81 FR 87644 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

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

Page Range		87644-87645
FR Document		2016-29083

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

[Federal Register Volume 81, Number 233 (Monday, December 5, 2016)]
[Notices]
[Pages 87644-87645]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-29083]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copy Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 
20549-2736

Extension:

[[Page 87645]]

    Form N-CSR, SEC File No. 270-512, OMB Control No. 3235-0570

    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 (the ``Commission'') is soliciting comments on the 
collection of information summarized below. The Commission plans to 
submit this existing collection of information to the Office of 
Management and Budget (``OMB'') for extension and approval.
    Form N-CSR (17 CFR 249.331 and 274.128) is a combined reporting 
form used by registered management investment companies (``funds'') to 
file certified shareholder reports under the Investment Company Act of 
1940 (15 U.S.C. 80a-1 et seq.) (``Investment Company Act'') and the 
Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange 
Act''). Specifically, Form N-CSR is to be used for reports under 
section 30(b)(2) of the Investment Company Act (15 U.S.C. 80a-29(b)(2)) 
and section 13(a) or 15(d) of the Exchange Act (15 U.S.C. 78m(a) and 
78o(d)), filed pursuant to rule 30b2-1(a) under the Investment Company 
Act (17 CFR 270.30b2-1(a)). Reports on Form N-CSR are to be filed with 
the Securities and Exchange Commission (``Commission'') no later than 
10 days after the transmission to stockholders of any report that is 
required to be transmitted to stockholders under rule 30e-1 under the 
Investment Company Act (17 CFR 270.30e-1). The information filed with 
the Commission permits the verification of compliance with securities 
law requirements and assures the public availability and dissemination 
of the information.
    Form N-CSR is filed semi-annually, and the Commission estimates 
that there are 3,449 respondents with 11,642 portfolios. The Commission 
further estimates that the hour burden for preparing and filing a 
report on Form N-CSR is 7.21 hours per portfolio. The total annual hour 
burden for Form N-CSR, therefore, is estimated to be 167,878 hours. We 
estimate that the cost burden of preparing and filing a report on Form 
N-CSR is $132.35 and therefore estimate that the total annual cost 
burden associated with Form N-CSR is $3,081,637.
    Estimates of average burden hours and costs are made solely for 
purposes of the Paperwork Reduction Act, and are not derived from a 
comprehensive or even representative survey or study of the costs of 
Commission rules and forms. Compliance with the information collection 
requirements of Form N-CSR is mandatory. Responses to the collection of 
information 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 unless it displays a currently valid OMB control number.
    Written comments are invited on: (a) Whether the collection of 
information is necessary for the proper performance of the functions of 
the Commission, including whether the information has practical 
utility; (b) the accuracy of the Commission's estimate of the burden of 
the 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.
    Please direct your written comments to Pamela Dyson, 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].
    All submissions should refer to File Number 270-512. This file 
number should be included on the subject line if email is used. The 
Commission will post all comments on the Commission's Internet Web site 
(http://www.sec.gov). All comments received will be posted without 
change; we do not edit personal identifying information from 
submissions. You should submit only information that you wish to make 
available publicly.

    Dated: November 22, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-29083 Filed 12-2-16; 8:45 am]
 BILLING CODE 8011-01-P

