82_FR_43607 82 FR 43429 - Proposed Collection; Comment Request

82 FR 43429 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

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

Page Range43429-43430
FR Document2017-19678

Federal Register, Volume 82 Issue 178 (Friday, September 15, 2017) 
[Federal Register Volume 82, Number 178 (Friday, September 15, 2017)]
[Notices]
[Pages 43429-43430]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-19678]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-035, OMB Control No. 3235-0029]


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(c)

    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 17f-2(c) (17 CFR 
240.17f-2(c)), 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(c) allows persons required to be fingerprinted pursuant 
to Section 17(f)(2) of the Act to submit their fingerprints to the 
Attorney General of the United States or its designee (i.e., the 
Federal Bureau of Investigation (``FBI'')) through a registered 
national securities exchange or a registered national securities 
association (collectively, also known as ``self-regulatory 
organizations'' or ``SROs'') pursuant to a fingerprint plan filed with, 
and declared effective by, the Commission. Fingerprint plans have been 
declared effective for the American, Boston, Chicago, New York, and 
Philadelphia stock exchanges and for the Financial Industry Regulatory

[[Page 43430]]

Authority (``FINRA'') and the Chicago Board Options Exchange. 
Currently, FINRA accounts for the bulk of the fingerprint submissions.
    It is estimated that 4,200 respondents submit approximately 285,600 
sets of fingerprints (consisting of approximately 243,600 electronic 
sets and 42,000 hard copy sets) to SROs on an annual basis. The 
Commission estimates that it would take approximately 15 minutes to 
create and submit each fingerprint card. The total reporting burden is 
therefore estimated to be approximately 71,400 hours, or approximately 
15 hours per respondent, annually.
    In addition, the SROs charge an estimated $25.00 fee for processing 
fingerprint cards submitted electronically, resulting in a total annual 
cost to all 4,200 respondents of $6,090,000, or $1,450 per respondent 
per year. The SROs charge an estimated $40.00 fee for processing 
fingerprint cards submitted in hard copy, resulting in a total annual 
cost to all 4,200 respondents of approximately $1,680,000, or $400 per 
respondent per year. The combined annual cost to all respondents is 
thus $7,770,000.
    Because the FBI will not accept fingerprint cards directly from 
submitting organizations, Commission approval of fingerprint plans from 
certain SROs is essential to carry out the Congressional goal to 
fingerprint securities industry personnel. Filing these plans for 
review assures users and their personnel that fingerprint cards will be 
handled responsibly and with due care for confidentiality.
    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: September 12, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-19678 Filed 9-14-17; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 82, No. 178 / Friday, September 15, 2017 / Notices 43429 upper threshold for the life of the order III. Date of Effectiveness of the inspection and copying at the principal and whereby the order will be cancelled Proposed Rule Change and Timing for office of the Exchange. All comments at any point if it exceeds $101.00 or falls Commission Action received will be posted without change; below $99.00, the established Within 45 days of the date of the Commission does not edit personal thresholds. With certain exceptions, publication of this notice in the Federal identifying information from each order also must contain the Register or within such longer period submissions. You should submit only applicable order attributes, including up to 90 days (i) as the Commission may information that you wish to make routing instructions and time-in-force designate if it finds such longer period available publicly. All submissions information, as described in Nasdaq to be appropriate and publishes its should refer to File Number SR– Rule 4703. reasons for so finding or (ii) as to which NASDAQ–2017–090 and should be the self-regulatory organization submitted on or before October 6, 2017. The proposed rule change is designed consents, the Commission will: (a) By For the Commission, by the Division of to perfect the mechanism of a free and Trading and Markets, pursuant to delegated open market and, in general, to protect order approve or disapprove such proposed rule change; or (b) institute authority.36 investors and the public interest in that Eduardo A. Aleman, it will facilitate the listing and trading proceedings to determine whether the proposed rule change should be Assistant Secretary. of the Fund, which seeks to provide disapproved. [FR Doc. 2017–19583 Filed 9–14–17; 