81 FR 87635 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 233 (December 5, 2016)

Page Range		87635-87635
FR Document		2016-29089

Federal Register, Volume 81 Issue 233 (Monday, December 5, 2016)

[Federal Register Volume 81, Number 233 (Monday, December 5, 2016)]
[Notices]
[Page 87635]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-29089]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; 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 BD-N/Rule 15b11-1; SEC File No. 270-498, OMB Control No. 
3235-0556.

    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'') is soliciting comments on the 
collection of information provided for in Rule 15b11-1 (17 CFR 
240.15b11-1) under the Securities Exchange Act of 1934 (``Exchange 
Act'') (15 U.S.C. 78a et seq.). The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget (``OMB'') for extension and approval.
    Rule 15b11-1 provides that a broker or dealer may register by 
notice pursuant to section 15(b)(11)(A) of the Exchange Act (15 U.S.C. 
78o(b)(11)(A)) if it: (1) Is registered with the Commodity Futures 
Trading Commission as a futures commission merchant or an introducing 
broker, as those terms are defined in the Commodity Exchange Act (7 
U.S.C. 1, et seq.); (2) is a member of the National Futures Association 
or another national securities association registered under section 
15A(k) of the Exchange Act (15 U.S.C. 78o-3(k)); and (3) is not 
required to register as a broker or dealer in connection with 
transactions in securities other than security futures products. The 
rule also requires a broker or dealer registering by notice to do so by 
filing Form BD-N (17 CFR 249.501b) in accordance with the instructions 
to the form. In addition, the rule provides that if the information 
provided by filing the form is or becomes inaccurate for any reason, 
the broker or dealer shall promptly file an amendment on the form 
correcting such information.
    The Commission staff estimates that the total annual reporting 
burden associated with Rule 15b11-1 and Form BD-N is approximately 
three hours, based on an average of two initial notice registrations 
per year that each take approximately 30 minutes to complete, for one 
hour, plus an average of nine amendments per year that each take 
approximately fifteen minutes to complete, for 2.25 hours, rounded down 
to two hours, for a total of three hours.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed 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. 
Consideration will be given to comments and suggestions submitted in 
writing within 60 days of this publication.
    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.
    Please direct your written comments to: 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].

    Dated: November 17, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-29089 Filed 12-2-16; 8:45 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices 87635

