82 FR 14070 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 50 (March 16, 2017)

Page Range		14070-14071
FR Document		2017-05273

Federal Register, Volume 82 Issue 50 (Thursday, March 16, 2017)

[Federal Register Volume 82, Number 50 (Thursday, March 16, 2017)]
[Notices]
[Pages 14070-14071]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-05273]


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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 S-4, OMB Control No. 3235-0324, SEC File No. 270-287

    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'') 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 for extension and approval.

[[Page 14071]]

    Form S-4 (17 CFR 239.25) is the form used for registration under 
the Securities Act of 1933 (15 U.S.C. 77a et seq.) of securities issued 
in business combinations transactions. The information collected is 
intended to ensure the adequacy of information available to investors 
in connection with business combination transactions. Form S-4 takes 
approximately 4,099.68 hours per response to prepare and is filed by 
400 registrants annually. We estimate that 25% of the 4,099.68 hours 
per response (1,024.92 hours) is prepared by the registrant for an 
annual reporting burden of 409,968 hours (1,024.92 hours per response x 
400 responses).
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden imposed by 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.
    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.
    Please direct your written comment 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: March 13, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-05273 Filed 3-15-17; 8:45 am]
 BILLING CODE 8011-01-P

14070 Federal Register / Vol. 82, No. 50 / Thursday, March 16, 2017 / Notices

B. Governing or Constituent Documents a copy of the Plan, as then in effect; (3) be included on the subject line if email
The governing documents of the providing each then-current Participant is used. To help the Commission
Processor, as defined in Section I(P) of with a copy of such executed Plan; and process and review your comments
the Plan, will not be affected by the (4) effecting an amendment to the Plan more efficiently, please use only one
Plan, but once the Plan is implemented, as specified in Section III(B) of the Plan. method. The Commission will post all
the Processor’s obligations will change, comments on the Commission’s Internet
I. Method of Determination and
as set forth in detail in the Plan. Web site (http://www.sec.gov/rules/
Imposition, and Amount of, Fees and
sro.shtml). Copies of the submission, all
C. Implementation of Plan Charges
subsequent amendments, all written
The initial date of the Plan operations Not applicable. statements with respect to the proposed
was April 8, 2013. J. Method and Frequency of Processor plan amendment that are filed with the
Evaluation Commission, and all written
D. Development and Implementation communications relating to the
Phases Not applicable. amendment between the Commission
The Plan was initially implemented K. Dispute Resolution and any person, other than those that
as a one-year pilot program in two may be withheld from the public in
Phases, consistent with Section VIII of Section III(C) of the Plan provides that accordance with the provisions of 5
the Plan: Phase I of Plan each Participant shall designate an U.S.C. 552, will be available for Web
implementation began on April 8, 2013 individual to represent the Participant site viewing and printing in the
and was completed on May 3, 2013. as a member of an Operating Committee. Commission’s Public Reference Room,
Implementation of Phase II of the Plan No later than the initial date of the Plan, 100 F Street NE., Washington, DC
began on August 5, 2013 and was the Operating Committee shall designate 20549, on official business days
completed on February 24, 2014. The one member of the Operating Committee between the hours of 10:00 a.m. and
tenth amendment to the Plan was to act as the Chair of the Operating 3:00 p.m. Copies of such filing also will
implemented on July 18, 2016 and the Committee. Any recommendation for an be available for inspection and copying
twelfth amendment to the Plan must be amendment to the Plan from the at the Participants’ offices. All
implemented no later than July 19, Operating Committee that receives an comments received will be posted
2017.22 Pursuant to this proposed affirmative vote of at least two-thirds of without change; the Commission does
amendment, the Participants propose to the Participants, but is less than not edit personal identifying
extend the pilot period until April 16, unanimous, shall be submitted to the information from submissions. You
2018. Commission as a request for an should submit only information that
amendment to the Plan initiated by the you wish to make available publicly. All
E. Analysis of Impact on Competition Commission under Rule 608. submissions should refer to File
The proposed Plan does not impose On February 8, 2017, the Operating
Number 4–631 and should be submitted
any burden on competition that is not Committee, duly constituted and
on or before April 6, 2017.
necessary or appropriate in furtherance chaired by Mr. Robert Books of Bats,
met and voted unanimously to amend By the Commission.
of the purposes of the Exchange Act.
The Participants do not believe that the the Plan as set forth herein in Eduardo A. Aleman,
proposed Plan introduces terms that are accordance with Section III(C) of the Assistant Secretary.
unreasonably discriminatory for the Plan. The Plan Advisory Committee was [FR Doc. 2017–05226 Filed 3–15–17; 8:45 am]
purposes of Section 11A(c)(1)(D) of the notified in connection with the BILLING CODE 8011–01–P
Exchange Act. Thirteenth Amendment and was in
favor.
F. Written Understanding or Agreements SECURITIES AND EXCHANGE
Relating to Interpretation of, or III. Solicitation of Comments
COMMISSION
Participation in, Plan Interested persons are invited to
The Participants have no written submit written data, views and Proposed Collection; Comment
understandings or agreements relating arguments concerning the foregoing, Request
to interpretation of the Plan. Section including whether the amendment is
II(C) of the Plan sets forth how any consistent with the Exchange Act and Upon Written Request Copies Available
entity registered as a national securities the rules thereunder. Comments may be From: Securities and Exchange
exchange or national securities submitted by any of the following Commission, Office of FOIA Services,
association may become a Participant. methods: 100 F Street NE., Washington, DC
Electronic Comments 20549–2736.
G. Approval of Amendment of the Plan
Extension:
Each of the Plan’s Participants has • Use the Commission’s Internet Form S–4, OMB Control No. 3235–0324,
executed a written amended Plan. comment form (http://www.sec.gov/ SEC File No. 270–287
rules/sro.shtml); or
H. Terms and Conditions of Access • Send an email to rule-comments@ Notice is hereby given that, pursuant
Section II(C) of the Plan provides that sec.gov. Please include File Number 4– to the Paperwork Reduction Act of 1995
any entity registered as a national 631 on the subject line. (44 U.S.C. 3501 et seq.), the Securities
securities exchange or national and Exchange Commission
mstockstill on DSK3G9T082PROD with NOTICES

