82 FR 48732 - Proposed Collection; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 201 (October 19, 2017)
Federal Register Volume 82, Issue 201 (October 19, 2017)
| Page Range | 48732-48732 | |
| FR Document | 2017-22646 |
[Federal Register Volume 82, Number 201 (Thursday, October 19, 2017)] [Notices] [Page 48732] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-22646] ======================================================================= ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of FOIA Services, 100 F St. NE., Washington, DC 20549-2736 Extension: Rule 15c1-7, SEC File No. 270-146, OMB Control No.3235-0134 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 15c1-7 (17 CFR 240.15c1- 7) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval. Rule 15c1-7 states that any act of a broker-dealer designed to effect securities transactions with or for a customer account over which the broker-dealer (directly or through an agent or employee) has discretion will be considered a fraudulent, manipulative, or deceptive practice under the federal securities laws, unless a record is made of the transaction immediately by the broker-dealer. The record must include (a) the name of the customer, (b) the name, amount, and price of the security, and (c) the date and time when such transaction took place. The Commission estimates that 394 respondents collect information related to approximately 400,000 transactions annually under Rule 15c1- 7 and that each respondent would spend approximately 5 minutes on the collection of information for each transaction, for approximately 33,338 aggregate hours per year (approximately 84.6 hours per respondent). 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 by sending an email to: [email protected]. Dated: October 13, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-22646 Filed 10-18-17; 8:45 am] BILLING CODE 8011-01-P
![48732 Federal Register / Vol. 82, No. 201 / Thursday, October 19, 2017 / Notices
Annuity (OMB No. 3220–0002), response is requested of each Affected public: Individuals or
indicates entitlement to or receipt of a respondent. Completion is required to Households.
pension based on employment not obtain or retain benefits. Abstract: Under Section 3 of the
covered under the Railroad Retirement Previous Requests for Comments: The Railroad Retirement Act, the Tier I
Act or the Social Security Act; or (2) RRB has already published the initial portion of an employee annuity may be
from a railroad employee when an 60-day notice (82 FR 37134 on August subjected to a reduction for benefits
independently-entitled divorced spouse 8, 2017) required by 44 U.S.C. received based on work not covered
applicant believes the employee to be 3506(c)(2). That request elicited no under the Social Security Act or
entitled to a non-covered service comments. Railroad Retirement Act. The
pension. However, this development is Information Collection Request (ICR) questionnaire obtains the information
unnecessary if RRB records indicate the needed to determine if the reduction
Title: Employee Non-Covered Service
employee has 30 or more years of applies and the amount of such
Pension Questionnaire.
coverage; or (3) from an employee reduction.
OMB Control Number: 3220–0154.
annuitant who becomes entitled to a Form(s) submitted: G–209. Changes proposed: The RRB proposes
pension based on employment not Type of request: Extension without no changes to Form G–209.
covered under the Railroad Retirement change of a currently approved The burden estimate for the ICR is as
Act or the Social Security Act. One collection. follows:
Annual Time Burden
Form No. responses (minutes) (hours)
G–209 (Partial Questionnaire) ..................................................................................................... 50 1 1
G–209 (Full Questionnaire) ......................................................................................................... 100 8 13
Total ...................................................................................................................................... 150 ........................ 14
Additional Information or Comments: Exchange Act of 1934 (15 U.S.C. 78a et of the information to be collected; and
Copies of the forms and supporting seq.) (‘‘Exchange Act’’). The (d) ways to minimize the burden of the
documents can be obtained from Dana Commission plans to submit this collection of information on
Hickman at (312) 751–4981 or existing collection of information to the respondents, including through the use
Dana.Hickman@RRB.GOV. Office of Management and Budget of automated collection techniques or
Comments regarding the information (‘‘OMB’’) for extension and approval. other forms of information technology.
collection should be addressed to Brian Rule 15c1–7 states that any act of a Consideration will be given to
Foster, Railroad Retirement Board, 844 broker-dealer designed to effect comments and suggestions submitted in
North Rush Street, Chicago, Illinois securities transactions with or for a
writing within 60 days of this
60611–1275 or Brian.Foster@rrb.gov and customer account over which the
publication.
to the OMB Desk Officer for the RRB, broker-dealer (directly or through an
Fax: 202–395–6974, Email address: agent or employee) has discretion will An agency may not conduct or
OIRA_Submission@omb.eop.gov. be considered a fraudulent, sponsor, and a person is not required to
manipulative, or deceptive practice respond to, a collection of information
Brian D. Foster, under the federal securities laws, unless under the PRA unless it displays a
Clearance Officer. a record is made of the transaction currently valid OMB control number.
[FR Doc. 2017–22647 Filed 10–18–17; 8:45 am] immediately by the broker-dealer. The Please direct your written comments
BILLING CODE 7905–01–P record must include (a) the name of the to: Pamela Dyson, Director/Chief
customer, (b) the name, amount, and
Information Officer, Securities and
price of the security, and (c) the date
SECURITIES AND EXCHANGE and time when such transaction took Exchange Commission, c/o Remi Pavlik-
COMMISSION place. Simon, 100 F Street NE., Washington,
The Commission estimates that 394 DC 20549, or by sending an email to:
Proposed Collection; Comment respondents collect information related PRA_Mailbox@sec.gov.
Request to approximately 400,000 transactions Dated: October 13, 2017.
Upon Written Request, Copies Available annually under Rule 15c1–7 and that Eduardo A. Aleman,
From: U.S. Securities and Exchange each respondent would spend
Assistant Secretary.
Commission, Office of FOIA Services, approximately 5 minutes on the
collection of information for each [FR Doc. 2017–22646 Filed 10–18–17; 8:45 am]
100 F St. NE., Washington, DC 20549–
transaction, for approximately 33,338 BILLING CODE 8011–01–P
2736
aggregate hours per year (approximately
Extension: 84.6 hours per respondent).
Rule 15c1–7, SEC File No. 270–146, OMB Written comments are invited on: (a)
Control No.3235–0134 Whether the proposed collection of
Notice is hereby given that pursuant information is necessary for the proper
rmajette on DSKBCKNHB2PROD with NOTICES
to the Paperwork Reduction Act of 1995 performance of the functions of the
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the Commission, including whether the
Securities and Exchange Commission information shall have practical utility;
(‘‘Commission’’) is soliciting comments (b) the accuracy of the Commission’s
on the existing collection of information estimates of the burden of the proposed
provided for in Rule 15c1–7 (17 CFR collection of information; (c) ways to
240.15c1–7) under the Securities enhance the quality, utility, and clarity
VerDate Sep<11>2014 15:13 Oct 18, 2017 Jkt 244001 PO 00000 Frm 00054 Fmt 4703 Sfmt 9990 E:\FR\FM\19OCN1.SGM 19OCN1](https://thefederalregister.org/doc/82_FR_48933/page/1.svg)
Document Created: 2017-10-19 02:56:31
Document Modified: 2017-10-19 02:56:31
| 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 48732 |
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