82 FR 56292 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 227 (November 28, 2017)

Page Range		56292-56293
FR Document		2017-25599

Federal Register, Volume 82 Issue 227 (Tuesday, November 28, 2017)

[Federal Register Volume 82, Number 227 (Tuesday, November 28, 2017)]
[Notices]
[Pages 56292-56293]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-25599]


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SECURITIES AND EXCHANGE COMMISSION

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


Submission for OMB Review; 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'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the 
previously approved collection of information provided for in Rule 
15c1-5 (17 CFR 240.15c1-5) under

[[Page 56293]]

the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
    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 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.
    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.
    The public may view 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 by sending an 
email to: [email protected]. Comments must be submitted to OMB within 
30 days of this notice.

    Dated: November 21, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-25599 Filed 11-27-17; 8:45 am]
 BILLING CODE 8011-01-P

56292 Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices

currently included in Exchange Rule The quarterly report will include: The redact or edit personal identifying
1014 (‘‘Imposition of Fines for Minor disposition date, the name of the firm/ information from comment submissions.
Rule Violations’’).6 According to the individual, the Exchange’s internal You should submit only information
Exchange’s MRVP, under Rule 1014, the enforcement number, the review period, that you wish to make available
Exchange may impose a fine (not to the nature of the violation type, the publicly. All submissions should refer
exceed $2,500) on any Member, or number of the rule that was violated, the to File No. 4–714 and should be
person associated with or employed by number of instances the violation submitted on or before December 19,
a Member, for any rule listed in Rule occurred, and the sanction imposed. 2017.
1014(d).7 The Exchange shall serve the The Exchange also proposes that,
person against whom a fine is imposed going forward, to the extent that there II. Date of Effectiveness of the Proposed
with a written statement setting forth are any changes to the rules applicable Minor Rule Violation Plan and Timing
the rule or rules violated, the act or to the Exchange’s MRVP, the Exchange for Commission Action
omission constituting each such requests that the Commission deem Pursuant to Section 19(d)(1) of the Act
violation, the fine imposed, and the date such changes to be modifications to the and Rule 19d–1(c)(2) thereunder,8 after
by which such determination becomes Exchange’s MRVP. December 19, 2017, the Commission
final or by which such determination I. Solicitation of Comments may, by order, declare the Exchange’s
must be contested. If the person against proposed MRVP effective if the plan is
whom the fine is imposed pays the fine, Interested persons are invited to consistent with the public interest, the
such payment shall be deemed to be a submit written data, views, and protection of investors, or otherwise in
waiver of such person’s right to a arguments concerning the Exchange’s furtherance of the purposes of the Act.
disciplinary proceeding and any review proposed MRVP, including whether the The Commission in its order may
of the matter under the Exchange rules. proposed MRVP is consistent with the restrict the categories of violations to be
Any person against whom a fine is Act. Comments may be submitted by designated as minor rule violations and
imposed may contest the Exchange’s any of the following methods: may impose any other terms or
determination by filing with the Electronic Comments conditions to the proposed MRVP, File
Exchange a written answer, at which No. 4–714, and to the period of its
point the matter shall become a • Use the Commission’s Internet
effectiveness, which the Commission
disciplinary proceeding. comment form (http://www.sec.gov/
deems necessary or appropriate in the
The Exchange proposes that, as set rules/sro.shtml); or
public interest, for the protection of
forth in Exchange Rule 1014(d), • Send an email to rule-comments@
investors or otherwise in furtherance of
violations of the following rules would sec.gov. Please include File No. 4–714
the purposes of the Act.
be appropriate for disposition under the on the subject line.
For the Commission, by the Division of
MRVP: Rule 307 (Position Limits); Rule Paper Comments Trading and Markets, pursuant to delegated
803 (Focus Reports); Rule 804 (Requests
• Send paper comments in triplicate authority.9
for Trade Data); Rule 520 (Order Entry);
to Brent J. Fields, Secretary, Securities Brent J. Fields,
Rule 603 (Quotation Parameters); Rule
and Exchange Commission, 100 F Street Secretary.
605 (Execution of Orders in Appointed
NE., Washington, DC 20549–1090. [FR Doc. 2017–25647 Filed 11–27–17; 8:45 am]
Options); Rule 314 (Mandatory Systems
Testing); Rule 700 (Exercise of Option All submissions should refer to File No. BILLING CODE 8011–01–P