87644 Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices

connectivity restrictions are already in B. Self-Regulatory Organization’s Paper Comments
place on the Exchange.21 Furthermore, Statement on Burden on Competition
• Send paper comments in triplicate
the Exchange believes that proposed The Exchange does not believe that to Brent J. Fields, Secretary, Securities
Rule 6.18(f) is consistent with Section the proposed rule change will impose and Exchange Commission, 100 F Street
6(b)(7) 22 of the Act, which requires the any burden on competition that is not NE., Washington, DC 20549–1090.
Exchange to adopt rules that provide a necessary or appropriate in furtherance
fair procedure for the disciplining of of the purposes of the Act. Rather, the All submissions should refer to File
members and persons associated with proposed rule change will help ensure Number SR–CBOE–2016–078. This file
members, the denial of membership to that competitive markets remain number should be included on the
any person seeking membership therein, operative in the event of a systems subject line if email is used. To help the
failure or other disaster event. The Commission process and review your
the barring of any person from becoming
Exchange notes that the proposed rule comments more efficiently, please use
associated with a member thereof, and
change is designed to provide the only one method. The Commission will
the prohibition or limitation by the
Exchange with authority to require post all comments on the Commission’s
exchange of any person with respect to
market participants to participate in, Internet Web site (http://www.sec.gov/
access to services offered by the rules/sro.shtml). Copies of the
exchange or a member thereof. The and provide necessary liquidity to, the
market to ensure that the Exchange submission, all subsequent
Exchange notes that proposed Rule amendments, all written statements
6.18(f) is not aimed at denying access to functions in a fair and orderly manner
in the event of a significant systems with respect to the proposed rule
a particular TPH, but rather making sure change that are filed with the
that the Exchange remains accessible to failure, disaster, or other unusual
circumstances. Accordingly, the Commission, and all written
all other TPHs that do not threaten the communications relating to the
Exchange believes that the proposed
Exchange’s ability to conduct normal proposed rule change between the
rule change is designed to ensure fair
business operations. The Exchange Commission and any person, other than
and competitive markets at time when
notes that as soon as the Exchange, those that may be withheld from the
they may be most needed.
working with the TPH organization that public in accordance with the
poses a threat to the Exchange, were C. Self-Regulatory Organization’s provisions of 5 U.S.C. 552, will be
able to confirm that the TPH Statement on Comments on the available for Web site viewing and
organization no longer posed such a Proposed Rule Change Received From printing in the Commission’s Public
threat, access to the Exchange would be Members, Participants, or Others Reference Room, 100 F Street NE.,
restored to that TPH. The Exchange The Exchange neither solicited nor Washington, DC 20549 on official
believes that this is a fair result and is received written comments on the business days between the hours of
[sic] the best interests of all market proposed rule change. 10:00 a.m. and 3:00 p.m. Copies of such
participants, investors, and the general filing also will be available for
III. Date of Effectiveness of the inspection and copying at the principal
public.
Proposed Rule Change and Timing for offices of the Exchange. All comments
The Exchange also believes that the Commission Action received will be posted without change;
proposed rule change promotes just and Within 45 days of the date of the Commission does not edit personal
equitable principles of trade by adding publication of this notice in the Federal identifying information from
detail and clarity to the Rules. The Register or within such longer period submissions. You should submit only
proposed rule change seeks to provide up to 90 days (i) as the Commission may information that you wish to make
additional clarity to the Exchange’s designate if it finds such longer period available publicly. All submissions
disaster recovery rules, putting all to be appropriate and publishes its should refer to File Number SR–CBOE–
market participants on notice as to how reasons for so finding or (ii) as to which 2016–078, and should be submitted on
the Exchange will function in case of the Exchange consents, the Commission or before December 27, 2016.
significant systems disruption or other will: For the Commission, by the Division of
disaster situation. The Exchange is A. By order approve or disapprove Trading and Markets, pursuant to delegated
continuously updating the Rules to such proposed rule change, or authority.23
provide additional detail, clarity, and B. institute proceedings to determine
Robert W. Errett,
transparency regarding its operations whether the proposed rule change
Deputy Secretary.
and trading systems and regulatory should be disapproved.
[FR Doc. 2016–29044 Filed 12–2–16; 8:45 am]
authority. The Exchange believes that IV. Solicitation of Comments BILLING CODE 8011–01–P
the adoption of detailed, clear, and
transparent rules reduces burdens on Interested persons are invited to
competition and promotes just and submit written data, views, and
arguments concerning the foregoing, SECURITIES AND EXCHANGE
equitable principles of trade. The COMMISSION
including whether the proposed rule
Exchange also believes that adding
change, as modified by Amendment No.
greater detail to the Rules regarding the Proposed Collection; Comment
1, is consistent with the Act. Comments
Exchange’s ability to ensure the Request
may be submitted by any of the
continuous operation of the market and following methods:
preserve the ability to conduct business Upon Written Request, Copy Available
sradovich on DSK3GMQ082PROD with NOTICES

on the Exchange will increase Electronic Comments From: Securities and Exchange
Commission, Office of FOIA Services,
confidence in the markets and • Use the Commission’s Internet
encourage wider participation in the 100 F Street NE., Washington, DC
comment form (http://www.sec.gov/
markets and greater investment. 20549–2736
rules/sro.shtml); or
• Send an email to rule-comments@ Extension:
21 See Rules 6.23A(b); 6.23C(a). sec.gov. Please include File Number SR–
22 15 U.S.C. 78f(b)(7). CBOE–2016–078 on the subject line. 23 17 CFR 200.30–3(a)(12).

