82 FR 44676 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 184 (September 25, 2017)

Page Range		44676-44677
FR Document		2017-20359

Federal Register, Volume 82 Issue 184 (Monday, September 25, 2017)

[Federal Register Volume 82, Number 184 (Monday, September 25, 2017)]
[Notices]
[Pages 44676-44677]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-20359]


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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:
    Regulation S-X, SEC File No. 270-003, OMB Control No. 3235-0009.

    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 (``OMB'') a request for extension of the previously approved 
collection of information discussed below.
    Information collected and information prepared pursuant to 
Regulation S-X focus on the form and content of, and requirements for, 
financial statements filed with periodic reports and in connection with 
the offer and sale of securities. Investors need reasonably current 
financial statements to make informed investment and voting decisions.
    The potential respondents include all entities that file 
registration statements or reports pursuant to the Securities Act of 
1933 (15 U.S.C. 77a, et seq.), the Securities Exchange Act of 1934 (15 
U.S.C. 78a, et seq.), or the Investment Company Act of 1940 (15 U.S.C. 
80a-1, et seq.).
    Regulation S-X specifies the form and content of financial 
statements when those financial statements are required to be filed by 
other rules and forms under the federal securities laws. Compliance 
burdens associated with the financial statements are assigned to the 
rule or form that directly requires the financial statements to be 
filed, not to Regulation S-X. Instead, an estimated burden of one hour 
traditionally has been assigned to Regulation S-X for incidental 
reading of the regulation. The estimated average burden hours are 
solely for purposes of the Paperwork Reduction Act and are not derived 
from a comprehensive or even a representative survey or study of the 
costs of SEC rules or forms.
    Recordkeeping retention periods are based on the disclosure 
required by various forms and rules other than Regulation S-X. In 
general, balance sheets for the preceding two fiscal years, income and 
cash flow statements for the preceding three fiscal years, and 
condensed quarterly financial statements must be filed with the 
Commission. Five year summary financial information is required to be 
disclosed by some larger registrants.
    Filing financial statements, when required by the governing rule or 
form, is mandatory. Because these statements are provided for the 
purpose of disseminating information to the securities markets, they 
are not kept confidential.
    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 information discussed in this notice at 
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, or by sending an email 
to: [email protected]; and (ii) Pamela Dyson, Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email

[[Page 44677]]

to: [email protected]. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: September 19, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-20359 Filed 9-22-17; 8:45 am]
 BILLING CODE 8011-01-P

44676 Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices

believes that its proposal would not with respect to the proposed rule current financial statements to make
burden intramarket competition because change that are filed with the informed investment and voting
the proposed rate would apply Commission, and all written decisions.
uniformly to all Members. communications relating to the The potential respondents include all
proposed rule change between the entities that file registration statements
C. Self-Regulatory Organization’s Commission and any person, other than or reports pursuant to the Securities Act
Statement on Comments on the those that may be withheld from the of 1933 (15 U.S.C. 77a, et seq.), the
Proposed Rule Change Received From public in accordance with the Securities Exchange Act of 1934 (15
Members, Participants, or Others provisions of 5 U.S.C. 552, will be U.S.C. 78a, et seq.), or the Investment
The Exchange has not solicited, and available for Web site viewing and Company Act of 1940 (15 U.S.C. 80a–1,
does not intend to solicit, comments on printing in the Commission’s Public et seq.).
this proposed rule change. The Reference Room, 100 F Street NE., Regulation S–X specifies the form and
Exchange has not received any Washington, DC 20549 on official content of financial statements when
unsolicited written comments from business days between the hours of those financial statements are required
Members or other interested parties. 10:00 a.m. and 3:00 p.m. Copies of the to be filed by other rules and forms
filing also will be available for under the federal securities laws.
III. Date of Effectiveness of the Compliance burdens associated with the
inspection and copying at the principal
Proposed Rule Change and Timing for financial statements are assigned to the
office of the Exchange. All comments
Commission Action rule or form that directly requires the
received will be posted without change;
The foregoing rule change has become the Commission does not edit personal financial statements to be filed, not to
effective pursuant to Section 19(b)(3)(A) identifying information from Regulation S–X. Instead, an estimated
of the Act 21 and paragraph (f) of Rule submissions. You should submit only burden of one hour traditionally has
19b–4 thereunder.22 At any time within information that you wish to make been assigned to Regulation S–X for
60 days of the filing of the proposed rule available publicly. All submissions incidental reading of the regulation. The
change, the Commission summarily may should refer to File Number SR– estimated average burden hours are
temporarily suspend such rule change if BatsBYX–2017–21, and should be solely for purposes of the Paperwork
it appears to the Commission that such submitted on or before October 16, Reduction Act and are not derived from
action is necessary or appropriate in the 2017. a comprehensive or even a
public interest, for the protection of For the Commission, by the Division of
representative survey or study of the
investors, or otherwise in furtherance of Trading and Markets, pursuant to delegated costs of SEC rules or forms.
the purposes of the Act. authority.23 Recordkeeping retention periods are
Eduardo A. Aleman, based on the disclosure required by
IV. Solicitation of Comments various forms and rules other than
Assistant Secretary.
Interested persons are invited to Regulation S–X. In general, balance
[FR Doc. 2017–20364 Filed 9–22–17; 8:45 am]
submit written data, views, and sheets for the preceding two fiscal years,
BILLING CODE 8011–01–P
arguments concerning the foregoing, income and cash flow statements for the
including whether the proposed rule preceding three fiscal years, and
change is consistent with the Act. condensed quarterly financial
SECURITIES AND EXCHANGE
Comments may be submitted by any of statements must be filed with the
COMMISSION
the following methods: Commission. Five year summary
Submission for OMB Review; financial information is required to be
Electronic Comments disclosed by some larger registrants.
Comment Request
• Use the Commission’s Internet Filing financial statements, when
comment form (http://www.sec.gov/ Upon Written Request, Copies Available required by the governing rule or form,
rules/sro.shtml); or From: Securities and Exchange is mandatory. Because these statements
• Send an email to rule-comments@ Commission, Office of FOIA Services, are provided for the purpose of
sec.gov. Please include File Number SR– 100 F Street NE., Washington, DC disseminating information to the
BatsBYX–2017–21 on the subject line. 20549–2736 securities markets, they are not kept
Extension: confidential.
Paper Comments An agency may not conduct or
Regulation S–X, SEC File No. 270–003,
• Send paper comments in triplicate OMB Control No. 3235–0009. sponsor, and a person is not required to
to Secretary, Securities and Exchange Notice is hereby given that, pursuant respond to, a collection of information
Commission, 100 F Street NE., to the Paperwork Reduction Act of 1995 unless it displays a currently valid
Washington, DC 20549–1090. (44 U.S.C. 3501 et seq.), the Securities control number.
All submissions should refer to File and Exchange Commission The public may view the information
Number SR–BatsBYX–2017–21. This (‘‘Commission’’) has submitted to the discussed in this notice at
file number should be included on the Office of Management and Budget www.reginfo.gov. Comments should be
subject line if email is used. To help the (‘‘OMB’’) a request for extension of the directed to: (i) Desk Officer for the
Commission process and review your previously approved collection of Securities and Exchange Commission,
comments more efficiently, please use information discussed below. Office of Information and Regulatory
asabaliauskas on DSKBBXCHB2PROD with NOTICES

