82 FR 25648 - Proposed Collection; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 105 (June 2, 2017)
Federal Register Volume 82, Issue 105 (June 2, 2017)
| Page Range | 25648-25648 | |
| FR Document | 2017-11466 |
[Federal Register Volume 82, Number 105 (Friday, June 2, 2017)] [Notices] [Page 25648] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-11466] ----------------------------------------------------------------------- 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: Rule 17g-1 and Form NRSRO, SEC File No. 270-563, OMB Control No. 3235-0625 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 existing collection of information provided for in Rule 17g-1, Form NRSRO and Instructions to Form NRSRO under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).\1\ The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. --------------------------------------------------------------------------- \1\ See 17 CFR 240.17g-1 and 17 CFR 249b.300. --------------------------------------------------------------------------- Rule 17g-1, Form NRSRO and the Instructions to Form NRSRO contain certain recordkeeping and disclosure requirements for nationally recognized statistical rating organizations (``NRSROs''). Currently, there are 10 credit rating agencies registered as NRSROs with the Commission. Based on staff experience, NRSROs are estimated to spend annually a total industry-wide burden of 2,527 hours and external cost of $4,000 to comply with the requirements. 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 on respondents; 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. The Commission may not conduct or sponsor a collection of information unless it displays a currently valid control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the PRA that does not display a valid Office of Management and Budget (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 St. NE., Washington, DC 20549 or send an email to: [email protected]. Dated: May 30, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-11466 Filed 6-1-17; 8:45 am] BILLING CODE 8011-01-P
![25648 Federal Register / Vol. 82, No. 105 / Friday, June 2, 2017 / Notices
For the Commission, by the Division of Consideration will be given to the Fund are collectively referred to
Trading and Markets, pursuant to delegated comments and suggestions submitted in herein as the ‘‘Shares.’’
authority.75 writing within 60 days of this The text of the proposed rule change
Eduardo A. Aleman, publication. is available on the Exchange’s Web site
Assistant Secretary. The Commission may not conduct or at http://nasdaq.cchwallstreet.com, at
[FR Doc. 2017–11471 Filed 6–1–17; 8:45 am] sponsor a collection of information the principal office of the Exchange, and
BILLING CODE 8011–01–P unless it displays a currently valid at the Commission’s Public Reference
control number. No person shall be Room.
subject to any penalty for failing to II. Self-Regulatory Organization’s
SECURITIES AND EXCHANGE comply with a collection of information
COMMISSION Statement of the Purpose of, and
subject to the PRA that does not display Statutory Basis for, the Proposed Rule
a valid Office of Management and Change
Proposed Collection; Comment Budget (OMB) control number.
Request Please direct your written comments In its filing with the Commission, the
Upon Written Request Copies Available to: Pamela Dyson, Director/Chief Exchange included statements
From: Securities and Exchange Information Officer, Securities and concerning the purpose of and basis for
Commission, Office of FOIA Services, Exchange Commission, c/o Remi Pavlik- the proposed rule change and discussed
100 F Street NE., Washington, DC Simon, 100 F St. NE., Washington, DC any comments it received on the
20549–2736 20549 or send an email to: PRA_ proposed rule change. The text of these
Mailbox@sec.gov. statements may be examined at the
Extension: places specified in Item IV below. The
Rule 17g–1 and Form NRSRO, SEC File No. Dated: May 30, 2017.
Exchange has prepared summaries, set
270–563, OMB Control No. 3235–0625 Eduardo A. Aleman, forth in sections A, B, and C below, of
Notice is hereby given that pursuant Assistant Secretary. the most significant aspects of such
to the Paperwork Reduction Act of 1995 [FR Doc. 2017–11466 Filed 6–1–17; 8:45 am] statements.
