82 FR 26962 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 111 (June 12, 2017)

Page Range		26962-26962
FR Document		2017-12088

Federal Register, Volume 82 Issue 111 (Monday, June 12, 2017)

[Federal Register Volume 82, Number 111 (Monday, June 12, 2017)]
[Notices]
[Page 26962]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-12088]


-----------------------------------------------------------------------

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 17f-2(e); SEC File No. 270-37, OMB Control No. 3235-0031

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the collection of 
information provided for in Rule 17f-2(e) (17 CFR 240.17f-2(e)) under 
the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The 
Commission plans to submit this existing collection of information to 
the Office of Management and Budget (``OMB'') for extension and 
approval.
    Rule 17f-2(e) requires every member of a national securities 
exchange, broker, dealer, registered transfer agent, and registered 
clearing agency (``covered entities'') claiming an exemption from the 
fingerprinting requirements of Rule 17f-2 to make and keep current a 
statement entitled ``Notice Pursuant to Rule 17f-2'' (``Notice'') 
containing the information specified in paragraph (e)(1) to support 
their claim of exemption.
    Rule 17f-2(e) contains no filing requirement. Instead, paragraph 
(e)(2) requires covered entities to keep a copy of the Notice in an 
easily accessible place at the organization's principal office and at 
the office employing the persons for whom exemptions are claimed and to 
make the Notice available upon request for inspection by the 
Commission, appropriate regulatory agency (if not the Commission) or 
other designated examining authority. Notices prepared pursuant to Rule 
17f-2(e) must be maintained for as long as the covered entity claims an 
exemption from the fingerprinting requirements of Rule 17f-2. The 
recordkeeping requirement under Rule 17f-2(e) assists the Commission 
and other regulatory agencies with ensuring compliance with Rule 17f-2.
    We estimate that approximately 75 respondents will incur an average 
burden of 30 minutes per year to comply with this rule, which 
represents the time it takes for a staff person at a covered entity to 
properly document a claimed exemption from the fingerprinting 
requirements of Rule 17f-2 in the required Notice and to properly 
retain the Notice according to the entity's record retention policies 
and procedures. The total annual burden for all covered entities is 
approximately 38 hours (75 entities x .5 hours, rounded up).
    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 
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 under the PRA unless it 
displays a currently valid 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 Street NE., Washington, DC 20549, or send an email 
to: [email protected].

    Dated: June 7, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-12088 Filed 6-9-17; 8:45 am]
 BILLING CODE 8011-01-P