only one method. The Commission will Information collected and information Affairs, Office of Management and
post all comments on the Commission’s prepared pursuant to Regulation S–X Budget, Room 10102, New Executive
Internet Web site (http://www.sec.gov/ focus on the form and content of, and Office Building, Washington, DC 20503,
rules/sro.shtml). Copies of the requirements for, financial statements or by sending an email to: Shagufta_
submission, all subsequent filed with periodic reports and in Ahmed@omb.eop.gov; and (ii) Pamela
amendments, all written statements connection with the offer and sale of Dyson, Chief Information Officer,
securities. Investors need reasonably Securities and Exchange Commission, c/
21 15 U.S.C. 78s(b)(3)(A). o Remi Pavlik-Simon, 100 F Street NE.,
22 17 CFR 240.19b–4(f). 23 17 CFR 200.30–3(a)(12). Washington, DC 20549 or send an email

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Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 44677

to: PRA_Mailbox@sec.gov. Comments and discussed any comments it received approved but is not yet operative.7 The
must be submitted to OMB within 30 on the proposed rule change. The text notice includes a link to the amended
days of this notice. of those statements may be examined at version of the rule and the relevant
Dated: September 19, 2017. the places specified in Item IV below. approval order. The Exchange proposes
Eduardo A. Aleman, The Exchange has prepared summaries, to replace ‘‘NYSE MKT’’ with ‘‘NYSE
set forth in sections A, B, and C below, American’’ in the text of the amended
Assistant Secretary.
of the most significant parts of such but not yet operative version of Rule
[FR Doc. 2017–20359 Filed 9–22–17; 8:45 am]
statements. 7.31–E. Exhibit 5B sets forth the
BILLING CODE 8011–01–P
proposed revised text.
A. Self-Regulatory Organization’s • The Exchange proposes to replace
Statement of the Purpose of, and the ‘‘NYSE MKT LLC’’ with ‘‘NYSE
SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule American LLC’’ in Rule 5.82–O(a)
COMMISSION Change (Applicability; Definitions Related to
[Release No. 34–81652; File No. SR– ByRDs), Rule 6.96–O(b), Rule 7.37–E(d)
1. Purpose
NYSEARCA–2017–108] (Order Execution and Routing), and
The Exchange, in connection with the Rule 7.45–E(c)(1).
Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Filing and name change of its affiliate NYSE MKT Proposed Changes to the Options Fee
Immediate Effectiveness of Proposed LLC (‘‘NYSE MKT’’) to NYSE American Schedule
LLC (‘‘NYSE American’’), proposes to
Rule Change To Amend Its Rules and • Options Fee Schedule: Under ‘‘Co-
the NYSE Arca Options Fees and amend its rules and the Options Fee
Location Fees,’’ in General Notes 1 and
Charges Schedule in Connection With Schedule.4 4, the Exchange proposes to replace
the Name Change of Its Affiliate NYSE Background ‘‘NYSE MKT LLC’’ with ‘‘NYSE
MKT LLC to NYSE American LLC American LLC’’ and replace ‘‘NYSE
On March 16, 2017, NYSE MKT filed MKT’’ with ‘‘NYSE American.’’ In
September 19, 2017.
rule changes with the Commission in addition, the Exchange proposes to
Pursuant to Section 19(b)(1) 1
of the connection with its name change to replace ‘‘NYSE Amex Options’’ with
Securities Exchange Act of 1934 (the NYSE American.5 In addition, on May ‘‘NYSE American Options’’ in the table
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 19, 2017, NYSE MKT filed rule changes in General Note 4.
notice is hereby given that, on None of the foregoing changes are
with the Commission associated with
September 8, 2017, NYSE Arca, Inc. (the substantive.
the rebranding of NYSE Amex Options,
‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with
the Exchange’s facility for trading 2. Statutory Basis
the Securities and Exchange
options, to NYSE American Options.6
Commission (the ‘‘Commission’’) the The Exchange believes that the
