82 FR 28701 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 120 (June 23, 2017)

Page Range		28701-28702
FR Document		2017-13145

Federal Register, Volume 82 Issue 120 (Friday, June 23, 2017)

[Federal Register Volume 82, Number 120 (Friday, June 23, 2017)]
[Notices]
[Pages 28701-28702]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-13145]


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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:
    Regulations 14D and 14E, Schedule 14D-9. SEC File No. 270-114, 
OMB Control No. 3235-0102.

    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 this request for extension of the previously approved 
collection of information discussed below.
    Regulation 14D (17 CFR 240.14d-1-240.14d-11) and Regulation 14E (17 
CFR 240.14e-1-240.14f-1) and related Schedule 14D-9 (17 CFR 240.14d-
101) require information important to security holders in deciding how 
to respond to tender offers. This information is made available to the 
public. Information provided on Schedule 14D-9 is mandatory. Schedule 
14D-9 takes approximately 260.56 hours per response to prepare and is 
filed by 169 companies annually. We estimate that 25% of the 260.56 
hours per response (65.14 hours) is prepared by the company for an 
annual reporting burden of 11,009 hours (65.14 hours per response x 169 
responses).
    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.
    The public may view the 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,

[[Page 28702]]

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: June 19, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-13145 Filed 6-22-17; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 82, No. 120 / Friday, June 23, 2017 / Notices 28701

Electronic Comments SECURITIES AND EXCHANGE NE., Washington, DC 20549; or send an
COMMISSION email to: PRA_Mailbox@sec.gov.
• Use the Commission’s Internet Comments must be submitted to OMB
comment form (http://www.sec.gov/ Submission for OMB Review; within 30 days of this notice.
rules/sro.shtml); or Comment Request Dated: June 19, 2017.
• Send an email to rule-comments@ Upon Written Request Copies Available Eduardo A. Aleman,
sec.gov. Please include File Number SR– From: Securities and Exchange Assistant Secretary.
ISE–2017–52 on the subject line. Commission, Office of FOIA Services, [FR Doc. 2017–13143 Filed 6–22–17; 8:45 am]
Paper Comments 100 F Street NE., Washington, DC BILLING CODE 8011–01–P
20549–2736.
• Send paper comments in triplicate Extension:
to Secretary, Securities and Exchange Rule 425. SEC File No. 270–462, OMB SECURITIES AND EXCHANGE
Commission, 100 F Street NE., Control No. 3235–0521. COMMISSION
Washington, DC 20549–1090. Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995 Submission for OMB Review;
All submissions should refer to File Comment Request
(44 U.S.C. 3501 et seq.), the Securities
Number SR–ISE–2017–52. This file
and Exchange Commission Upon Written Request Copies Available
number should be included on the (‘‘Commission’’) has submitted to the
subject line if email is used. To help the From: Securities and Exchange
Office of Management and Budget this Commission, Office of FOIA Services,
Commission process and review your request for extension of the previously
comments more efficiently, please use 100 F Street NE., Washington, DC
approved collection of information 20549–2736.
only one method. The Commission will discussed below.
post all comments on the Commission’s Rule 425 (17 CFR 230.425) under the Extension:
Internet Web site (http://www.sec.gov/ Regulations 14D and 14E, Schedule 14D–
Securities Act of 1933 (15 U.S.C. 77a et
9. SEC File No. 270–114, OMB Control
rules/sro.shtml). Copies of the seq.) requires the filing of certain No. 3235–0102.
submission, all subsequent prospectuses and communications
amendments, all written statements under Rule 135 (17 CFR 230.135) and Notice is hereby given that, pursuant
with respect to the proposed rule Rule 165 (17 CFR 230.165) in to the Paperwork Reduction Act of 1995
change that are filed with the connection with business combination (44 U.S.C. 3501 et seq.), the Securities
Commission, and all written transactions. The purpose of the rule is and Exchange Commission
to permit more oral and written (‘‘Commission’’) has submitted to the
communications relating to the
communications with shareholders Office of Management and Budget this
proposed rule change between the
about tender offers, mergers and other request for extension of the previously
Commission and any person, other than approved collection of information
those that may be withheld from the business combination transactions on a
more-timely basis, so long as the written discussed below.
public in accordance with the Regulation 14D (17 CFR 240.14d–1–
communications are filed on the date of
provisions of 5 U.S.C. 552, will be 240.14d–11) and Regulation 14E (17
first use. The information provided
available for Web site viewing and under Rule 425 is made available to the CFR 240.14e–1–240.14f–1) and related
printing in the Commission’s Public public upon request. Also, the Schedule 14D–9 (17 CFR 240.14d–101)
Reference Room, 100 F Street NE., information provided under Rule 425 is require information important to
Washington, DC 20549, on official mandatory. Approximately 7,160 issuers security holders in deciding how to
business days between the hours of file communications under Rule 425 at respond to tender offers. This
10:00 a.m. and 3:00 p.m. Copies of the an estimated 0.25 hours per response for information is made available to the
filing also will be available for a total of 1,790 annual burden hours public. Information provided on
inspection and copying at the principal (0.25 hours per response × 7,160 Schedule 14D–9 is mandatory. Schedule
office of the Exchange. All comments responses). 14D–9 takes approximately 260.56
received will be posted without change; An agency may not conduct or hours per response to prepare and is
the Commission does not edit personal sponsor, and a person is not required to filed by 169 companies annually. We
identifying information from respond to, a collection of information estimate that 25% of the 260.56 hours
submissions. You should submit only unless it displays a currently valid per response (65.14 hours) is prepared
information that you wish to make control number. by the company for an annual reporting
available publicly. All submissions The public may view the background burden of 11,009 hours (65.14 hours per
should refer to File Number SR–ISE– documentation for this information response × 169 responses).
2017–52, and should be submitted on or collection at the following Web site, An agency may not conduct or
www.reginfo.gov. Written comments sponsor, and a person is not required to
before July 14, 2017.
regarding the above information should respond to, a collection of information
For the Commission, by the Division of be directed to the following persons: (i) unless it displays a currently valid
Trading and Markets, pursuant to delegated Desk Officer for the Securities and control number.
authority.21 Exchange Commission, Office of The public may view the background
asabaliauskas on DSKBBXCHB2PROD with NOTICES