Paper Comments
securities association under the (‘‘Commission’’) is soliciting comments
Exchange Act may become a Participant • Send paper comments in triplicate on the collection of information
by: (1) Becoming a participant in the to Brent J. Fields, Secretary, Securities summarized below. The Commission
applicable Market Data Plans, as defined and Exchange Commission, 100 F Street plans to submit this existing collection
in Section I(F) of the Plan; (2) executing NE., Washington, DC 20549–1090. of information to the Office of
All submissions should refer to File Management and Budget for extension
22 See supra note 1, 82 FR 8551 at 8553 n.22. Number 4–631. This file number should and approval.

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Federal Register / Vol. 82, No. 50 / Thursday, March 16, 2017 / Notices 14071

Form S–4 (17 CFR 239.25) is the form Rule 15c3–1, SEC File No. 270–197, OMB Dated: March 13, 2017.
used for registration under the Control No. 3235–0200 Eduardo A. Aleman,
Securities Act of 1933 (15 U.S.C. 77a et Assistant Secretary.
seq.) of securities issued in business Notice is hereby given that pursuant
[FR Doc. 2017–05274 Filed 3–15–17; 8:45 am]
combinations transactions. The to the Paperwork Reduction Act of 1995
BILLING CODE 8011–01–P
information collected is intended to (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
ensure the adequacy of information Securities and Exchange Commission
available to investors in connection (‘‘Commission’’) is soliciting comments SECURITIES AND EXCHANGE
with business combination transactions. on the existing collection of information COMMISSION
Form S–4 takes approximately 4,099.68 provided for in Rule 15c3–1 (17 CFR
hours per response to prepare and is 240.15c3–1), under the Securities Proposed Collection; Comment
filed by 400 registrants annually. We Exchange Act of 1934 (15 U.S.C. 78a et Request
estimate that 25% of the 4,099.68 hours seq.) (‘‘Exchange Act’’). The Upon Written Request Copies Available
per response (1,024.92 hours) is Commission plans to submit this From: Securities and Exchange
prepared by the registrant for an annual existing collection of information to the Commission, Office of FOIA Services,
reporting burden of 409,968 hours Office of Management and Budget 100 F Street NE., Washington, DC
(1,024.92 hours per response × 400 (‘‘OMB’’) for extension and approval. 20549–2736.
responses). Rule 15c3–1 requires brokers-dealers Extension:
Written comments are invited on: (a)
to have at all times sufficient liquid Form 10, OMB Control No. 3235–0064,
Whether the proposed collection of SEC File No. 270–051
assets to meet their current liabilities,
information is necessary for the proper
performance of the functions of the particularly the claims of customers. Notice is hereby given that, pursuant
agency, including whether the The rule facilitates the monitoring of the to the Paperwork Reduction Act of 1995
information will have practical utility; financial condition of broker-dealers by (44 U.S.C. 3501 et seq.), the Securities
(b) the accuracy of the agency’s estimate the Commission and the various self- and Exchange Commission
of the burden imposed by the collection regulatory organizations. It is estimated (‘‘Commission’’) is soliciting comments
of information; (c) ways to enhance the that broker-dealer respondents on the collection of information
quality, utility, and clarity of the registered with the Commission and summarized below. The Commission
information collected; and (d) ways to subject to the collection of information plans to submit this existing collection
minimize the burden of the collection of requirements of Rule 15c3–1 incur an of information to the office of
information on respondents, including aggregate annual time burden of Management and Budget for approval of
