82_FR_43600 82 FR 43422 - Proposed Collection; Comment Request

82 FR 43422 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 178 (September 15, 2017)

Page Range43422-43423
FR Document2017-19676

Federal Register, Volume 82 Issue 178 (Friday, September 15, 2017) 
[Federal Register Volume 82, Number 178 (Friday, September 15, 2017)]
[Notices]
[Pages 43422-43423]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-19676]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-422, OMB Control No. 3235-0471]


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of FOIA Services, 100 F Street NE., 
Washington, DC 20549-2736.

Extension:
    Rule 15c1-5

    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 existing 
collection of information provided for in Rule 15c1-5 (17 CFR 240.15c1-
5) 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 15c1-5 states that any broker-dealer controlled by, 
controlling, or under common control with the issuer of a security that 
the broker-dealer is trying to sell to or buy from a customer must give 
the customer written notification disclosing the control

[[Page 43423]]

relationship at or before completion of the transaction. The Commission 
estimates that 197 respondents collect information annually under Rule 
15c1-5 and that each respondent would spend approximately 10 hours per 
year collecting this information (1,970 hours in aggregate). There is 
no retention period requirement under Rule 15c1-5. This Rule does not 
involve the collection of confidential information.
    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 to 
be 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: September 12, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-19676 Filed 9-14-17; 8:45 am]
 BILLING CODE 8011-01-P

43422 Federal Register / Vol. 82, No. 178 / Friday, September 15, 2017 / Notices gold pricing information based on the accommodating Exchange trading of an Commission and any person, other than spot price for an ounce of gold from additional exchange-traded product those that may be withheld from the various financial information service relating to physical gold. public in accordance with the providers. Investors may obtain gold provisions of 5 U.S.C. 552, will be C. Self-Regulatory Organization’s pricing information based on the spot available for Web site viewing and Statement on Comments on the price for an ounce of gold from various printing in the Commission’s Public financial information service providers. Proposed Rule Change Received From Reference Room, 100 F Street NE., Current spot prices also are generally Members, Participants, or Others Washington, DC 20549, on official available with bid/ask spreads from gold No written comments were solicited business days between the hours of bullion dealers. In addition, the Trust’s or received with respect to the proposed 10:00 a.m. and 3:00 p.m. Copies of the Web site will provide pricing rule change. filing also will be available for information for gold spot prices and the III. Date of Effectiveness of the inspection and copying at the principal Shares. Market prices for the Shares will office of the Exchange. All comments Proposed Rule Change and Timing for be available from a variety of sources received will be posted without change; Commission Action including brokerage firms, information the Commission does not edit personal Web sites and other information service Within 45 days of the date of identifying information from providers. The NAV of the Trust will be publication of this notice in the Federal submissions. You should submit only published by the Sponsor on each day Register or within such longer period information that you wish to make that the NYSE Arca is open for regular up to 90 days (i) as the Commission may available publicly. All submissions trading and will be posted on the Trust’s designate if it finds such longer period should refer to File Number SR– Web site. The IIV relating to the Shares to be appropriate and publishes its NYSEArca–2017–98, and should be will be widely disseminated by one or reasons for so finding or (ii) as to which submitted on or before October 6, 2017. more major market data vendors at least the self-regulatory organization consents, the Commission will: For the Commission, by the Division of every 15 seconds during the Core Trading and Markets, pursuant to delegated Trading Session. In addition, the LBMA (A) By order approve or disapprove authority.31 Gold Price is publicly available at no the proposed rule change, or Eduardo A. Aleman, charge at www.lbma.org.uk. The Trust’s (B) institute proceedings to determine whether the proposed rule change Assistant Secretary. Web site will also provide the Trust’s should be disapproved. [FR Doc. 2017–19585 Filed 9–14–17; 8:45 am] prospectus, as well as the two most BILLING CODE 8011–01–P recent reports to stockholders. In IV. Solicitation of Comments addition, information regarding market price and trading volume of the Shares Interested persons are invited to submit written data, views, and SECURITIES AND EXCHANGE will be continually available on a real- arguments concerning the foregoing, COMMISSION time basis throughout the day on brokers’ computer screens and other including whether the proposed rule [SEC File No. 270–422, OMB Control No. electronic services. Information change is consistent with the Act. 3235–0471] regarding the previous day’s closing Comments may be submitted by any of price and trading volume information the following methods: Proposed Collection; Comment for the Shares will be published daily in Request Electronic Comments the financial section of newspapers. Upon Written Request, Copies Available The proposed rule change is designed • Use the Commission’s Internet comment form (http://www.sec.gov/ From: U.S. Securities and Exchange to perfect the mechanism of a free and Commission, Office of FOIA Services, open market and, in general, to protect rules/sro.shtml); or • Send an email to rule-comments@ 100 F Street NE., Washington, DC investors and the public interest in that 20549–2736. it will facilitate the listing and trading sec.gov. Please include File Number SR– of an additional type of exchange-traded NYSEArca–2017–98 on the subject line. Extension: Rule 15c1–5 product that will enhance competition Paper Comments among market participants, to the Notice is hereby given that pursuant benefit of investors and the marketplace. • Send paper comments in triplicate to the Paperwork Reduction Act of 1995 As noted above, the Exchange has in to Secretary, Securities and Exchange (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the place surveillance procedures relating to Commission, 100 F Street NE., Securities and Exchange Commission trading in the Shares and may obtain Washington, DC 20549–1090. (‘‘Commission’’) is soliciting comments information via ISG from other All submissions should refer to File on the existing collection of information exchanges that are members of ISG or Number SR–NYSEArca–2017–98. This provided for in Rule 15c1–5 (17 CFR with which the Exchange has entered file number should be included on the 240.15c1–5) under the Securities into a comprehensive surveillance subject line if email is used. To help the Exchange Act of 1934 (15 U.S.C. 78a et sharing agreement. In addition, as noted Commission process and review your seq.). The Commission plans to submit above, investors will have ready access comments more efficiently, please use this existing collection of information to to information regarding gold pricing. only one method. The Commission will the Office of Management and Budget post all comments on the Commission’s (‘‘OMB’’) for extension and approval. B. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ Rule 15c1–5 states that any broker- Statement on Burden on Competition rules/sro.shtml). Copies of the dealer controlled by, controlling, or mstockstill on DSK30JT082PROD with NOTICES The Exchange does not believe that submission, all subsequent under common control with the issuer the proposed rule change will impose amendments, all written statements of a security that the broker-dealer is any burden on competition that is not with respect to the proposed rule trying to sell to or buy from a customer necessary or appropriate in furtherance change that are filed with the must give the customer written of the purposes of the Act. The Commission, and all written notification disclosing the control Exchange believes the proposed rule communications relating to the change will enhance competition by proposed rule change between the 31 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:07 Sep 14, 2017 Jkt 241001 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 E:\FR\FM\15SEN1.SGM 15SEN1