The NYSE MKT name change to NYSE
proposed rule change as described in proposed rule change is consistent with
Items I and II below, which Items have American became operative on July 24,
2017. Accordingly, the Exchange Section 6(b) of the Exchange Act,8 in
been prepared by the self-regulatory general, and with Section 6(b)(1) 9 in
organization. The Commission is proposes to amend certain of its rules
and the Options Fee Schedule as particular, in that it enables the
publishing this notice to solicit Exchange to be so organized as to have
comments on the proposed rule change detailed below to reflect the new name
of its affiliate NYSE American. the capacity to be able to carry out the
from interested persons. purposes of the Exchange Act and to
I. Self-Regulatory Organization’s Proposed Rule Changes comply, and to enforce compliance by
Statement of the Terms of Substance of its exchange members and persons
• The Exchange proposes to replace associated with its exchange members,
the Proposed Rule Change
‘‘NYSE MKT’’ with ‘‘NYSE American’’ with the provisions of the Exchange Act,
The Exchange proposes, in in Rule 5.25–O, Commentary .03 the rules and regulations thereunder,
connection with the name change of its (Margins); Rule 6.96–O(b) (Operation of and the rules of the Exchange.
affiliate NYSE MKT LLC to NYSE Routing Broker); 5.2–E(b) (General); 5.2– The proposed rule change is a non-
American LLC, proposes [sic] to amend E(d) (Preferred Stock and Similar substantive change and does not impact
its rules and the NYSE Arca Options Issues); 5.2–E(e) (Bonds and the governance or ownership of the
Fees and Charges schedule (the Debentures); 5.5–E(a), Commentary .02 Exchange. The Exchange believes that
‘‘Options Fee Schedule’’). and .03 (Maintenance Requirements and the proposed rule change would enable
The proposed rule change is available Delisting Procedures); 7.31–E(f) (Orders the Exchange to continue to be so
on the Exchange’s Web site at and Modifiers); and 7.45–E(c) organized as to have the capacity to
www.nyse.com, at the principal office of (Operation of Routing Broker). carry out the purposes of the Exchange
the Exchange, and at the Commission’s Act and comply and enforce compliance
Public Reference Room. • Rule 7.31–E has a notice stating that
an amended version of the rule has been with the provisions of the Exchange Act
II. Self-Regulatory Organization’s by its members and persons associated
Statement of the Purpose of, and 4 The Exchange originally filed the proposed
with its members, because ensuring that
Statutory Basis for, the Proposed Rule changes on August 25, 2017 (SR–NYSEArca–2017– the rules and Options Fee Schedule
Change 95), withdrew such changes on September 6, 2017 accurately reflect the name change of
asabaliauskas on DSKBBXCHB2PROD with NOTICES

and refiled on the same day (SR–NYSEArca–2017– the Exchange’s affiliate from NYSE MKT
In its filing with the Commission, the 106). SR–NYSEArca– 2017–106 was subsequently to NYSE American and the rebranding
self-regulatory organization included withdrawn on September 8, 2017 and replaced by
of NYSE Amex Options to NYSE
statements concerning the purpose of, this filing.
5 See Securities Exchange Act Release No.80283
and basis for, the proposed rule change (March 21, 2017), 82 FR 15244 (March 27, 2017) 7 The Exchange will announce by Trader Update

(SR–NYSEMKT–2017–14). when the amended version of Rule 7.31–E will
1 15 U.S.C.78s(b)(1). 6 See Securities Exchange Act Release No. 80748 become operative.
2 15 U.S.C. 78a. 8 15 U.S.C. 78f(b).
(May 23, 2017), 82 FR 24764 (May 30, 2017) (SR–
3 17 CFR 240.19b–4. NYSEMKT–2017–20). 9 15 U.S.C. 78f(b)(1).

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Document Created: 2018-10-24 14:44:33
Document Modified: 2018-10-24 14:44:33

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 44676