82 FR 44682 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

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

Page Range		44682-44683
FR Document		2017-20358

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

[Federal Register Volume 82, Number 184 (Monday, September 25, 2017)]
[Notices]
[Pages 44682-44683]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-20358]


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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 0-2, Form ADV-NR, [SEC File No. 270-214, OMB Control No. 
3235-0240]

    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 a request for extension of the previously approved 
collection of information discussed below.
    The title for the collection of information is ``Rule 0-2 and Form 
ADV-NR under the Investment Advisers Act of 1940.'' Rule 0-2 and Form 
ADV-NR facilitate service of process to non-resident investment 
advisers and exempt reporting advisers and their non-resident general 
partners or non-resident managing agents. The Form requires these 
persons to designate the Commission as agent for service of process. 
The purpose of this collection of information is to obtain appropriate 
consent to permit the Commission and other parties to bring actions 
against non-resident partners and agents for violations of the federal 
securities laws and to enable the commencement of legal and/or 
regulatory actions against investment advisers that are doing business 
in the United States, but are not residents.
    The respondents to this information collection would be each non-
resident

[[Page 44683]]

general partner or non-resident managing agent of an SEC-registered 
adviser and of an exempt reporting adviser. The Commission has 
estimated that compliance with the requirement to complete Form ADV-NR 
imposes a total burden of approximately 1.0 hour for an adviser. Based 
on our experience with these filings, we estimate that we will receive 
36 Form ADV-NR filings annually. Based on the 1.0 hour per respondent 
estimate, the Commission staff estimates a total annual burden of 36 
hours for this collection of information.
    Rule 0-2 and Form ADV-NR do not require recordkeeping or records 
retention. The collection of information requirements under the rule 
and form is mandatory. The information collected pursuant to the rule 
and Form ADV-NR is a filing with the Commission. This filing is not 
kept confidential and must be preserved until at least three years 
after termination of the enterprise. 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, 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: September 19, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-20358 Filed 9-22-17; 8:45 am]
 BILLING CODE 8011-01-P

44682 Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices

requirements for listing the Shares of subject line if email is used. To help the rule change, as modified by Amendment
the Fund on the Exchange. In addition, Commission process and review your No. 4, on an accelerated basis.
the issuer has represented to the comments more efficiently, please use VI. Conclusion
Exchange that it will advise the only one method. The Commission will
Exchange of any failure by the Fund to post all comments on the Commission’s It is therefore ordered, pursuant to
comply with the continued listing Internet Web site (http://www.sec.gov/ Section 19(b)(2) of the Act,32 that the
requirements, and, pursuant to its rules/sro.shtml). Copies of the proposed rule change (SR–NYSEArca–
obligations under Section 19(g)(1) of the submission, all subsequent 2016–177), as modified by Amendment
Act, the Exchange will monitor 27 for amendments, all written statements No. 4 be, and it hereby is, approved on
compliance with the continued listing with respect to the proposed rule an accelerated basis.
requirements. If the Fund is not in change that are filed with the For the Commission, by the Division of
compliance with the applicable listing Commission, and all written Trading and Markets, pursuant to delegated
requirements, the Exchange will authority.33
communications relating to the
commence delisting procedures under proposed rule change between the Eduardo A. Aleman,
NYSE Arca Rule 5.5–E(m). This Commission and any person, other than Assistant Secretary.
approval order is based on all of the those that may be withheld from the [FR Doc. 2017–20365 Filed 9–22–17; 8:45 am]
Exchange’s statements and
public in accordance with the BILLING CODE 8011–01–P
representations, including those set
provisions of 5 U.S.C. 552, will be
forth above and in Amendment No. 4.
For the foregoing reasons, the available for Web site viewing and
printing in the Commission’s Public SECURITIES AND EXCHANGE
Commission finds that the proposed COMMISSION
rule change, as modified by Amendment Reference Room, 100 F Street NE.,
No. 4, is consistent with Section 6(b)(5) Washington, DC 20549, on official Submission for OMB Review;
of the Act 28 and Section business days between the hours of Comment Request
11A(a)(1)(C)(iii) of the Act 29 and the 10:00 a.m. and 3:00 p.m. Copies of the
filing also will be available for Upon Written Request, Copies Available
rules and regulations thereunder
inspection and copying at the principal From: Securities and Exchange
applicable to a national securities
office of the Exchange. All comments Commission, Office of FOIA Services,
exchange.
received will be posted without change; 100 F Street NE., Washington, DC
IV. Solicitation of Comments on the Commission does not edit personal 20549–2736
Amendment No. 4 to the Proposed Rule identifying information from Extension:
Change Rule 0–2, Form ADV–NR, [SEC File No.
submissions. You should submit only
Interested persons are invited to information that you wish to make 270–214, OMB Control No. 3235–0240]
submit written data, views, and available publicly. All submissions Notice is hereby given that, pursuant
arguments concerning whether should refer to File Number SR– to the Paperwork Reduction Act of 1995
Amendment No. 4 is consistent with the NYSEArca–2016–177, and should be (44 U.S.C. 3501 et seq.), the Securities
Act. Comments may be submitted by submitted on or before October 16, and Exchange Commission
any of the following methods: 2017. (‘‘Commission’’) has submitted to the
Electronic Comments Office of Management and Budget a
V. Accelerated Approval of Proposed request for extension of the previously
• Use the Commission’s Internet Rule Change, as Modified by approved collection of information
comment form (http://www.sec.gov/ Amendment No. 4 discussed below.
rules/sro.shtml); or The title for the collection of
• Send an email to rule-comments@ The Commission finds good cause to
information is ‘‘Rule 0–2 and Form
sec.gov. Please include File Number SR– approve the proposed rule change, as
ADV–NR under the Investment Advisers
NYSEArca-2016–177 on the subject line. modified by Amendment No. 4, prior to Act of 1940.’’ Rule 0–2 and Form ADV–
the thirtieth day after the date of NR facilitate service of process to non-
Paper Comments publication of notice of the filing of resident investment advisers and
• Send paper comments in triplicate Amendment No. 4 in the Federal exempt reporting advisers and their
to Secretary, Securities and Exchange Register. The Commission believes that non-resident general partners or non-
Commission, 100 F Street NE., Amendment No. 4 supplements the resident managing agents. The Form
Washington, DC 20549–1090. proposed rule change by providing requires these persons to designate the
All submissions should refer to File clarification, specificity, and additional Commission as agent for service of
Number SR–NYSEArca–2016–177. This information about the Fund and the process. The purpose of this collection
file number should be included on the Shares.30 The changes and additional of information is to obtain appropriate
information helped the Commission to consent to permit the Commission and
27 The Commission notes that certain proposals
evaluate the Shares’ susceptibility to other parties to bring actions against
for the listing and trading of exchange-traded manipulation and the Exchange’s ability
products include a representation that the exchange non-resident partners and agents for
will ‘‘surveil’’ for compliance with the continued to investigate possible manipulative violations of the federal securities laws
listing requirements. See, e.g., Securities Exchange activity, and whether the listing and and to enable the commencement of
Act Release No. 77499 (April 1, 2016), 81 FR 20428, trading of the Shares would be
asabaliauskas on DSKBBXCHB2PROD with NOTICES