(44 U.S.C. 3501 et seq.), the Securities BILLING CODE 8011–01–P
and Exchange Commission A. Self-Regulatory Organization’s
(‘‘Commission’’) is soliciting comments Statement of the Purpose of, and
on the existing collection of information SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule
provided for in Rule 17g–1, Form COMMISSION Change
NRSRO and Instructions to Form 1. Purpose
[Release No. 34–80802; File No. SR–
NRSRO under the Securities Exchange NASDAQ–2017–038]
Act of 1934 (15 U.S.C. 78a et seq.).1 The The Commission has approved the
Commission plans to submit this listing and trading of Shares under
Self-Regulatory Organizations; The Nasdaq Rule 5735, which governs the
existing collection of information to the NASDAQ Stock Market LLC; Notice of
Office of Management and Budget for listing and trading of Managed Fund
Filing of Proposed Rule Change Shares on the Exchange.3 However, no
extension and approval. Relating to the First Trust Municipal
Rule 17g–1, Form NRSRO and the Shares are currently listed and traded
High Income ETF on the Exchange. The Exchange believes
Instructions to Form NRSRO contain
certain recordkeeping and disclosure May 26, 2017. the proposed rule change reflects no
requirements for nationally recognized Pursuant to Section 19(b)(1) of the significant issues not previously
statistical rating organizations Securities Exchange Act of 1934 addressed in the Prior Release.
(‘‘NRSROs’’). Currently, there are 10 The Fund is an actively-managed
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
credit rating agencies registered as exchange-traded fund (‘‘ETF’’). The
notice is hereby given that on May 16,
NRSROs with the Commission. Based Shares will be offered by the Trust,
2017, The NASDAQ Stock Market LLC
on staff experience, NRSROs are which was established as a
(‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the
estimated to spend annually a total Massachusetts business trust on January
Securities and Exchange Commission
industry-wide burden of 2,527 hours 9, 2008. The Trust, which is registered
(‘‘SEC’’ or ‘‘Commission’’) the proposed
and external cost of $4,000 to comply with the Commission as an investment
rule change as described in Items I and
with the requirements. company under the Investment
II below, which Items have been
Written comments are invited on: (a) Company Act of 1940 (the ‘‘1940 Act’’),
prepared by the Exchange. The
Whether the proposed collection of has filed a registration statement on
Commission is publishing this notice to
information is necessary for the proper Form N–1A (‘‘Registration Statement’’)
solicit comments on the proposed rule
performance of the functions of the relating to the Fund with the
change from interested persons.
Commission, including whether the Commission.4 The Fund is a series of
information shall have practical utility; I. Self-Regulatory Organization’s the Trust.
(b) the accuracy of the Commission’s Statement of the Terms of Substance of
estimates of the burden of the proposed the Proposed Rule Change 3 The Commission approved Nasdaq Rule 5735 in
Securities Exchange Act Release No. 57962 (June
collection of information; (c) ways to Exchange’s proposed rule change 13, 2008), 73 FR 35175 (June 20, 2008) (SR–
enhance the quality, utility, and clarity relating to the First Trust Municipal NASDAQ–2008–039). The Commission previously
of the information on respondents; and High Income ETF (the ‘‘Fund’’) of First approved the listing and trading of the Shares of the
Fund. See Securities Exchange Act Release No.
(d) ways to minimize the burden of the Trust Exchange-Traded Fund III (the
nlaroche on DSK30NT082PROD with NOTICES
78913 (September 23, 2016), 81 FR 69109 (October
collection of information on ‘‘Trust’’), the shares of which have been 5, 2016) (SR–NASDAQ–2016–002) (‘‘Prior
respondents, including through the use approved by the Commission for listing Release’’).
4 See Post-Effective Amendment No. 27 to
of automated collection techniques or and trading under Nasdaq Rule 5735
Registration Statement on Form N–1A for the Trust,
other forms of information technology. (‘‘Managed Fund Shares’’). The shares of dated August 31, 2015 (File Nos. 333–176976 and
811–22245). The descriptions of the Fund and the
75 17 CFR 200.30–3(a)(57). 1 15 U.S.C. 78s(b)(1). Shares contained herein are based, in part, on
1 See 17 CFR 240.17g–1 and 17 CFR 249b.300. 2 17 CFR 240.19b–4. information in the Registration Statement. Before
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Document Created: 2017-06-02 00:38:16
Document Modified: 2017-06-02 00:38:16
| 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 25648 |
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