through the use of automated collection 65,915.31 hours to comply with this extensions on the following:
Form 10 (17 CFR 249.210) is used by
techniques or other forms of information rule and an aggregate annual external
issuers to register a class of securities
technology. Consideration will be given cost of $160,000. pursuant to Section 12(b) or Section
to comments and suggestions submitted Written comments are invited on: (a) 12(g) (15 U.S.C. 78l(b) and 78l(g)) of the
in writing within 60 days of this Whether the proposed collection of Exchange Act of 1934. Form 10 requires
publication. financial and other information about
information is necessary for the proper
An agency may not conduct or such matters as the issuer’s business,
performance of the functions of the
sponsor, and a person is not required to properties, identity and remuneration of
respond to, a collection of information Commission, including whether the
information shall have practical utility; management, outstanding securities and
unless it displays a currently valid securities to be registered and financial
control number. (b) the accuracy of the Commission’s
estimates of the burden of the proposed condition. The information provided by
Please direct your written comment to Form 10 is intended to ensure the
Pamela Dyson, Director/Chief collection of information; (c) ways to
enhance the quality, utility, and clarity adequacy of information available to
Information Officer, Securities and investors about a company. Form 10
Exchange Commission, c/o Remi Pavlik- of the information collected; and (d)
takes approximately 215.21 hours per
Simon, 100 F Street NE., Washington, ways to minimize the burden of the
response to prepare and is filed by
DC 20549 or send an email to: PRA_ collection of information on
approximately 136 respondents. We
Mailbox@sec.gov. respondents, including through the use estimated that 25% of the 215.21 hours
Dated: March 13, 2017. of automated collection techniques or per response (53.803 hours) is prepared
Eduardo A. Aleman, other forms of information technology. by the company for an annual reporting
Consideration will be given to burden of 7,317 hours (53.803 hours per
Assistant Secretary.
[FR Doc. 2017–05273 Filed 3–15–17; 8:45 am]
comments and suggestions submitted in response × 136 responses).
writing within 60 days of this Written comments are invited on: (a)
BILLING CODE 8011–01–P
publication. Whether the proposed collection of
An agency may not conduct or information is necessary for the proper
SECURITIES AND EXCHANGE sponsor, and a person is not required to performance of the functions of the
COMMISSION respond to, a collection of information agency, including whether the
under the PRA unless it displays a information will have practical utility;
Proposed Collection; Comment currently valid OMB control number. (b) the accuracy of the agency’s estimate
of burden of the collection of
mstockstill on DSK3G9T082PROD with NOTICES

Request
Please direct your written comments information; (c) ways to enhance the
Upon Written Request, Copies Available to: Pamela Dyson, Director/Chief quality, utility, and clarity of the
From: Securities and Exchange Information Officer, Securities and information collected; and (d) ways to
Commission, Office of FOIA Services, Exchange Commission, c/o Remi Pavlik- minimize the burden of the collection of
100 F Street NE., Washington, DC Simon, 100 F Street NE., Washington, information on respondents, including
20549–2736. DC 20549, or send an email to: PRA_ through the use of automated collection
Extension: Mailbox@sec.gov. techniques or other forms of information

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Document Created: 2017-03-16 02:18:48
Document Modified: 2017-03-16 02:18:48

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		82 FR 14070