20432 (April 7, 2016) (SR–BATS–2016–04). In the
legal and/or regulatory actions against
context of this representation, it is the
consistent with the protection of investment advisers that are doing
Commission’s view that ‘‘monitor’’ and ‘‘surveil’’ investors and the public interest. business in the United States, but are
both mean ongoing oversight of compliance with Accordingly, the Commission finds not residents.
the continued listing requirements. Therefore, the good cause, pursuant to Section 19(b)(2)
Commission does not view ‘‘monitor’’ as a more or
The respondents to this information
less stringent obligation than ‘‘surveil’’ with respect
of the Act,31 to approve the proposed collection would be each non-resident
to the continued listing requirements.
28 15 U.S.C. 78f(b)(5). 30 See Amendment No. 4, supra note 9. 32 Id.
29 15 U.S.C. 78k–1(a)(1)(C)(iii). 31 15 U.S.C. 78s(b)(2). 33 17 CFR 200.30–3(a)(12).

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Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 44683

general partner or non-resident OMB Control No. 3235–0618 SECURITIES AND EXCHANGE
managing agent of an SEC-registered COMMISSION
adviser and of an exempt reporting Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995 [Release No. 34–81651; File No. SR–
adviser. The Commission has estimated NYSEAMER–2017–14]
that compliance with the requirement to (44 U.S.C. 3501 et seq.), the Securities
complete Form ADV–NR imposes a total and Exchange Commission
Self-Regulatory Organizations; NYSE
burden of approximately 1.0 hour for an (‘‘Commission’’) has submitted to the
American LLC; Notice of Filing and
adviser. Based on our experience with Office of Management and Budget this Immediate Effectiveness of Proposed
these filings, we estimate that we will request for extension of the previously Rule Change Amending Its Rules To
receive 36 Form ADV–NR filings approved collection of information Make Technical and Conforming
annually. Based on the 1.0 hour per discussed below. Updates, in Connection With the
respondent estimate, the Commission Securities Act Rule 173 (17 CFR Merger of NYSE Arca Equities, Inc.
staff estimates a total annual burden of 230.173) provides a notice of With and Into the Exchange’s Affiliate
36 hours for this collection of registration to investors who purchased NYSE Arca, Inc. and the Name Change
information. securities in a registered offering under of NYSE National, Inc.
Rule 0–2 and Form ADV–NR do not the Securities Act of 1933 (15 U.S.C. 77a
require recordkeeping or records September 19, 2017.
et seq.). A Rule 173 notice must be Pursuant to Section 19(b)(1) 1 of the
retention. The collection of information
provided by each underwriter or dealer Securities Exchange Act of 1934 (the
requirements under the rule and form is
mandatory. The information collected to each investor who purchased ‘‘Act’’ or ‘‘Exchange Act’’) 2 and Rule
pursuant to the rule and Form ADV–NR securities from the underwriter or 19b–4 thereunder,3 notice is hereby
is a filing with the Commission. This dealer. The Rule 173 notice is not given that, on September 6, 2017, NYSE
filing is not kept confidential and must publicly available. We estimate that it American LLC (the ‘‘Exchange’’ or
be preserved until at least three years takes approximately 0.0167 hour per ‘‘NYSE American’’) filed with the
after termination of the enterprise. An response to provide the information Securities and Exchange Commission
agency may not conduct or sponsor, and required under Rule 173 and that the (the ‘‘Commission’’) the proposed rule
a person is not required to respond to, information is filed by approximately change as described in Items I and II,
a collection of information unless it 5,338 respondents approximately 43,546 below, which Items have been prepared