subparagraph (f)(6) of Rule 19b–4 Reference Room, 100 F Street NE., section 15A(k) of the Exchange Act (15
thereunder.10 Washington, DC 20549, on official U.S.C. 78o–3(k)); and (3) is not required
At any time within 60 days of the business days between the hours of to register as a broker or dealer in
filing of the proposed rule change, the 10:00 a.m. and 3:00 p.m. Copies of the connection with transactions in
Commission summarily may filing also will be available for securities other than security futures
temporarily suspend such rule change if inspection and copying at the principal products. The rule also requires a broker
it appears to the Commission that such office of the Exchange. All comments or dealer registering by notice to do so
action is: (i) Necessary or appropriate in received will be posted without change; by filing Form BD–N (17 CFR 249.501b)
the public interest; (ii) for the protection the Commission does not edit personal in accordance with the instructions to
of investors; or (iii) otherwise in identifying information from
the form. In addition, the rule provides
furtherance of the purposes of the Act. submissions. You should submit only
that if the information provided by
If the Commission takes such action, the information that you wish to make
available publicly. filing the form is or becomes inaccurate
Commission shall institute proceedings
All submissions should refer to File for any reason, the broker or dealer shall
to determine whether the proposed rule
should be approved or disapproved. Number SR–Phlx–2016–115 and should promptly file an amendment on the
be submitted on or before December 27, form correcting such information.
IV. Solicitation of Comments 2016. The Commission staff estimates that
Interested persons are invited to For the Commission, by the Division of the total annual reporting burden
submit written data, views, and Trading and Markets, pursuant to delegated associated with Rule 15b11–1 and Form
arguments concerning the foregoing, authority.11 BD–N is approximately three hours,
including whether the proposed rule Robert W. Errett, based on an average of two initial notice
change is consistent with the Act. Deputy Secretary. registrations per year that each take
Comments may be submitted by any of [FR Doc. 2016–29046 Filed 12–2–16; 8:45 am] approximately 30 minutes to complete,
the following methods: BILLING CODE 8011–01–P for one hour, plus an average of nine
Electronic Comments amendments per year that each take
• Use the Commission’s Internet approximately fifteen minutes to
SECURITIES AND EXCHANGE complete, for 2.25 hours, rounded down
comment form (http://www.sec.gov/ COMMISSION
rules/sro.shtml); or to two hours, for a total of three hours.
• Send an email to rule-comments@ Proposed Collection; Comment Written comments are invited on: (a)
sec.gov. Please include File Number SR– Request Whether the proposed collection of
Phlx–2016–115 on the subject line. information is necessary for the proper
Upon Written Request, Copies Available
Paper Comments performance of the functions of the
From: Securities and Exchange
Commission, Office of FOIA Services, Commission, including whether the
• Send paper comments in triplicate information shall have practical utility;
to Secretary, Securities and Exchange 100 F Street NE., Washington, DC
20549–2736. (b) the accuracy of the Commission’s
Commission, 100 F Street NE., estimates of the burden of the proposed
Washington, DC 20549–1090. Extension:
collection of information; (c) ways to
All submissions should refer to File Form BD–N/Rule 15b11–1; SEC File No.
270–498, OMB Control No. 3235–0556. enhance the quality, utility, and clarity
Number SR–Phlx–2016–115. This file of the information collected; and (d)
number should be included on the Notice is hereby given that, pursuant ways to minimize the burden of the
subject line if email is used. to the Paperwork Reduction Act of 1995
collection of information on
To help the Commission process and (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
respondents, including through the use
review your comments more efficiently, Securities and Exchange Commission
(‘‘Commission’’) is soliciting comments of automated collection techniques or
please use only one method. The other forms of information technology.
Commission will post all comments on on the collection of information
provided for in Rule 15b11–1 (17 CFR Consideration will be given to
the Commission’s Internet Web site
240.15b11–1) under the Securities comments and suggestions submitted in
(http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all Exchange Act of 1934 (‘‘Exchange Act’’) writing within 60 days of this
subsequent amendments, all written (15 U.S.C. 78a et seq.). The Commission publication.
statements with respect to the proposed plans to submit this existing collection An agency may not conduct or
rule change that are filed with the of information to the Office of sponsor, and a person is not required to
Commission, and all written Management and Budget (‘‘OMB’’) for respond to, a collection of information
communications relating to the extension and approval. under the PRA unless it displays a
proposed rule change between the Rule 15b11–1 provides that a broker currently valid OMB control number.
Commission and any person, other than or dealer may register by notice
pursuant to section 15(b)(11)(A) of the Please direct your written comments
those that may be withheld from the to: Pamela Dyson, Director/Chief
public in accordance with the Exchange Act (15 U.S.C. 78o(b)(11)(A))
if it: (1) Is registered with the Information Officer, Securities and
provisions of 5 U.S.C. 552, will be Exchange Commission, c/o Remi Pavlik-
available for Web site viewing and Commodity Futures Trading
Commission as a futures commission Simon, 100 F Street NE., Washington,
printing in the Commission’s Public
DC 20549, or send an email to: PRA_
sradovich on DSK3GMQ082PROD with NOTICES

merchant or an introducing broker, as
10 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– those terms are defined in the Mailbox@sec.gov.
4(f)(6) requires a self-regulatory organization to give Commodity Exchange Act (7 U.S.C. 1, et Dated: November 17, 2016.
the Commission written notice of its intent to file seq.); (2) is a member of the National
the proposed rule change at least five business days Robert W. Errett,
Futures Association or another national
prior to the date of filing of the proposed rule Deputy Secretary.
change, or such shorter time as designated by the securities association registered under
[FR Doc. 2016–29089 Filed 12–2–16; 8:45 am]
Commission. The Exchange has satisfied this
requirement. 11 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P

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Document Created: 2016-12-03 00:25:46
Document Modified: 2016-12-03 00:25:46

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 87635