82 FR 28711 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

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

Page Range		28711-28712
FR Document		2017-13142

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

[Federal Register Volume 82, Number 120 (Friday, June 23, 2017)]
[Notices]
[Pages 28711-28712]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-13142]


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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:
    Rule 163. SEC File No. 270-556, OMB Control No. 3235-0619.

    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.
    Rule 163 (17 CFR 230.163) provides an exemption from section 5(c) 
(15 U.S.C. 77e(c)) under the Securities Act of 1933 (15 U.S.C. 77a et 
seq.) for certain communications by or on behalf of a well-known 
seasoned issuer. The information filed under Rule 163 is publicly 
available. We estimate that it takes approximately 0.24 burden hours 
per response to provide the information required under Rule 163 and is 
filed by approximately 53 issuers. We estimate that 25% of the 0.24 
hours per response (0.06 hours) is prepared by the issuer for an annual 
reporting burden of 3 hours (0.06 hours per response x 53 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,

[[Page 28712]]

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: June 19, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-13142 Filed 6-22-17; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 82, No. 120 / Friday, June 23, 2017 / Notices 28711

IV. Solicitation of Comments For the Commission, by the Division of Office Building, Washington, DC 20503,
Trading and Markets, pursuant to delegated or by sending an email to: Shagufta_
Interested persons are invited to authority.21 Ahmed@omb.eop.gov; and (ii) Pamela
submit written data, views, and Eduardo A. Aleman, Dyson, Director/Chief Information
arguments concerning the foregoing, Assistant Secretary. Officer, Securities and Exchange
including whether the proposed rule [FR Doc. 2017–13101 Filed 6–22–17; 8:45 am] Commission, c/o Remi Pavlik-Simon,
change is consistent with the Act. BILLING CODE 8011–01–P 100 F Street NE., Washington, DC 20549
Comments may be submitted by any of or send an email to: PRA_Mailbox@
the following methods: sec.gov. Comments must be submitted to
SECURITIES AND EXCHANGE OMB within 30 days of this notice.
Electronic Comments COMMISSION Dated: June 19, 2017.
• Use the Commission’s Internet Eduardo A. Aleman,
Submission for OMB Review;
comment form (http://www.sec.gov/ Comment Request Assistant Secretary.
rules/sro.shtml); or [FR Doc. 2017–13140 Filed 6–22–17; 8:45 am]
• Send an email to rule-comments@ Upon Written Request Copies Available BILLING CODE 8011–01–P
sec.gov. Please include File Number SR– From: Securities and Exchange
Commission, Office of FOIA Services,
GEMX–2017–24 on the subject line.
100 F Street NE., Washington, DC SECURITIES AND EXCHANGE
Paper Comments 20549–2736 COMMISSION
Extension:
• Send paper comments in triplicate Form F–4. SEC File No. 270–288, OMB Submission for OMB Review;
to Secretary, Securities and Exchange Control No. 3235–0325 Comment Request
Commission, 100 F Street NE., Notice is hereby given that, pursuant
Washington, DC 20549–1090. Upon Written Request Copies Available
to the Paperwork Reduction Act of 1995
From: Securities and Exchange
All submissions should refer to File (44 U.S.C. 3501 et seq.), the Securities
Commission, Office of FOIA Services,
Number SR–GEMX–2017–24. This file and Exchange Commission
100 F Street NE., Washington, DC
number should be included on the (‘‘Commission’’) has submitted to the
20549–2736.
Office of Management and Budget this
subject line if email is used. To help the Extension:
request for extension of the previously
Commission process and review your Rule 163. SEC File No. 270–556, OMB
approved collection of information
comments more efficiently, please use discussed below. Control No. 3235–0619.
only one method. The Commission will Form F–4 (17 CFR 239.34) is used by Notice is hereby given that, pursuant
post all comments on the Commission’s foreign issuers to register securities in to the Paperwork Reduction Act of 1995
Internet Web site (http://www.sec.gov/ business combinations, reorganizations (44 U.S.C. 3501 et seq.), the Securities
rules/sro.shtml). Copies of the and exchange offers pursuant to federal and Exchange Commission
submission, all subsequent securities laws pursuant to the (‘‘Commission’’) has submitted to the
amendments, all written statements Securities Act of 1933 (15 U.S.C. 77a et Office of Management and Budget this
with respect to the proposed rule seq.). The information collected is request for extension of the previously
change that are filed with the intended to ensure that the information approved collection of information
Commission, and all written required to be filed by the Commission discussed below.
communications relating to the permits verification of compliance with Rule 163 (17 CFR 230.163) provides
proposed rule change between the securities law requirements and assures an exemption from section 5(c) (15
Commission and any person, other than the public availability of such U.S.C. 77e(c)) under the Securities Act
those that may be withheld from the information. The information provided of 1933 (15 U.S.C. 77a et seq.) for certain
public in accordance with the is mandatory and all information is communications by or on behalf of a
provisions of 5 U.S.C. 552, will be made available to the public upon well-known seasoned issuer. The
available for Web site viewing and request. Form F–4 takes approximately information filed under Rule 163 is
printing in the Commission’s Public 1,457 hours per response and is filed by publicly available. We estimate that it
Reference Room, 100 F Street NE., approximately 39 respondents. We takes approximately 0.24 burden hours
Washington, DC 20549, on official estimate that 25% of the 1,457 hours per per response to provide the information
business days between the hours of response (364.25 hours) is prepared by required under Rule 163 and is filed by
the registrant for a total annual reporting approximately 53 issuers. We estimate
10:00 a.m. and 3:00 p.m. Copies of the
burden of 14,206 hours (364.25 hours that 25% of the 0.24 hours per response
filing also will be available for
per response × 39 responses). (0.06 hours) is prepared by the issuer for
inspection and copying at the principal An agency may not conduct or an annual reporting burden of 3 hours
office of the Exchange. All comments sponsor, and a person is not required to (0.06 hours per response × 53
received will be posted without change; respond to, a collection of information responses).
the Commission does not edit personal unless it displays a currently valid An agency may not conduct or
identifying information from control number. sponsor, and a person is not required to
submissions. You should submit only
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The public may view the background respond to, a collection of information
information that you wish to make documentation for this information unless it displays a currently valid
available publicly. All submissions collection at the following Web site, control number.
should refer to File Number SR–GEMX– www.reginfo.gov . Comments should be The public may view the background
2017–24, and should be submitted on or directed to: (i) Desk Officer for the documentation for this information
before July 14, 2017. Securities and Exchange Commission, collection at the following Web site,
Office of Information and Regulatory www.reginfo.gov . Comments should be
Affairs, Office of Management and directed to: (i) Desk Officer for the
21 17 CFR 200.30–3(a)(12). Budget, Room 10102, New Executive Securities and Exchange Commission,