Contracts); Rule 309 (Exercise Limits); 4–714. This file number should be
Rule 310 (Reports Related to Position included on the subject line if email is
Limits); Rule 403 (Trading in Restricted used. To help the Commission process SECURITIES AND EXCHANGE
Classes); Rule 604 (Market Maker and review your comments more COMMISSION
Quotations); and Rules 1301, 1302, and efficiently, please use only one method. [SEC File No. 270–422, OMB Control No.
1303 (Failure to Timely File The Commission will post all comments 3235–0471]
Amendments to Form U4, Form U5, and on the Commission’s Internet Web site
Form BD). The Exchange notes that it is (http://www.sec.gov/rules/sro.shtml). Submission for OMB Review;
specifically excluding Rule 1014(d)(4), Copies of the submission, all subsequent Comment Request
Conduct and Decorum Policies, from amendments, all written statements
with respect to the proposed MRVP that Upon Written Request, Copies Available
this filing. From: U.S. Securities and Exchange
Upon the Commission’s declaration of are filed with the Commission, and all
written communications relating to the Commission, Office of FOIA Services,
effectiveness of the MRVP, the Exchange
proposed MRVP between the 100 F Street NE., Washington, DC
will provide to the Commission a
Commission and any person, other than 20549–2736
quarterly report for any actions taken on
minor rule violations under the MRVP. those that may be withheld from the Extension:
public in accordance with the Rule 15c1–5
6 The Exchange received its grant of registration provisions of 5 U.S.C. 552, will be Notice is hereby given that pursuant
on December 3, 2012, which included approving available for Web site viewing and to the Paperwork Reduction Act of 1995
the rules that govern the Exchange. See Securities
Exchange Act Release No. 68341 (December 3,
printing in the Commission’s Public (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
2012), 77 FR 73065 (December 7, 2012). See also Reference Room, 100 F Street NE., Securities and Exchange Commission
Securities Exchange Act Release No. 70357 Washington, DC 20549, on official (‘‘Commission’’) has submitted to the
(September 10, 2013), 78 FR 56960 (September 16, business days between the hours of Office of Management and Budget
ethrower on DSK3G9T082PROD with NOTICES

2013) (Notice of Filing and Immediate Effectiveness
of a Proposed Rule Change to Amend Exchange
10:00 a.m. and 3:00 p.m. Copies of the (‘‘OMB’’) a request for approval of
Rule 1014). proposed MRVP also will be available extension of the previously approved
7 While Rule 1014 allows the Exchange to for inspection and copying at the collection of information provided for in
administer fines up to $5,000, the Exchange is only principal office of the Exchange. All Rule 15c1–5 (17 CFR 240.15c1–5) under
seeking relief from the reporting requirements of
paragraph (c)(1) of Rule 19d–1 for fines
comments received will be posted
administered under Rule 1014(d) that do not exceed without change. Persons submitting 8 15 U.S.C. 78s(d)(1); 17 CFR 240.19d–1(c)(2).
$2,500. comments are cautioned that we do not 9 17 CFR 200.30–3(a)(44).

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Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices 56293

the Securities Exchange Act of 1934 (15 SECURITIES AND EXCHANGE Section 19(b)(2) of the Act 5 provides
U.S.C. 78a et seq.). COMMISSION that within 45 days of the notice
Rule 15c1–5 states that any broker- publication of the filing of a proposed
dealer controlled by, controlling, or [Release No. 34–82142; File No. SR– rule change, or within such longer
NASDAQ–2017–087] period up to 90 days as the Commission
under common control with the issuer
may designate if it finds such longer
of a security that the broker-dealer is
Self-Regulatory Organizations; The period to be appropriate and publishes
trying to sell to or buy from a customer its reasons for so finding, or as to which
NASDAQ Stock Market LLC; Notice of
must give the customer written the self-regulatory organization
Designation of a Longer Period for
notification disclosing the control Commission Action on a Proposed consents, the Commission shall either
relationship at or before completion of Rule Change To Modify the Listing approve the proposed rule change,
the transaction. The Commission Requirements Related to Special disapprove the proposed rule change, or
estimates that 197 respondents collect Purpose Acquisition Companies To institute proceedings to determine
information annually under Rule 15c1– Reduce Round Lot Holders on Nasdaq whether the proposed rule change
5 and that each respondent would Capital Market for Initial Listing From should be disapproved. The 45th day
spend approximately 10 hours per year 300 to 150 and Eliminate Public after publication of the notice for this
collecting this information (1,970 hours Holders for Continued Listing From proposed rule change is November 25,
in aggregate). There is no retention 300 to Zero, Require $5 Million in Net 2017. The Commission is extending this
period requirement under Rule 15c1–5. Tangible Assets for Initial and 45-day time period. The Commission
This Rule does not involve the Continued Listing on Nasdaq Capital finds it appropriate to designate a longer
collection of confidential information. Market, and Impose a Deadline To period within which to take action on
Demonstrate Compliance With Initial the proposed rule change so that it has
An agency may not conduct or sufficient time to consider the proposal
sponsor, and a person is not required to Listing Requirements on All Nasdaq
Markets Within 30 Days Following and the comment letters. Accordingly,
respond to, a collection of information the Commission, pursuant to Section
under the PRA unless it displays a Each Business Combination
19(b)(2) of the Act,6 designates January
currently valid OMB control number. November 22, 2017. 9, 2018, as the date by which the
The public may view background On September 20, 2017, The Commission shall either approve or
documentation for this information NASDAQ Stock Market LLC (‘‘Nasdaq’’ disapprove, or institute proceedings to
collection at the following Web site: or ‘‘Exchange’’) filed with the Securities determine whether to disapprove, the
www.reginfo.gov. Comments should be and Exchange Commission proposed rule change (File No. SR–
directed to: (i) Desk Officer for the (‘‘Commission’’), pursuant to Section NASDAQ–2017–087).
Securities and Exchange Commission, 19(b)(1) of the Securities Exchange Act For the Commission, by the Division of
Office of Information and Regulatory of 1934 (‘‘Act’’) 1 and Rule 19b–4 Trading and Markets, pursuant to delegated
Affairs, Office of Management and thereunder,2 a proposed rule change to authority.7
Budget, Room 10102, New Executive modify the listing requirements related Eduardo A. Aleman,
Office Building, Washington, DC 20503, to Special Purpose Acquisition Assistant Secretary.
or by sending an email to: Shagufta_ Companies (‘‘SPAC’’) to reduce round [FR Doc. 2017–25687 Filed 11–27–17; 8:45 am]
Ahmed@omb.eop.gov; and (ii) Pamela lot holders on Nasdaq Capital Market for BILLING CODE 8011–01–P