26962 Federal Register / Vol. 82, No. 111 / Monday, June 12, 2017 / Notices

An agency may not conduct or designated examining authority. Notices SECURITIES AND EXCHANGE
sponsor, and a person is not required to prepared pursuant to Rule 17f–2(e) must COMMISSION
respond to, a collection of information be maintained for as long as the covered
under the PRA unless it displays a [Release No. 34–80868; File No. SR–
entity claims an exemption from the
currently valid OMB control number. PEARL–2017–28]
fingerprinting requirements of Rule 17f–
Please direct your written comments 2. The recordkeeping requirement under Self-Regulatory Organizations; MIAX
to: Pamela Dyson, Director/Chief Rule 17f–2(e) assists the Commission PEARL, LLC; Notice of Filing and
Information Officer, Securities and and other regulatory agencies with Immediate Effectiveness of a Proposed
Exchange Commission, c/o Remi Pavlik- ensuring compliance with Rule 17f–2. Rule Change To Amend MIAX PEARL
Simon, 100 F Street NE., Washington, Rule 406, Long Term Option Contracts
DC 20549, or send an email to: PRA_ We estimate that approximately 75
Mailbox@sec.gov. respondents will incur an average June 6, 2017.
burden of 30 minutes per year to Pursuant to the provisions of Section
Dated: June 7, 2017.
comply with this rule, which represents 19(b)(1) of the Securities Exchange Act
Eduardo A. Aleman,
the time it takes for a staff person at a of 1934 (‘‘Act’’) 1 and Rule 19b–4
Assistant Secretary. covered entity to properly document a thereunder,2 notice is hereby given that
[FR Doc. 2017–12089 Filed 6–9–17; 8:45 am] claimed exemption from the on June 5, 2017, MIAX PEARL, LLC
BILLING CODE 8011–01–P fingerprinting requirements of Rule 17f– (‘‘MIAX PEARL’’ or ‘‘Exchange’’) filed
2 in the required Notice and to properly with the Securities and Exchange
retain the Notice according to the Commission (‘‘Commission’’) a
SECURITIES AND EXCHANGE
COMMISSION entity’s record retention policies and proposed rule change as described in
procedures. The total annual burden for Items I and II below, which Items have
Proposed Collection; Comment all covered entities is approximately 38 been prepared by the Exchange. The
Request hours (75 entities × .5 hours, rounded Commission is publishing this notice to
up). solicit comments on the proposed rule
Upon Written Request, Copies Available change from interested persons.
From: Securities and Exchange Written comments are invited on: (a)
Commission, Office of FOIA Services, Whether the proposed collection of I. Self-Regulatory Organization’s
100 F Street NE., Washington, DC information is necessary for the proper Statement of the Terms of Substance of
20549–2736 performance of the functions of the the Proposed Rule Change
Commission, including whether the The Exchange is filing a proposal to
Extension:
Rule 17f–2(e); SEC File No. 270–37, OMB information shall have practical utility; amend Exchange Rule 406, Long Term
Control No. 3235–0031 (b) the accuracy of the Commission’s Option Contracts.
estimates of the burden of the proposed The text of the proposed rule change
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995 collection of information; (c) ways to is available on the Exchange’s Web site
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the enhance the quality, utility, and clarity at http://www.miaxoptions.com/rule-
Securities and Exchange Commission of the information collected; and (d) filings/pearl at MIAX PEARL’s principal
(‘‘Commission’’) is soliciting comments ways to minimize the burden of the office, and at the Commission’s Public
on the collection of information collection of information on Reference Room.
provided for in Rule 17f–2(e) (17 CFR respondents, including through the use
II. Self-Regulatory Organization’s
240.17f–2(e)) under the Securities of automated collection techniques or Statement of the Purpose of, and
Exchange Act of 1934 (15 U.S.C. 78a et other forms of information technology. Statutory Basis for, the Proposed Rule
seq.). The Commission plans to submit Consideration will be given to Change
this existing collection of information to comments and suggestions submitted in
the Office of Management and Budget writing within 60 days of this In its filing with the Commission, the
(‘‘OMB’’) for extension and approval. publication. Exchange included statements
Rule 17f–2(e) requires every member concerning the purpose of and basis for
An agency may not conduct or the proposed rule change and discussed
of a national securities exchange, sponsor, and a person is not required to
broker, dealer, registered transfer agent, any comments it received on the
respond to, a collection of information proposed rule change. The text of these
and registered clearing agency (‘‘covered
under the PRA unless it displays a statements may be examined at the
entities’’) claiming an exemption from
currently valid OMB control number. places specified in Item IV below. The
the fingerprinting requirements of Rule
17f–2 to make and keep current a Please direct your written comments Exchange has prepared summaries, set
statement entitled ‘‘Notice Pursuant to to: Pamela Dyson, Director/Chief forth in sections A, B, and C below, of
Rule 17f–2’’ (‘‘Notice’’) containing the Information Officer, Securities and the most significant aspects of such
information specified in paragraph (e)(1) Exchange Commission, c/o Remi Pavlik- statements.
to support their claim of exemption. Simon, 100 F Street NE., Washington, A. Self-Regulatory Organization’s
Rule 17f–2(e) contains no filing DC 20549, or send an email to: Statement of the Purpose of, and the
requirement. Instead, paragraph (e)(2) PRA_Mailbox@sec.gov. Statutory Basis for, the Proposed Rule
asabaliauskas on DSKBBXCHB2PROD with NOTICES

requires covered entities to keep a copy Change
Dated: June 7, 2017.
of the Notice in an easily accessible
place at the organization’s principal Eduardo A. Aleman, 1. Purpose
office and at the office employing the Assistant Secretary. The Exchange is proposing to amend
persons for whom exemptions are [FR Doc. 2017–12088 Filed 6–9–17; 8:45 am] Exchange Rule 406, Long Term Option
claimed and to make the Notice BILLING CODE 8011–01–P Contracts, to make three simple
available upon request for inspection by
the Commission, appropriate regulatory 1 15 U.S.C. 78s(b)(1).
agency (if not the Commission) or other 2 17 CFR 240.19b–4.

VerDate Sep<11>2014 17:28 Jun 09, 2017 Jkt 241001 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM 12JNN1

Document Created: 2017-06-10 01:40:28
Document Modified: 2017-06-10 01:40:28

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 26962