82 FR 23884 - Submission for OMB Review; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 99 (May 24, 2017)
Federal Register Volume 82, Issue 99 (May 24, 2017)
| Page Range | 23884-23884 | |
| FR Document | 2017-10620 |
[Federal Register Volume 82, Number 99 (Wednesday, May 24, 2017)] [Notices] [Page 23884] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-10620] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-197, OMB Control No. 3235-0200] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Office of FOIA Services, 100 F Street NE., Washington, DC 20549-2736. Extension: Rule 15c3-1. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the previously approved collection of information provided for in Rule 15c3-1 (17 CFR 240.15c3-1) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). Rule 15c3-1 requires brokers-dealers to have at all times sufficient liquid assets to meet their current liabilities, particularly the claims of customers. The rule facilitates the monitoring of the financial condition of broker-dealers by the Commission and the various self-regulatory organizations. It is estimated that broker-dealer respondents registered with the Commission and subject to the collection of information requirements of Rule 15c3- 1 incur an aggregate annual burden of 65,915.31 hours to comply with this rule and an aggregate annual external cost of $160,000. Rule 15c3-1 does not contain record retention requirements. Compliance with the rule is mandatory. The required records are available only to the examination staff of the Commission and the self- regulatory organization of which the broker-dealer is a member. 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. The public may view 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: May 19, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-10620 Filed 5-23-17; 8:45 am] BILLING CODE 8011-01-P
![23884 Federal Register / Vol. 82, No. 99 / Wednesday, May 24, 2017 / Notices
amount per share of common stock, any Street NE., Washington, DC 20549– Dated: May 19, 2017.
of which may be adjusted from time to 2736. Eduardo A. Aleman,
time (a ‘‘Distribution Policy’’). Extension: Assistant Secretary.
3. Applicants request an order under [FR Doc. 2017–10620 Filed 5–23–17; 8:45 am]
Rule 15c3–1.
section 6(c) of the Act granting an BILLING CODE 8011–01–P
exemption from section 19(b) of the Act Notice is hereby given that pursuant
and rule 19b–1 to permit the Fund to to the Paperwork Reduction Act of 1995
distribute periodic capital gain (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the SECURITIES AND EXCHANGE
dividends (as defined in section Securities and Exchange Commission COMMISSION
852(b)(3)(C) of the Code) as frequently (‘‘Commission’’) has submitted to the
as twelve times in any one taxable year
Office of Management and Budget [Release No. 34–80723; File No. SR–
in respect of its common stock and as
(‘‘OMB’’) a request for approval of NYSEMKT–2017–27]
often as specified by, or determined in
accordance with the terms of, any extension of the previously approved
collection of information provided for in Self-Regulatory Organizations; NYSE
preferred stock issued by the Fund. MKT LLC; Notice of Filing and
Section 6(c) of the Act provides, in Rule 15c3–1 (17 CFR 240.15c3–1) under
the Securities Exchange Act of 1934 (15 Immediate Effectiveness of Proposed
relevant part, that the Commission may Rule Change To Amend Rule 103B—
exempt any person or transaction from U.S.C. 78a et seq.) (‘‘Exchange Act’’).
Equities
any provision of the Act to the extent Rule 15c3–1 requires brokers-dealers
that such exemption is necessary or to have at all times sufficient liquid May 18, 2017.
appropriate in the public interest and assets to meet their current liabilities, Pursuant to Section 19(b)(1) 1 of the
consistent with the protection of particularly the claims of customers. Securities Exchange Act of 1934 (the
investors and the purposes fairly The rule facilitates the monitoring of the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
intended by the policy and provisions of financial condition of broker-dealers by notice is hereby given that on May 4,
the Act. the Commission and the various self- 2017, NYSE MKT LLC (the ‘‘Exchange’’
4. Applicants state that any order or ‘‘NYSE MKT’’) filed with the
regulatory organizations. It is estimated
granting the requested relief will be Securities and Exchange Commission
subject to the terms and conditions that broker-dealer respondents
registered with the Commission and (the ‘‘Commission’’) the proposed rule
stated in the application, which change as described in Items I and II
generally are designed to address the subject to the collection of information
requirements of Rule 15c3–1 incur an below, which Items have been prepared
concerns underlying section 19(b) and
aggregate annual burden of 65,915.31 by the self-regulatory organization. The
rule 19b–1, including concerns about
hours to comply with this rule and an Commission is publishing this notice to
proper disclosures and shareholders’
aggregate annual external cost of solicit comments on the proposed rule
understanding of the source(s) of a
$160,000. change from interested persons.
Fund’s distributions and concerns about
improper sales practices. Among other Rule 15c3–1 does not contain record I. Self-Regulatory Organization’s
things, such terms and conditions retention requirements. Compliance Statement of the Terms of Substance of
require that (1) the board of directors or with the rule is mandatory. The the Proposed Rule Change
trustees of the Fund (the ‘‘Board’’) required records are available only to
review such information as is The Exchange proposes to amend
the examination staff of the Commission Rule 103B—Equities, which governs the
reasonably necessary to make an and the self-regulatory organization of
informed determination of whether to allocation of securities to Designated
which the broker-dealer is a member. Market Makers (‘‘DMMs’’). The
adopt the proposed Distribution Policy
and that the Board periodically review An agency may not conduct or proposed rule change is available on the
the amount of the distributions in light sponsor, and a person is not required to Exchange’s Web site at www.nyse.com,
of the investment experience of the respond to, a collection of information at the principal office of the Exchange,
Fund, and (2) that the Fund’s under the PRA unless it displays a and at the Commission’s Public
shareholders receive appropriate currently valid OMB control number. Reference Room.
disclosures concerning the The public may view background II. Self-Regulatory Organization’s
distributions. documentation for this information Statement of the Purpose of, and
For the Commission, by the Division of collection at the following Web site, Statutory Basis for, the Proposed Rule
Investment Management, under delegated www.reginfo.gov. Comments should be Change
authority. directed to: (i) Desk Officer for the
Eduardo A. Aleman, In its filing with the Commission, the
Securities and Exchange Commission,
Assistant Secretary. self-regulatory organization included
Office of Information and Regulatory
[FR Doc. 2017–10578 Filed 5–23–17; 8:45 am]
statements concerning the purpose of,
Affairs, Office of Management and
and basis for, the proposed rule change
BILLING CODE 8011–01–P Budget, Room 10102, New Executive and discussed any comments it received
Office Building, Washington, DC 20503, on the proposed rule change. The text
or by sending an email to: Shagufta_ of those statements may be examined at
SECURITIES AND EXCHANGE Ahmed@omb.eop.gov; and (ii) Pamela
asabaliauskas on DSK3SPTVN1PROD with NOTICES
COMMISSION the places specified in Item IV below.
Dyson, Director/Chief Information The Exchange has prepared summaries,
[SEC File No. 270–197, OMB Control No. Officer, Securities and Exchange set forth in sections A, B, and C below,
3235–0200] Commission, c/o Remi Pavlik-Simon, of the most significant parts of such
100 F Street NE., Washington, DC statements.
Submission for OMB Review; 20549, or send an email to: PRA_
Comment Request
Mailbox@sec.gov. Comments must be 1 15 U.S.C. 78s(b)(1).
Upon Written Request, Copies Available submitted to OMB within 30 days of 2 15 U.S.C. 78a.
From: Office of FOIA Services, 100 F this notice. 3 17 CFR 240.19b–4.
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Document Created: 2017-05-24 01:03:06
Document Modified: 2017-05-24 01:03:06
| 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 23884 |
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