Eduardo A. Aleman, Information and Regulatory Affairs, documentation for this information
Assistant Secretary. Office of Management and Budget, collection at the following Web site,
[FR Doc. 2017–13102 Filed 6–22–17; 8:45 am] Room 10102, New Executive Office www.reginfo.gov . Comments should be
BILLING CODE 8011–01–P
Building, Washington, DC 20503 or directed to: (i) Desk Officer for the
send an email to: Shagufta_Ahmed@ Securities and Exchange Commission,
omb.eop.gov; and (ii) Pamela Dyson, Office of Information and Regulatory
Director/Chief Information Officer, Affairs, Office of Management and
Securities and Exchange Commission, Budget, Room 10102, New Executive
21 17 CFR 200.30–3(a)(12). c/o Remi Pavlik-Simon, 100 F Street Office Building, Washington, DC 20503,

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28702 Federal Register / Vol. 82, No. 120 / Friday, June 23, 2017 / Notices

or by sending an email to: Shagufta_ II. Self-Regulatory Organization’s Participants filed the Plan to comply
Ahmed@omb.eop.gov; and (ii) Pamela Statement of the Purpose of, and with Rule 613 of Regulation NMS under
Dyson, Director/Chief Information Statutory Basis for, the Proposed Rule the Exchange Act. The Plan was
Officer, Securities and Exchange Change published for comment in the Federal
Commission, c/o Remi Pavlik-Simon, In its filing with the Commission, the Register on May 17, 2016,9 and
100 F Street NE., Washington, DC 20549 Exchange included statements approved by the Commission, as
or send an email to: PRA_Mailbox@ concerning the purpose of and basis for modified, on November 15, 2016.10 The
sec.gov. Comments must be submitted to the proposed rule change and discussed Plan is designed to create, implement
OMB within 30 days of this notice. any comments it received on the and maintain a consolidated audit trail
proposed rule change. The text of these (‘‘CAT’’) that would capture customer
Dated: June 19, 2017. and order event information for orders
statements may be examined at the
Eduardo A. Aleman, places specified in Item IV below. The in NMS Securities and OTC Equity
Assistant Secretary. Exchange has prepared summaries, set Securities, across all markets, from the
[FR Doc. 2017–13145 Filed 6–22–17; 8:45 am] forth in sections A, B, and C below, of time of order inception through routing,
the most significant aspects of such cancellation, modification, or execution
BILLING CODE 8011–01–P
statements. in a single consolidated data source.
The Plan accomplishes this by creating
A. Self-Regulatory Organization’s CAT NMS, LLC (the ‘‘Company’’), of
SECURITIES AND EXCHANGE Statement of the Purpose of, and which each Participant is a member, to
COMMISSION Statutory Basis for, the Proposed Rule operate the CAT.11 Under the CAT NMS
Change Plan, the Operating Committee of the
[Release No. 34–80966; File No. SR–MRX– Company (‘‘Operating Committee’’) has
2017–08] 1. Purpose
discretion to establish funding for the
Bats BYX Exchange, Inc., Bats BZX Company to operate the CAT, including
Self-Regulatory Organizations; Nasdaq Exchange, Inc., Bats EDGA Exchange, establishing fees that the Participants
MRX, LLC; Notice of Filing of a Inc., Bats EDGX Exchange, Inc., BOX will pay, and establishing fees for
Proposed Rule Change To Adopt Rule Options Exchange LLC, C2 Options Industry Members that will be
912 Exchange, Incorporated, Chicago Board implemented by the Participants (‘‘CAT
Options Exchange, Incorporated, Fees’’).12 The Participants are required
June 19, 2017. Chicago Stock Exchange, Inc., Financial to file with the SEC under Section 19(b)
Pursuant to Section 19(b)(1) of the Industry Regulatory Authority, Inc. of the Exchange Act any such CAT Fees
Securities Exchange Act of 1934 (‘‘Act’’ (‘‘FINRA’’), Investors’ Exchange LLC, applicable to Industry Members that the
or ‘‘Exchange Act’’) 1, and Rule 19b–4 Miami International Securities Operating Committee approves.13
thereunder,2 notice is hereby given that Exchange, LLC, MIAX PEARL, LLC, Accordingly, the Exchange has filed a
on June 9, 2017, Nasdaq MRX, LLC NASDAQ BX, Inc., Nasdaq GEMX, LLC, proposed rule change with the SEC to
(‘‘MRX’’ or ‘‘Exchange’’) filed with the Nasdaq ISE, LLC, Nasdaq MRX, LLC,4 adopt the Consolidated Audit Trail
Securities and Exchange Commission NASDAQ PHLX LLC, The NASDAQ Funding Fees, which will require
(‘‘SEC’’ or ‘‘Commission’’) the proposed Stock Market LLC, New York Stock Industry Members that are Exchange
Exchange LLC, NYSE MKT LLC, NYSE members to pay the CAT Fees
rule change as described in Items I and
Arca, Inc. and NYSE National, Inc.5 determined by the Operating
II, below, which Items have been
(collectively, the ‘‘Participants’’) filed Committee.14 The Exchange submits
prepared by the Exchange. The with the Commission, pursuant to this rule filing to adopt Rule 912
Commission is publishing this notice to Section 11A of the Exchange Act 6 and (Consolidated Audit Trail—Fee Dispute
solicit comments on the proposed rule Rule 608 of Regulation NMS Resolution) to establish the procedures
change from interested persons. thereunder,7 the National Market for resolving potential disputes related
I. Self-Regulatory Organization’s System Plan Governing the to CAT Fees charged to Industry
Statement of the Terms of Substance of Consolidated Audit Trail (the ‘‘CAT Members. The proposed rules are
the Proposed Rule Change NMS Plan’’ or ‘‘Plan’’).8 The described below.
(1) Definitions
The Exchange proposes to adopt Rule 4 ISE Gemini, LLC, ISE Mercury, LLC and