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Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices 87645

Form N–CSR, SEC File No. 270–512, OMB collection of information will not be (‘‘Act’’) 1 and Rule 608 thereunder,2
Control No. 3235–0570 kept confidential. An agency may not notice is hereby given that on November
Notice is hereby given that, pursuant conduct or sponsor, and a person is not 4, 2016, Investors Exchange, LLC (‘‘IEX’’
to the Paperwork Reduction Act of 1995 required to respond to a collection of or ‘‘Exchange’’) filed with the Securities
(44 U.S.C. 3501 et seq.), the Securities information unless it displays a and Exchange Commission
and Exchange Commission (the currently valid OMB control number. (‘‘Commission’’) an amendment to the
‘‘Commission’’) is soliciting comments Written comments are invited on: (a) National Market System Plan for the
on the collection of information Whether the collection of information is Selection and Reservation of Securities
summarized below. The Commission necessary for the proper performance of Symbols (‘‘Symbology Plan’’ or
plans to submit this existing collection the functions of the Commission, ‘‘Plan’’).3 The amendment proposes to
of information to the Office of including whether the information has add IEX as a party to the Symbology
Management and Budget (‘‘OMB’’) for practical utility; (b) the accuracy of the Plan. The Commission is publishing this
extension and approval. Commission’s estimate of the burden of notice to solicit comments on the
Form N–CSR (17 CFR 249.331 and the collection of information; (c) ways to proposed amendment from interested
274.128) is a combined reporting form enhance the quality, utility, and clarity persons.
used by registered management of the information collected; and (d) I. Description and Purpose of the
investment companies (‘‘funds’’) to file ways to minimize the burden of the Amendment
certified shareholder reports under the collection of information on
Investment Company Act of 1940 (15 respondents, including through the use The current parties to the Symbology
U.S.C. 80a–1 et seq.) (‘‘Investment of automated collection techniques or Plan are BATS Exchange, Inc.
Company Act’’) and the Securities other forms of information technology. (‘‘BATS’’), NASDAQ OMX BX, Inc.
Exchange Act of 1934 (15 U.S.C. 78a et Consideration will be given to (‘‘BX’’), BOX Options Exchange, LLC
seq.) (‘‘Exchange Act’’). Specifically, comments and suggestions submitted in (‘‘BOX’’), Chicago Board Options
Form N–CSR is to be used for reports writing within 60 days of this Exchange, Incorporated (‘‘CBOE’’), CHX,
under section 30(b)(2) of the Investment publication. EDGA Exchange, Inc. (‘‘EDGA’’), EDGX
Company Act (15 U.S.C. 80a–29(b)(2)) Exchange, Inc. (‘‘EDGX’’), FINRA, the
Please direct your written comments International Securities Exchange, LLC
and section 13(a) or 15(d) of the to Pamela Dyson, Chief Information
Exchange Act (15 U.S.C. 78m(a) and (‘‘ISE’’), Nasdaq, New York Stock
Officer, Securities and Exchange Exchange, LLC (‘‘NYSE’’), NYSE MKT
78o(d)), filed pursuant to rule 30b2–1(a) Commission, c/o Remi Pavlik-Simon,
under the Investment Company Act (17 LLC (‘‘NYSE MKT’’), and NYSE Arca,
100 F Street NE., Washington, DC Inc. (‘‘NYSE Arca’’), NSX and Phlx.4
CFR 270.30b2–1(a)). Reports on Form 20549; or send an email to: PRA_
N–CSR are to be filed with the Mailbox@sec.gov. 1 15 U.S.C. 78k–1(a)(3).
Securities and Exchange Commission All submissions should refer to File 2 17 CFR 242.608.
(‘‘Commission’’) no later than 10 days Number 270–512. This file number 3 On November 6, 2008, the Commission
after the transmission to stockholders of should be included on the subject line approved the Symbology Plan that was originally
any report that is required to be if email is used. The Commission will proposed by the Chicago Stock Exchange, Inc.
transmitted to stockholders under rule (‘‘CHX’’), The Nasdaq Stock Market, Inc. (n/k/a The
post all comments on the Commission’s Nasdaq Stock Market LLC) (‘‘Nasdaq’’), National
30e–1 under the Investment Company Internet Web site (http://www.sec.gov). Association of Securities Dealers, Inc. (‘‘NASD’’) (n/
Act (17 CFR 270.30e–1). The All comments received will be posted k/a Financial Industry Regulatory Authority, Inc.
information filed with the Commission without change; we do not edit personal (‘‘FINRA’’)), National Stock Exchange, Inc. (‘‘NSX’’),
permits the verification of compliance and Philadelphia Stock Exchange, Inc. (‘‘Phlx’’),
identifying information from subject to certain changes. See Securities Exchange
with securities law requirements and submissions. You should submit only Act Release No. 58904, 73 FR 67218 (November 13,
assures the public availability and information that you wish to make 2008) (File No. 4–533).
dissemination of the information. available publicly.
4 On November 18, 2008, ISE filed with the

