.gov/ using all-day VWAP settlement and (‘‘Commission’’) has submitted to the
rules/sro.shtml); or European exercise style, will provide Office of Management and Budget this
• Send an email to rule-comments@ additional clarity to the Exchange’s request for extension of the previously
sec.gov. Please include File Number SR– rules concerning FLEX ByRDs. approved collection of information
NYSEMKT–2016–48 on the subject line. Similarly, the proposed changes to discussed below.
specify that Asian and Cliquet style Form F–1 (17 CFR 239.31) is used by
Paper Comments settlement will be available only for certain foreign private issuers to register
• Send paper comments in triplicate FLEX Index Options on broad stock securities pursuant to the Securities Act
to Brent J. Fields, Secretary, Securities index groups remove potential for
mstockstill on DSK3G9T082PROD with NOTICES

of 1933 (15 U.S.C. 77a et seq.). The
and Exchange Commission, 100 F Street ambiguity about the operation of these information collected is intended to
NE., Washington, DC 20549–1090. settlement styles for FLEX Options. ensure that the information required to
All submissions should refer to File Furthermore, the Commission believes be filed by the Commission permits
Number SR–NYSEMKT–2016–48. This it is appropriate to have these changes
file number should be included on the incorporated into the rules of the 71 15 U.S.C. 78s(b)(2).
Exchange concurrently with the changes 72 Id.
70 See supra note 51 and accompanying text. noticed for comment in the original 73 17 CFR 200.30–3(a)(12).

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Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Notices 73459

verification of compliance with Commissioner Piwowar, as duty Dated: October 19, 2016.
securities law requirements and assures officer, voted to consider the items Brent J. Fields,
the public availability of such listed for the closed meeting in closed Secretary.
information. Form F–1 takes session. [FR Doc. 2016–25807 Filed 10–21–16; 11:15 am]
approximately 1,709 hours per response The subject matter of the closed BILLING CODE 8011–01–P
and is filed by approximately 63 meeting will be:
respondents. We estimate that 25% of
Institution and settlement of
the 1,709 hours per response (427.25 SECURITIES AND EXCHANGE
injunctive actions;
hours) is prepared by the registrant for COMMISSION
a total annual reporting burden of Institution and settlement of
26,917 hours (427.25 hours per response administrative proceedings; Submission for OMB Review;
× 63 responses). Resolution of litigation claims; Comment Request
An agency may not conduct or Adjudicatory matters; and Upon Written Request, Copies Available
sponsor, and a person is not required to
Other matters relating to enforcement From: Securities and Exchange
respond to, a collection of information
proceedings. Commission, Office of FOIA Services,
unless it displays a currently valid
At times, changes in Commission 100 F Street NE., Washington, DC
control number.
The public may view the background priorities require alterations in the 20549–2736.
documentation for this information scheduling of meeting items. Extension:
collection at the following Web site, For further information and to Rule 17a–3; SEC File No. 270–026, OMB
www.reginfo.gov. Comments should be Control No. 3235–0033.
ascertain what, if any, matters have been
directed to: (i) Desk Officer for the added, deleted or postponed; please Notice is hereby given that pursuant
Securities and Exchange Commission, contact Brent J. Fields from the Office of to the Paperwork Reduction Act of 1995
Office of Information and Regulatory the Secretary at (202) 551–5400. (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Affairs, Office of Management and Dated: October 20, 2016.
Securities and Exchange Commission
Budget, Room 10102, New Executive (‘‘Commission’’) has submitted to the
Brent J. Fields,
Office Building, Washington, DC 20503, Office of Management and Budget
or by sending an email to: Shagufta_ Secretary. (‘‘OMB’’) a request for extension of the
Ahmed@omb.eop.gov; and (ii) Pamela [FR Doc. 2016–25827 Filed 10–21–16; 11:15 am] previously approved collection of
Dyson, Director/Chief Information BILLING CODE 8011–01–P information discussed below. The Code
Officer, Securities and Exchange of Federal Regulation citation to this
Commission, c/o Remi Pavlik-Simon, collection of information is the
100 F Street NE., Washington, DC 20549 SECURITIES AND EXCHANGE following rule: 17 CFR 240.17a–3.
or send an email to: PRA_Mailbox@ COMMISSION Rule 17a–3 under the Securities
sec.gov. Comments must be submitted to Exchange Act of 1934 establishes
Sunshine Act Meeting minimum standards with respect to
OMB within 30 days of this notice.
business records that broker-dealers
Dated: October 18, 2016. Notice is hereby given, pursuant to
registered with the Commission must
Brent J. Fields, the provisions of the Government in the
make and keep current. These records
Secretary. Sunshine Act, Public Law 94–409, that
are maintained by the broker-dealer (in
[FR Doc. 2016–25706 Filed 10–24–16; 8:45 am] the Securities and Exchange
accordance with a separate rule), so they
Commission will hold an Open Meeting
BILLING CODE 8011–01–P can be used by the broker-dealer and
on Wednesday, October 26, 2016 at
reviewed by Commission examiners, as
10:00 a.m., in the Auditorium, Room L–
well as other regulatory authority
SECURITIES AND EXCHANGE 002.
examiners, during inspections of the
COMMISSION The subject matter of the Open broker-dealer.
Meeting will be: The collections of information
Sunshine Act Meeting
• The Commission will consider included in Rule 17a–3 are necessary to
Notice is hereby given, pursuant to whether to propose amendments to the provide Commission, self-regulatory
the provisions of the Government in the proxy rules relating to the use of organization and state examiners to
Sunshine Act, Public Law 94–409, that universal proxy cards and disclosure conduct effective and efficient
the Securities and Exchange about voting options and voting examinations to determine whether
Commission will hold a closed meeting standards in director elections. broker-dealers are complying with
on Thursday, October 27, 2016 at 2 p.m. • The Commission will consider relevant laws, rules, and regulations. If
Commissioners, Counsel to the whether to adopt rule amendments broker-dealers were not required to
Commissioners, the Secretary to the related to Securities Act Rules 147 and create these baseline, standardized
Commission, and recording secretaries 504 to facilitate intrastate and regional records, Commission, self-regulatory
will attend the closed meeting. Certain securities offerings and whether to organization and state examiners could
staff members who have an interest in repeal Securities Act Rule 505. be unable to determine whether broker-
the matters also may be present. dealers are in compliance with the
The General Counsel of the At times, changes in Commission
Commission’s antifraud and anti-
Commission, or her designee, has priorities require alterations in the
manipulation rules, financial
mstockstill on DSK3G9T082PROD with NOTICES

certified that, in her opinion, one or scheduling of meeting items.
responsibility program, and other
more of the exemptions set forth in 5 For further information and to Commission, SRO, and State laws, rules,
U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) ascertain what, if any, matters have been and regulations.
and 17 CFR 200.402(a)(3), (a)(5), (a)(7), added, deleted, or postponed, please As of April 1, 2016 there were 4,104
(a)(9)(ii) and (a)(10), permit contact Brent J. Fields in: broker-dealers registered with the
consideration of the scheduled matter at The Office of the Secretary at (202) Commission. The Commission estimates
the closed meeting. 551–5400. that these broker-dealer respondents

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Document Created: 2018-02-13 16:38:16
Document Modified: 2018-02-13 16:38:16

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 73458