displays a currently valid control times a year for a total of 232,448,548 by the self-regulatory organization. The
number. responses. We estimate that the total Commission is publishing this notice to
The public may view the background annual reporting burden for Rule 173 is solicit comments on the proposed rule
documentation for this information 3,881,891 hours (0.0167 hours per change from interested persons.
collection at the following Web site, response × 232,448,548 responses). I. Self-Regulatory Organization’s
www.reginfo.gov. Comments should be An agency may not conduct or Statement of the Terms of Substance of
directed to: (i) Desk Officer for the the Proposed Rule Change
sponsor, and a person is not required to
Securities and Exchange Commission,
respond to, a collection of information The Exchange proposes to amend its
Office of Information and Regulatory
unless it displays a currently valid rules to make technical and conforming
Affairs, Office of Management and
Budget, Room 10102, New Executive control number. updates, in connection with (a) the
Office Building, Washington, DC 20503, The public may view the background merger of NYSE Arca Equities, Inc. with
or by sending an email to: Shagufta_ documentation for this information and into the Exchange’s affiliate NYSE
Ahmed@omb.eop.gov; and (ii) Pamela collection at the following Web site, Arca, Inc., and (b) the name change of
Dyson, Director/Chief Information www.reginfo.gov . Comments should be NYSE National, Inc.
Officer, Securities and Exchange directed to: (i) Desk Officer for the The proposed change is available on
Commission, c/o Remi Pavlik-Simon, the Exchange’s Web site at
Securities and Exchange Commission,
100 F Street NE., Washington, DC 20549 www.nyse.com, at the principal office of
Office of Information and Regulatory
or send an email to: PRA_Mailbox@ the Exchange, and at the Commission’s
Affairs, Office of Management and
sec.gov. Comments must be submitted to Public Reference Room.
Budget, Room 10102, New Executive
OMB within 30 days of this notice. Office Building, Washington, DC 20503, II. Self-Regulatory Organization’s
Dated: September 19, 2017. or by sending an email to: Shagufta_ Statement of the Purpose of, and
Eduardo A. Aleman, Ahmed@omb.eop.gov; and (ii) Pamela Statutory Basis for, the Proposed Rule
Assistant Secretary. Dyson, Director/Chief Information Change
[FR Doc. 2017–20358 Filed 9–22–17; 8:45 am] Officer, Securities and Exchange In its filing with the Commission, the
BILLING CODE 8011–01–P Commission, c/o Remi Pavlik-Simon, self-regulatory organization included
100 F Street NE., Washington DC 20549 statements concerning the purpose of,
or send an email to: PRA_Mailbox@ and basis for, the proposed rule change
SECURITIES AND EXCHANGE sec.gov. Comments must be submitted to and discussed any comments it received
COMMISSION OMB within 30 days of this notice. on the proposed rule change. The text
of those statements may be examined at
Dated: September 19, 2017.
asabaliauskas on DSKBBXCHB2PROD with NOTICES

Submission for OMB Review; the places specified in Item IV below.
Comment Request Eduardo A. Aleman, The Exchange has prepared summaries,
Assistant Secretary. set forth in sections A, B, and C below,
Upon Written Request Copies Available
[FR Doc. 2017–20360 Filed 9–22–17; 8:45 am] of the most significant parts of such
From: Securities and Exchange
BILLING CODE 8011–01–P statements.
Commission Office of FOIA Services
100 F Street NE., Washington, DC 1 15 U.S.C. 78s(b)(1).
20549–2736 2 15 U.S.C. 78a.
Extension: Rule 173, SEC File No. 270–557, 3 17 CFR 240.19b–4.

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Document Created: 2018-10-24 14:41:31
Document Modified: 2018-10-24 14:41:31

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 44682