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28712 Federal Register / Vol. 82, No. 120 / Friday, June 23, 2017 / Notices

Office of Information and Regulatory .cchwallstreet.com/, at the principal rules of FINRA (the ‘‘Common Rules’’)
Affairs, Office of Management and office of the Exchange, and at the identified in the 17d–2 Agreement.
Budget, Room 10102, New Executive Commission’s Public Reference Room. Phlx Rule 1049, Communications to
Office Building, Washington, DC 20503, Customers, is not currently a Common
II. Self-Regulatory Organization’s Rule under the 17d–2 Agreement. Rule
or by sending an email to: Shagufta_
Statement of the Purpose of, and 1049 sets forth a range of requirements
Ahmed@omb.eop.gov; and (ii) Pamela
Statutory Basis for, the Proposed Rule applicable to members, member
Dyson, Director/Chief Information
Change organizations, or persons associated
Officer, Securities and Exchange
Commission, c/o Remi Pavlik-Simon, In its filing with the Commission, the with a member organization utilizing
100 F Street NE., Washington, DC 20549 Exchange included statements any advertisement, educational
or send an email to: PRA_Mailbox@ concerning the purpose of and basis for material, sales literature or other
sec.gov. Comments must be submitted to the proposed rule change and discussed communications to any customer or
OMB within 30 days of this notice. any comments it received on the member of the public. The purpose of
proposed rule change. The text of these this proposed rule change is to update,
Dated: June 19, 2017.
statements may be examined at the clarify and conform Rule 1049 to the
Eduardo A. Aleman, rules of FINRA and other options
Assistant Secretary. places specified in Item IV below. The
Exchange has prepared summaries, set exchanges regarding options
[FR Doc. 2017–13142 Filed 6–22–17; 8:45 am] communications to customers that are
forth in sections A, B, and C below, of
BILLING CODE 8011–01–P
the most significant aspects of such included as Common Rules under the
statements. 17d–2 Agreement, so that it too may
qualify as a Common Rule under the
SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s 17d–2 Agreement. The proposed rule
COMMISSION Statement of the Purpose of, and change would make both organizational
[Release No. 34–80972; File No. SR–Phlx– Statutory Basis for, the Proposed Rule and substantive changes that have
2017–39] Change previously been made by other
1. Purpose exchanges in order to conform to FINRA
Self-Regulatory Organizations; rules.4
NASDAQ PHLX LLC; Notice of Filing The Exchange is a party to a 17d–2 Specifically, this proposed rule
and Immediate Effectiveness of agreement with the Financial Industry change is based upon, and makes
Proposed Rule Change To Amend Rule Regulatory Authority, Inc. (‘‘FINRA’’) changes that have previously been made
1049, Communications to Customers and other options exchanges (the to, Chicago Board Options Exchange
‘‘Options Multiparty 17d–2 Agreement’’ (‘‘CBOE’’) Rule 9.21 (a Common Rule)
June 19, 2017. over the past ten years, on a cumulative
or the ‘‘17d–2 Agreement’’).3 The 17d–
Pursuant to Section 19(b)(1) of the 2 Agreement allocates regulatory basis, by SR–CBOE–2013–043;5 SR–
Securities Exchange Act of 1934 responsibilities with respect to broker- CBOE–2010–035 6 and SR–CBOE–2007–
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 dealers, and persons associated 30.7 Current Phlx Rule 1049 is very
notice is hereby given that on June 8, therewith, that are members of more similar in content and organization to
2017, NASDAQ PHLX LLC (‘‘Phlx’’ or than one Participant (the ‘‘Common CBOE Rule 9.21 as it existed prior to
‘‘Exchange’’) filed with the Securities Members’’) and conduct a public approval of SR–CBOE–2007–30. Upon
and Exchange Commission (‘‘SEC’’ or business for compliance with specified implementation of the amendments
‘‘Commission’’) the proposed rule common rules relating to the conduct by proposed herein, Exchange Rule 1049
change as described in Items I, II, and broker-dealers and associated persons of would once again track CBOE Rule 9.21
III, below, which Items have been accounts for listed options, index nearly word for word.8 The
prepared by the Exchange. The warrants, currency index warrants, and
Commission is publishing this notice to currency warrants (collectively,
4 See, e.g., FINRA Rule 2220, CBOE Rule 9.21,