8:45 am] investors with access to an actively BILLING CODE 8011–01–P managed investment strategy in a IV. Solicitation of Comments structure that offers the cost and tax Interested persons are invited to efficiencies and shareholder protections submit written data, views, and SECURITIES AND EXCHANGE of ETFs, while removing the arguments concerning the foregoing, COMMISSION requirement for daily portfolio holdings including whether the proposed rule [SEC File No. 270–035, OMB Control No. disclosure to ensure a tight relationship change is consistent with the Act. 3235–0029] between market trading prices and Comments may be submitted by any of NAV. the following methods: Proposed Collection; Comment For the above reasons, Nasdaq Request Electronic Comments believes the proposed rule change is Upon Written Request, Copies Available • Use the Commission’s Internet consistent with the requirements of From: Securities and Exchange comment form (http://www.sec.gov/ Section 6(b)(5) of the Act. Commission, Office of FOIA Services, rules/sro.shtml ); or B. Self-Regulatory Organization’s • Send an email to rule-comments@ 100 F Street NE., Washington, DC sec.gov. Please include File Number SR– 20549–2736 Statement on Burden on Competition NASDAQ–2017–090 on the subject line. Extension: The Exchange does not believe that Rule 17f–2(c) the proposed rule change will result in Paper Comments Notice is hereby given that pursuant any burden on competition that is not • Send paper comments in triplicate to the Paperwork Reduction Act of 1995 necessary or appropriate in furtherance to Secretary, Securities and Exchange (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the of the purposes of the Act. In fact, the Commission, 100 F Street NE., Securities and Exchange Commission Exchange believes that the introduction Washington, DC 20549–1090. (‘‘Commission’’) is soliciting comments of the Fund would promote competition All submissions should refer to File on the existing collection of information by making available to investors an Number SR–NASDAQ–2017–090. This provided for in Rule 17f–2(c) (17 CFR actively managed investment strategy in file number should be included on the 240.17f–2(c)), under the Securities a structure that offers the cost and tax subject line if email is used. To help the Exchange Act of 1934 (15 U.S.C. 78a et efficiencies and shareholder protections Commission process and review your seq.). The Commission plans to submit of ETFs, while removing the comments more efficiently, please use this existing collection of information to requirement for daily portfolio holdings only one method. The Commission will the Office of Management and Budget disclosure to ensure a tight relationship post all comments on the Commission’s (‘‘OMB’’) for extension and approval. between market trading prices and Internet Web site (http://www.sec.gov/ Rule 17f–2(c) allows persons required NAV. Moreover, the Exchange believes rules/sro.shtml). Copies of the to be fingerprinted pursuant to Section submission, all subsequent 17(f)(2) of the Act to submit their that the proposed method of Share amendments, all written statements fingerprints to the Attorney General of trading would provide investors with with respect to the proposed rule the United States or its designee (i.e., transparency of trading costs, and the change that are filed with the the Federal Bureau of Investigation ability to control trading costs using Commission, and all written (‘‘FBI’’)) through a registered national limit orders, that is not available for communications relating to the securities exchange or a registered conventionally traded ETFs. proposed rule change between the national securities association These developments could Commission and any person, other than (collectively, also known as ‘‘self- significantly enhance competition to the those that may be withheld from the regulatory organizations’’ or ‘‘SROs’’) benefit of the markets and investors. public in accordance with the pursuant to a fingerprint plan filed with, provisions of 5 U.S.C. 552, will be and declared effective by, the mstockstill on DSK30JT082PROD with NOTICES C. Self-Regulatory Organization’s available for Web site viewing and Commission. Fingerprint plans have Statement on Comments on the printing in the Commission’s Public been declared effective for the Proposed Rule Change Received From Reference Room, 100 F Street NE., American, Boston, Chicago, New York, Members, Participants, or Others Washington, DC 20549, on official and Philadelphia stock exchanges and business days between the hours of for the Financial Industry Regulatory Written comments were neither 10:00 a.m. and 3:00 p.m. Copies of the solicited nor received. filing also will be available for 36 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:07 Sep 14, 2017 Jkt 241001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\15SEN1.SGM 15SEN1