Federal Register / Vol. 82, No. 178 / Friday, September 15, 2017 / Notices 43423 relationship at or before completion of notice is hereby given that on August (‘‘Registration Statement’’) with the the transaction. The Commission 30, 2017, The NASDAQ Stock Market Commission. The Fund is a series of the estimates that 197 respondents collect LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed Trust and will be advised by an information annually under Rule 15c1– with the Securities and Exchange investment adviser (‘‘Adviser’’) 5 and that each respondent would Commission (‘‘Commission’’) the registered under the Investment spend approximately 10 hours per year proposed rule change as described in Advisers Act of 1940 (‘‘Advisers Act’’), collecting this information (1,970 hours Items I and II below, which Items have as described below. The Fund will be in aggregate). There is no retention been prepared by the Exchange. The actively managed and will pursue the period requirement under Rule 15c1–5. Commission is publishing this notice to principal investment strategies This Rule does not involve the solicit comments on the proposed rule discussed below.5 collection of confidential information. change from interested persons. Written comments are invited on: (a) Eaton Vance NextShares Trust II Whether the proposed collection of I. Self-Regulatory Organization’s Statement of the Terms of Substance of The Trust is registered with the information is necessary for the proper Commission as an open-end investment performance of the functions of the the Proposed Rule Change company and has filed a Registration Commission, including whether the The Exchange proposes to list and Statement with the Commission.6 information shall have practical utility; trade under Nasdaq Rule 5745 Eaton Vance Management 7 will be the (b) the accuracy of the Commission’s (Exchange-Traded Managed Fund Adviser to the Fund. Oaktree Capital estimates of the burden of the proposed Shares) the common shares (‘‘Shares’’) Management, L.P. will be the Sub- collection of information; (c) ways to of Eaton Vance Oaktree Diversified Adviser to the Fund. Each of the enhance the quality, utility, and clarity Credit NextSharesTM (the ‘‘Fund’’), a Adviser and the Sub-Adviser is not a of the information to be collected; and series of Eaton Vance NextShares Trust registered broker-dealer, although each (d) ways to minimize the burden of the II (the ‘‘Trust’’).3 is affiliated with a broker-dealer, and collection of information on II. Self-Regulatory Organization’s each of the Adviser and the Sub-Adviser respondents, including through the use has implemented a fire wall with Statement of the Purpose of, and of automated collection techniques or respect to its affiliated broker-dealer Statutory Basis for, the Proposed Rule other forms of information technology. regarding access to information Change Consideration will be given to concerning the composition and/or comments and suggestions submitted in In its filing with the Commission, the changes to the Fund’s portfolio.8 In writing within 60 days of this Exchange included statements publication. concerning the purpose of and basis for 5 Additional information regarding the Fund will An agency may not conduct or the proposed rule change and discussed be available on the free public Web site for the sponsor, and a person is not required to any comments it received on the Fund (www.eatonvance.com or respond to, a collection of information proposed rule change. The text of these www.nextshares.com.) and in the Registration under the PRA unless it displays a statements may be examined at the Statement for the Fund. 6 See Post-Effective Amendment No. 3 to the currently valid OMB control number. places specified in Item IV below. The Registration Statement on Form N–1A for the Trust Please direct your written comments Exchange has prepared summaries, set dated August 8, 2017 (File Nos. 333–197734 and to: Pamela Dyson, Director/Chief forth in sections A, B, and C below, of 811–22983). The description of the Fund and the Information Officer, Securities and the most significant aspects of such Shares contained herein conform to the Registration Exchange Commission, c/o Remi Pavlik- statements. Statement. 