Form N–CSR is filed semi-annually, Commission an amendment to the Plan to add ISE
and the Commission estimates that there Dated: November 22, 2016. as a member to the Plan. See Securities and
Exchange Act Release No. 59024 (November 26,
are 3,449 respondents with 11,642 Robert W. Errett,
2008), 73 FR 74538 (December 8, 2008) (File No. 4–
portfolios. The Commission further Deputy Secretary. 533). On December 22, 2008, NYSE, NYSE Arca,
estimates that the hour burden for [FR Doc. 2016–29083 Filed 12–2–16; 8:45 am] and NYSE Alternext (n/k/a NYSE MKT) (‘‘NYSE
Group Exchanges’’), and CBOE filed with the
preparing and filing a report on Form BILLING CODE 8011–01–P
Commission amendments to the Plan to add the
N–CSR is 7.21 hours per portfolio. The NYSE Group Exchanges and CBOE as members to
total annual hour burden for Form N– the Plan. See Securities Exchange Act Release No.
CSR, therefore, is estimated to be SECURITIES AND EXCHANGE 59162 (December 24, 2008), 74 FR 132 (January 2,
COMMISSION 2009) (File No. 4–533). On December 24, 2008, BSE
167,878 hours. We estimate that the cost (n/k/a BX) filed with the Commission an
burden of preparing and filing a report amendment to the Plan to add BSE as a member to
on Form N–CSR is $132.35 and [Release No. 34–79422; File No. 4–533] the Plan. See Securities Exchange Act Release No.
therefore estimate that the total annual 59187 (December 30, 2008), 74 FR 729 (January 7,
Joint Industry Plan; Notice of Filing 2009) (File No. 4–533). On September 30, 2009,
cost burden associated with Form N– BATS filed with the Commission an amendment to
CSR is $3,081,637. and Immediate Effectiveness of the Plan to add BATS as a member to the Plan. See
Estimates of average burden hours Amendment to the National Market Securities Exchange Act Release No. 60856 (October
and costs are made solely for purposes System Plan for the Selection and 21, 2009), 74 FR 55276 (October 27, 2009) (File No.
sradovich on DSK3GMQ082PROD with NOTICES

Reservation of Securities Symbols To 4–533). On July 7, 2010, EDGA and EDGX filed with
of the Paperwork Reduction Act, and are the Commission an amendment to the Plan to add
not derived from a comprehensive or Add Investors Exchange, LLC as a EDGA and EDGX, each as a party to the Symbology
even representative survey or study of Party Thereto Plan. See Securities Exchange Act Release No.
the costs of Commission rules and 62573 (July 26, 2010), 75 FR 45682 (August 3, 2010)
November 29, 2016. (File No. 4–533). On May 7, 2012, BOX filed with
forms. Compliance with the information the Commission an amendment to the Plan to add
collection requirements of Form N–CSR Pursuant to Section 11A(a)(3) of the BOX as a member to the Plan. See Securities and
is mandatory. Responses to the Securities Exchange Act of 1934 Continued

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Document Created: 2016-12-03 00:25:47
Document Modified: 2016-12-03 00:25:47

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 87644