912 (Consolidated Audit Trail—Fee International Securities Exchange, LLC have been Paragraph (a) of Proposed Rule 912
renamed Nasdaq GEMX, LLC, Nasdaq MRX, LLC, sets forth the definitions for Proposed
Dispute Resolution) to establish the and Nasdaq ISE, LLC, respectively. See Securities
procedures for resolving potential Exchange Act Release No. 80248 (March 15, 2017), Rule 912. Paragraph (a)(1) of Proposed
disputes related to CAT Fees charged to 82 FR 14547 (March 21, 2017); Securities Exchange Rule 912 states that, for purposes of
Industry Members.3 Act Release No. 80326 (March 29, 2017), 82 FR Rule 912, the terms ‘‘CAT NMS Plan’’,
16460 (April 4, 2017); and Securities Exchange Act ‘‘Industry Member’’, ‘‘Operating
The text of the proposed rule change Release No. 80325 (March 29, 2017), 82 FR 16445
(April 4, 2017). Committee’’, and ‘‘Participant’’ are
is available on the Exchange’s Web site 5 National Stock Exchange, Inc. has been renamed defined as set forth in the Rule 900
at http://nasdaqmrx.cchwallstreet.com/, NYSE National, Inc. See Securities Exchange Act
at the principal office of the Exchange, Release No. 79902 (January 30, 2017), 82 FR 9258 9 Securities Exchange Act Release No. 77724

and at the Commission’s Public (February 3, 2017). (April 27, 2016), 81 FR 30614 (May 17, 2016).
asabaliauskas on DSKBBXCHB2PROD with NOTICES

6 15 U.S.C. 78k–1. 10 Securities Exchange Act Rel. No. 79318
Reference Room. 7 17 CFR 242.608. (November 15, 2016), 81 FR 84696 (November 23,
8 See Letter from the Participants to Brent J. 2016) (‘‘Approval Order’’).
1 15U.S.C. 78s(b)(1). 11 The Plan also serves as the limited liability
Fields, Secretary, Commission, dated September 30,
2 17CFR 240.19b–4. 2014; and Letter from Participants to Brent J. Fields, company agreement for the Company.
3 Unless otherwise specified, capitalized terms 12 Section 11.1(b) of the CAT NMS Plan.
Secretary, Commission, dated February 27, 2015.
used in this rule filing are defined as set forth On December 24, 2015, the Participants submitted 13 Id.

herein, or in the Consolidated Audit Trail Funding an amendment to the CAT NMS Plan. See Letter 14 See Securities Exchange Act Release No. 80726

Fees Rule, the CAT Compliance Rule Series or in from Participants to Brent J. Fields, Secretary, (May 18, 2017), 82 FR 23915 (May 24, 2017) (SR–
the CAT NMS Plan. Commission, dated December 23, 2015. MRX–2017–04).

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Document Created: 2017-06-23 03:37:49
Document Modified: 2017-06-23 03:37:49

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 28701