7 The Commission has issued an order granting Simon, 100 F Street NE., Washington, DC 20549, or send an email to: PRA_ A. Self-Regulatory Organization’s Eaton Vance Management, Eaton Vance NextShares Statement of the Purpose of, and Trust and the Trust and certain affiliates exemptive Mailbox@sec.gov. relief under the Investment Company Act. See Statutory Basis for, the Proposed Rule Investment Company Act Release No. 31361 Dated: September 12, 2017. Change (December 2, 2014) (File No. 812–14139) (the Eduardo A. Aleman, ‘‘Order’’). Assistant Secretary. 1. Purpose 8 An investment adviser to an open-end fund is [FR Doc. 2017–19676 Filed 9–14–17; 8:45 am] The Exchange proposes to list and required to be registered under the Advisers Act. As a result, each of the Adviser and the Sub-Adviser, BILLING CODE 8011–01–P trade the Shares of the Fund under and its related personnel, are subject to the Nasdaq Rule 5745, which governs the provisions of Rule 204A–1 under the Advisers Act listing and trading of exchange-traded relating to codes of ethics. This Rule requires SECURITIES AND EXCHANGE managed fund shares, as defined in investment advisers to adopt a code of ethics that reflects the fiduciary nature of the relationship to COMMISSION Nasdaq Rule 5745(c)(1), on the clients as well as compliance with other applicable Exchange.4 The Trust is registered with securities laws. Accordingly, procedures designed [Release No. 34–81574; File No. SR– NASDAQ–2017–090] the Commission as an open-end to prevent the communication and misuse of non- investment company and has filed a public information by an investment adviser must be consistent with Rule 204A–1 under the Advisers Self-Regulatory Organizations; The registration statement on Form N–1A Act. In addition, Rule 206(4)–7 under the Advisers NASDAQ Stock Market LLC; Notice of Act makes it unlawful for an investment adviser to 3 Except for the specific Fund information set Filing of Proposed Rule Change To provide investment advice to clients unless such forth below, this rule filing conforms to the rule investment adviser has (i) adopted and List and Trade Shares of the Eaton filing, as modified by amendments 1 and 2 thereto, implemented written policies and procedures Vance Oaktree Diversified Credit relating to the listing and trading on Nasdaq of the reasonably designed to prevent violation, by the NextSharesTM shares of 18 series of the Eaton Vance ETMF Trust investment adviser and its supervised persons, of mstockstill on DSK30JT082PROD with NOTICES (now named Eaton Vance NextShares Trust) and the the Advisers Act and the Commission rules adopted September 11, 2017. Eaton Vance ETMF Trust II (now named Eaton thereunder; (ii) implemented, at a minimum, an Pursuant to Section 19(b)(1) of the Vance NextShares Trust II), as approved by the annual review regarding the adequacy of the Securities Exchange Act of 1934 Commission in Securities Exchange Act Release No. policies and procedures established pursuant to 75499 (July 21, 2015) (SR–NASDAQ–2015–036). subparagraph (i) above and the effectiveness of their (‘‘Act’’),1 and Rule 19b–4 thereunder,2 4 The Commission approved Nasdaq Rule 5745 in implementation; and (iii) designated an individual Securities Exchange Act Release No. 34–73562 (who is a supervised person) responsible for 1 15 U.S.C. 78s(b)(1). (Nov. 7, 2014), 79 FR 68309 (Nov. 14, 2014) (SR– administering the policies and procedures adopted 2 17 CFR 240.19b–4. NASDAQ–2014–020). under subparagraph (i) above. VerDate Sep<11>2014 17:07 Sep 14, 2017 Jkt 241001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 E:\FR\FM\15SEN1.SGM 15SEN1


Document Created: 2017-09-15 00:18:38
Document Modified: 2017-09-15 00:18:38
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation82 FR 43422 
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