82 FR 22027 - Submission for OMB Review; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 90 (May 11, 2017)
Federal Register Volume 82, Issue 90 (May 11, 2017)
| Page Range | 22027-22027 | |
| FR Document | 2017-09582 |
[Federal Register Volume 82, Number 90 (Thursday, May 11, 2017)] [Notices] [Page 22027] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-09582] ----------------------------------------------------------------------- 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: ``Investor Form'', SEC File No. 270-485, OMB Control No. 3235- 0547. 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 (``OMB'') a request to approve the collection of information discussed below. Each year the Commission receives several thousand contacts from investors who have complaints or questions on a wide range of investment-related issues. To make it easier for the public to contact the agency electronically, the Commission's Office of Investor Education and Advocacy (``OIEA'') created an electronic form (the Investor Form) that provides drop down options to choose from in order to categorize the investor's complaint or question, and may also provide the investor with automated information about their issue. The Investor Form asks investors to provide information concerning, among other things, their names, how they can be reached, the names of the individuals or entities involved, the nature of their complaint or tip, what documents they can provide, and what, if any, actions they have taken. Use of the Investor Form is voluntary. Absent the forms, the public still has several ways to contact the agency, including telephone, facsimile, letters, and email. Investors can access the Investor Form through the consolidated Investor Complaint and Question Web page. The dual purpose of the Investor Form is to make it easier for the public to contact the agency with complaints, questions, tips, or other feedback and to streamline the workflow of Commission staff that record, process, and respond to investor contacts. Investors who submit complaints, ask questions, or provide tips do so voluntarily. Although the Investor Form provides a structured format for incoming investor correspondence, the Commission does not require that investors use any particular form or format when contacting the agency. Investors who choose not to use the Investor Form will receive the same level of service as those who do. OIEA receives approximately 20,000 contacts each year through the Investor Form. Investors who choose not to use the Investor Form receive the same level of service as those who do. The Commission uses the information that investors supply on the Investor Form to review and process the contact (which may, in turn, involve responding to questions, processing complaints, or, as appropriate, initiating enforcement investigations), to maintain a record of contacts, to track the volume of investor complaints, and to analyze trends. The staff of the Commission estimates that the total reporting burden for using the Investor Form is 5,000 hours. The calculation of this estimate depends on the number of investors who use the forms each year and the estimated time it takes to complete the forms: 20,000 respondents x 15 minutes = 5,000 burden hours. Members of the public should be aware that an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless a currently valid OMB control number is displayed. Background documentation for this information collection may be viewed at the following link, http://www.reginfo.gov. General comments regarding the above information should be directed to the following persons: (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 send an email to: [email protected]; and (ii) Pamela C. Dyson, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 F St NE., Washington DC, 20549; or send an email to: [email protected]. Comments must be submitted to OMB within 30 days of this notice. Dated: May 5, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-09582 Filed 5-10-17; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 82, No. 90 / Thursday, May 11, 2017 / Notices 22027
For the Commission, by the Division of staff that record, process, and respond to SECURITIES AND EXCHANGE
Trading and Markets, pursuant to delegated investor contacts. Investors who submit COMMISSION
authority.21 complaints, ask questions, or provide
Eduardo A. Aleman, [Release No. 34–80607; File No. SR–
tips do so voluntarily. Although the BatsEDGX–2017–16]
Assistant Secretary. Investor Form provides a structured
[FR Doc. 2017–09528 Filed 5–10–17; 8:45 am] format for incoming investor Self-Regulatory Organizations; Bats
BILLING CODE 8011–01–P correspondence, the Commission does EDGX Exchange, Inc.; Notice of Filing
not require that investors use any and Immediate Effectiveness of a
particular form or format when Proposed Rule Change to Rule 11.13 of
SECURITIES AND EXCHANGE contacting the agency. Investors who Bats EDGX Exchange, Inc. To
COMMISSION choose not to use the Investor Form will Authorize the Exchange To Share a
receive the same level of service as User’s Risk Settings With the Clearing
Submission for OMB Review; those who do.
Comment Request Firm That Clears Transactions on
OIEA receives approximately 20,000 Behalf of the User
contacts each year through the Investor
Upon Written Request Copies Available Form. Investors who choose not to use May 5, 2017.