43430 Federal Register / Vol. 82, No. 178 / Friday, September 15, 2017 / Notices Authority (‘‘FINRA’’) and the Chicago Information Officer, Securities and II. Self-Regulatory Organization’s Board Options Exchange. Currently, Exchange Commission, c/o Remi Pavlik- Statement of the Purpose of, and FINRA accounts for the bulk of the Simon, 100 F Street NE., Washington, Statutory Basis for, the Proposed Rule fingerprint submissions. DC 20549, or send an email to: PRA_ Change It is estimated that 4,200 respondents Mailbox@sec.gov. submit approximately 285,600 sets of In its filing with the Commission, the fingerprints (consisting of Dated: September 12, 2017. self-regulatory organization included approximately 243,600 electronic sets Eduardo A. Aleman, statements concerning the purpose of, and 42,000 hard copy sets) to SROs on Assistant Secretary. and basis for, the proposed rule change an annual basis. The Commission and discussed any comments it received [FR Doc. 2017–19678 Filed 9–14–17; 8:45 am] estimates that it would take on the proposed rule change. The text BILLING CODE 8011–01–P of those statements may be examined at approximately 15 minutes to create and submit each fingerprint card. The total the places specified in Item IV below. reporting burden is therefore estimated The Exchange has prepared summaries, SECURITIES AND EXCHANGE set forth in sections A, B, and C below, to be approximately 71,400 hours, or COMMISSION approximately 15 hours per respondent, of the most significant parts of such annually. statements. In addition, the SROs charge an [Release No. 34–81573; File No. SR– NYSEARCA–2017–97] A. Self-Regulatory Organization’s estimated $25.00 fee for processing Statement of the Purpose of, and the fingerprint cards submitted Statutory Basis for, the Proposed Rule electronically, resulting in a total annual Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Change cost to all 4,200 respondents of $6,090,000, or $1,450 per respondent Immediate Effectiveness of Proposed 1. Purpose per year. The SROs charge an estimated Rule Change To Amend the NYSE Arca In connection with the introduction of $40.00 fee for processing fingerprint Equities Fees and Charges new gateways on August 21, 2017, the cards submitted in hard copy, resulting Exchange proposes to amend its Fee September 11, 2017. in a total annual cost to all 4,200 Schedule to adopt a cap, for August and respondents of approximately Pursuant to Section 19(b)(1) 1 of the September 2017, on monthly fees for the $1,680,000, or $400 per respondent per Securities Exchange Act of 1934 (the use of ports connecting to NYSE Arca year. The combined annual cost to all ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 that are added after August 18, 2017. respondents is thus $7,770,000. notice is hereby given that, on August The Exchange currently makes ports Because the FBI will not accept 29, 2017, NYSE Arca, Inc. (the available that provide connectivity to fingerprint cards directly from ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with the Exchange’s trading systems (i.e., submitting organizations, Commission the Securities and Exchange ports for the entry of orders and/or approval of fingerprint plans from Commission (the ‘‘Commission’’) the quotes (‘‘order/quote entry ports’’)) and certain SROs is essential to carry out the proposed rule change as described in charges $550 per port per month.5 The Congressional goal to fingerprint Items I, II, and III below, which Items Exchange also currently makes ports securities industry personnel. Filing have been prepared by the self- available for drop copies and charges these plans for review assures users and regulatory organization. The $550 per port per month.6 their personnel that fingerprint cards Commission is publishing this notice to In order to facilitate an ETP Holder’s will be handled responsibly and with due care for confidentiality. solicit comments on the proposed rule transition to the Exchange’s new Written comments are invited on: (a) change from interested persons. gateways on August 21, 2017, the Whether the proposed collection of Exchange proposes to add to its Fee I. Self-Regulatory Organization’s Schedule that, for the billing months of information is necessary for the proper Statement of the Terms of Substance of performance of the functions of the August and September 2017, the total the Proposed Rule Change charge per firm for order/quote entry Commission, including whether the information shall have practical utility; The Exchange proposes to amend the ports and drop copy ports will be (b) the accuracy of the Commission’s capped at the total number of such ports NYSE Arca Equities Fees and Charges estimates of the burden of the proposed that the firm has activated at the start of (the ‘‘Fee Schedule’’) to adopt a cap, for collection of information; (c) ways to trading on August 18, 2017, the last August and September 2017, on trading day prior to the introduction of enhance the quality, utility, and clarity monthly fees for the use of ports of the information collected; and (d) the new gateways. This cap would have connecting to NYSE Arca that are added the effect of waiving the port fees, for ways to minimize the burden of the after August 18, 2017. The Exchange collection of information on August and September 2017, of any proposes to implement the changes on respondents, including through the use August 29, 2017.4 The proposed rule 5 Port fees are not applicable to ports used for the of automated collection techniques or change is available on the Exchange’s Exchange’s Risk Management Gateway service. other forms of information technology. Web site at www.nyse.com, at the Further, no fee applies to ports in the backup Consideration will be given to datacenter that are not utilized during the relevant principal office of the Exchange, and at comments and suggestions submitted in month. No fee applies to ports in the backup writing within 60 days of this the Commission’s Public Reference datacenter that are utilized when the primary publication. Room. datacenter is unavailable. However, if a port in the mstockstill on DSK30JT082PROD with NOTICES backup datacenter is utilized when the primary An agency may not conduct or datacenter is available, then the fee shall apply. 1 15 U.S.C. 78s(b)(1). sponsor, and a person is not required to 6 No fee applies to ports in the backup datacenter 2 15 U.S.C. 78a. respond to, a collection of information 3 17 CFR 240.19b–4. if configured such that it is duplicative of another under the PRA unless it displays a drop copy port of the same user. Only one fee per 4 The Exchange originally filed to amend the Fee drop copy port applies, even if the port receives currently valid OMB control number. Schedule on August 18, 2017 (SR–NYSEArca– drop copies from multiple order/quote entry ports Please direct your written comments 2017–91) and withdrew such filing on August 29, and/or drop copies for activity on both NYSE Arca to: Pamela Dyson, Director/Chief 2017. Equities and NYSE Arca Options. VerDate Sep<11>2014 17:07 Sep 14, 2017 Jkt 241001 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 E:\FR\FM\15SEN1.SGM 15SEN1


Document Created: 2017-09-15 00:18:56
Document Modified: 2017-09-15 00:18:56
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 43429 
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