solicit comments on the proposed rule ‘‘Covered Securities’’). Pursuant to the
MIAX Rule 1322, and ISE Rule 623.
5 See Securities Exchange Act Release 69807
change from interested persons. 17d–2 Agreement, FINRA is the (June 20, 2013), 78 FR 38423 (June 26, 2013) (SR–
I. Self-Regulatory Organization’s Designated Options Examining CBOE–2013–043)
Statement of the Terms of Substance of Authority (‘‘DOEA’’) for its broker- 6 See Securities Exchange Act Release No. 62034

dealer members that also are members (May 4, 2010), 75 FR 26303 (May 10, 2010) (SR–
the Proposed Rule Change CBOE–2010–35). This was an interim rule change
of Phlx. Thus, FINRA has certain relating to market letters which are no longer
The Exchange proposes to amend
examination and enforcement addressed in CBOE rules and are thus not addressed
Rule 1049, Communications to
responsibilities relating to compliance in this proposed rule change.
Customers. The proposed rule change is 7 See Securities Exchange Act Release No. 58823
by Common Members with the rules of
intended to update and modernize Rule (October 21, 2008), 73 FR 63747 (October 28, 2008)
Phlx that are substantially similar to the
1049, to be retitled ‘‘Options (SR–CBOE–2007–30).
8 The only substantive difference between CBOE
Communications,’’ and to conform it to
3 See Agreement by and among Bats BZX Rule 9.21 and proposed Phlx Rule 1049 is with
rules of other options exchanges Exchange, Inc., BOX Options Exchange, LLC, the respect to index warrants. Current Phlx Rule 1049
regarding communications to customers. Chicago Board Options Exchange, Incorporated, C2 states at section (f) that the provisions of Rule 1049
It makes both organizational and Options Exchange, Incorporated, the International are applicable to index warrants, and at
asabaliauskas on DSKBBXCHB2PROD with NOTICES

substantive changes that have Securities Exchange, LLC, Financial Industry Commentary .05 that, for purposes of the rule the
Regulatory Authority, Inc., Miami International term ‘‘option’’ is deemed to include index warrants
previously been made by other options Securities Exchange, LLC, the NYSE MKT LLC, the and the term ‘‘The Options Clearing Corporation’’
exchanges. NYSE Arca, Inc., The NASDAQ Stock Market LLC, is deemed to mean the issuer(s) of such warrants.
The text of the proposed rule change NASDAQ BX, Inc., the NASDAQ PHLX LLC, ISE CBOE Rule 9.21 does not contain comparable
is available on the Exchange’s Web Gemini, LLC, Bats EDGX Exchange, Inc., ISE provisions. No changes are proposed with respect
Mercury, LLC and MIAX PEARL, LLC, Pursuant to to these provisions. Provisions relating to index
site at http://nasdaqphlx Rule 17d–2 under the Securities Exchange Act of warrants were added to Rule 1049 by Phlx in 1994
1934. See also Securities Exchange Act Release No. as part of a comprehensive proposed rule change
1 15 U.S.C. 78s(b)(1). 79929 (February 2, 2017), 82 FR 9757 (February 8, establishing rules for the listing and trading of stock
2 17 CFR 240.19b–4. 2017). index, currency and currency index warrants. See

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Document Created: 2017-06-23 03:37:38
Document Modified: 2017-06-23 03:37:38

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 28711