From: Securities and Exchange the Investor Form receive the same level Pursuant to Section 19(b)(1) of the
Commission, Office of FOIA Services, of service as those who do. The Securities Exchange Act of 1934 (the
100 F Street NE., Washington, DC Commission uses the information that ‘‘Act’’),1 and Rule 19b–4 thereunder,2
20549–2736. investors supply on the Investor Form to notice is hereby given that on April 24,
Extension: review and process the contact (which 2017, Bats EDGX Exchange, Inc. (the
‘‘Investor Form’’, SEC File No. 270–485, may, in turn, involve responding to ‘‘Exchange’’ or ‘‘EDGX’’) filed with the
OMB Control No. 3235–0547. questions, processing complaints, or, as Securities and Exchange Commission
Notice is hereby given that, pursuant appropriate, initiating enforcement (‘‘Commission’’) the proposed rule
to the Paperwork Reduction Act of 1995 investigations), to maintain a record of change as described in Items I and II
(44 U.S.C. 3501 et seq.), the Securities contacts, to track the volume of investor below, which Items have been prepared
and Exchange Commission complaints, and to analyze trends. by the Exchange. The Exchange has
(‘‘Commission’’) has submitted to the The staff of the Commission estimates designated this proposal as a ‘‘non-
Office of Management and Budget that the total reporting burden for using controversial’’ proposed rule change
(‘‘OMB’’) a request to approve the the Investor Form is 5,000 hours. The pursuant to Section 19(b)(3)(A) of the
collection of information discussed calculation of this estimate depends on Act 3 and Rule 19b–4(f)(6) thereunder,4
below. the number of investors who use the which renders it effective upon filing
Each year the Commission receives forms each year and the estimated time with the Commission. The Commission
several thousand contacts from it takes to complete the forms: 20,000 is publishing this notice to solicit
investors who have complaints or respondents × 15 minutes = 5,000 comments on the proposed rule change
questions on a wide range of burden hours. from interested persons.
investment-related issues. To make it Members of the public should be
easier for the public to contact the aware that an agency may not conduct I. Self-Regulatory Organization’s
agency electronically, the Commission’s or sponsor, and a person is not required Statement of the Terms of Substance of
Office of Investor Education and to respond to, a collection of the Proposed Rule Change
Advocacy (‘‘OIEA’’) created an information unless a currently valid The Exchange filed a proposal to
electronic form (the Investor Form) that OMB control number is displayed. amend Rule 11.13, Clearance and
provides drop down options to choose Background documentation for this Settlement; Anonymity, to authorize the
from in order to categorize the investor’s information collection may be viewed at Exchange to share a User’s 5 risk settings
complaint or question, and may also the following link, http:// with the clearing firm that clears
provide the investor with automated www.reginfo.gov. General comments transactions on behalf of the User.
information about their issue. The regarding the above information should The text of the proposed rule change
Investor Form asks investors to provide be directed to the following persons: (i) is available at the Exchange’s Web site
information concerning, among other Desk Officer for the Securities and at www.batstrading.com, at the
things, their names, how they can be Exchange Commission, Office of principal office of the Exchange, and at
reached, the names of the individuals or Information and Regulatory Affairs, the Commission’s Public Reference
entities involved, the nature of their Office of Management and Budget, Room.
complaint or tip, what documents they Room 10102, New Executive Office II. Self-Regulatory Organization’s
can provide, and what, if any, actions Building, Washington, DC 20503 or Statement of the Purpose of, and
they have taken. Use of the Investor send an email to: Shagufta_Ahmed@ Statutory Basis for, the Proposed Rule
Form is voluntary. Absent the forms, the omb.eop.gov; and (ii) Pamela C. Dyson, Change
public still has several ways to contact Director/Chief Information Officer,
the agency, including telephone, Securities and Exchange Commission, In its filing with the Commission, the
facsimile, letters, and email. Investors c/o Remi Pavlik-Simon, 100 F St NE., Exchange included statements
can access the Investor Form through Washington DC, 20549; or send an email concerning the purpose of and basis for
the proposed rule change and discussed
asabaliauskas on DSK3SPTVN1PROD with NOTICES
the consolidated Investor Complaint to: PRA_Mailbox@sec.gov. Comments
and Question Web page. must be submitted to OMB within 30
The dual purpose of the Investor days of this notice.
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
Form is to make it easier for the public
to contact the agency with complaints, Dated: May 5, 2017. 3 15 U.S.C. 78s(b)(3)(A).
questions, tips, or other feedback and to Eduardo A. Aleman, 4 17 CFR 240.19b–4(f)(6).
5 A User is defined as ‘‘any Member or Sponsored
streamline the workflow of Commission Assistant Secretary.
Participant who is authorized to obtain access to the
[FR Doc. 2017–09582 Filed 5–10–17; 8:45 am] System pursuant to Rule 11.3.’’ See Exchange Rule
21 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P 1.5(ee).
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Document Created: 2017-05-11 00:15:10
Document Modified: 2017-05-11 00:15:10
| 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 22027 |
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