Dyson, Director/Chief Information initial listing from 300 to 150 and
Officer, Securities and Exchange eliminate the public holders required
for continued listing from 300 to zero, SECURITIES AND EXCHANGE
Commission, c/o Remi Pavlik-Simon,
require $5 million net tangible assets for COMMISSION
100 F Street NE., Washington, DC
initial and continued listing on Nasdaq
20549, or by sending an email to: PRA_ Proposed Collection; Comment
Capital Market, and impose a deadline
Mailbox@sec.gov. Comments must be Request
to demonstrate compliance with initial
submitted to OMB within 30 days of listing requirements on all Nasdaq
this notice. Upon Written Request, Copies Available
Markets to within 30 days following From: Securities and Exchange
Dated: November 21, 2017. each business combination. The Commission, Office of FOIA Services,
Eduardo A. Aleman, proposed rule change was published for 100 F Street NE., Washington, DC
Assistant Secretary. comment in the Federal Register on 20549–2736
October 11, 2017.3 The Commission
[FR Doc. 2017–25599 Filed 11–27–17; 8:45 am] Extension:
received six comments on the proposal.4 Rule 17a–19 and Form X–17A–19; SEC File
BILLING CODE 8011–01–P
No. 270–148, OMB Control No. 3235–
1 15 U.S.C. 78s(b)(1). 0133
2 17 CFR 240.19b–4.
3 See Securities Exchange Act Release No. 81816
Notice is hereby given that, pursuant
(October 4, 2017), 82 FR 47269 (October 11, 2017) to the Paperwork Reduction Act of 1995
(‘‘Notice’’). (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
4 See Letters to Brent J. Fields, Secretary,
Securities and Exchange Commission
Commission, from Jeffrey M. Solomon, Chief (‘‘Commission’’) is soliciting comments
Executive Officer, Cowen and Company, LLC, dated
on the existing collection of information
ethrower on DSK3G9T082PROD with NOTICES

October 19, 2017; Jeffrey P. Mahoney, General
Counsel, Council of Institutional Investors, dated provided for in Rule 17a–19 (17 CFR
October 25, 2017; Sean Davy, Managing Director, 240.17a–19) and Form X–17A–19 under
Capital Markets Division, SIFMA, dated October 31, the Securities Exchange Act of 1934 (15
2017; Akin Gump Strauss Hauer & Feld LLP, dated
November 1, 2017; Steven Levine, Chief Executive
5 15 U.S.C. 78s(b)(2).
Officer, EarlyBirdCapital, Inc., dated November 3,
6 Id.
2017; and Christian O. Nagler and David A. Curtiss,
Kirkland & Ellis LLP, dated November 9, 2017. 7 17 CFR 200.30–3(a)(31).

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Document Created: 2017-11-28 01:50:48
Document Modified: 2017-11-28 01:50:48

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 56292