82 FR 56293 - Proposed Collection; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 227 (November 28, 2017)
Federal Register Volume 82, Issue 227 (November 28, 2017)
| Page Range | 56293-56294 | |
| FR Document | 2017-25708 |
[Federal Register Volume 82, Number 227 (Tuesday, November 28, 2017)] [Notices] [Pages 56293-56294] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-25708] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION 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 17a-19 and Form X-17A-19; SEC File No. 270-148, OMB Control No. 3235-0133 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 17a-19 (17 CFR 240.17a-19) and Form X-17A-19 under the Securities Exchange Act of 1934 (15 [[Page 56294]] 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 17a-19 requires every national securities exchange and registered national securities association to file a Form X-17A-19 with the Commission and the Securities Investor Protection Corporation (``SIPC'') within 5 business days of the initiation, suspension, or termination of any member and, when terminating the membership interest of any member, to notify that member of its obligation to file financial reports as required by Exchange Act Rule 17a-5(b) (17 CFR 240.17a-5(b)). Commission staff anticipates that the national securities exchanges and registered national securities associations collectively will make 800 total filings annually pursuant to Rule 17a-19 and that each filing will take approximately 15 minutes. The total reporting burden is estimated to be approximately 200 total annual hours. 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: November 22, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-25708 Filed 11-27-17; 8:45 am] BILLING CODE 8011-01-P
![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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![56294 Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices
U.S.C. 78a et seq.). The Commission SECURITIES AND EXCHANGE information provided under rule 34b–1
plans to submit this existing collection COMMISSION is not kept confidential. The
of information to the Office of Commission may not conduct or
[SEC File No. 270–305, OMB Control No.
Management and Budget (‘‘OMB’’) for 3235–0346]
sponsor, and a person is not required to
extension and approval. respond to, a collection of information
Rule 17a–19 requires every national Proposed Collection; Comment unless it displays a currently valid OMB
Request control number.
securities exchange and registered
Written comments are invited on: (a)
national securities association to file a Upon Written Request, Copies Available Whether the proposed collection of
Form X–17A–19 with the Commission From: Securities and Exchange information is necessary for the
and the Securities Investor Protection Commission, Office of FOIA Services, proposed performance of the functions
Corporation (‘‘SIPC’’) within 5 business 100 F Street NE., Washington, DC of the agency, including whether
days of the initiation, suspension, or 20549–2736 information will have practical utility;
termination of any member and, when Extension: (b) the accuracy of the agency’s estimate
terminating the membership interest of Rule 34b–1 of the burden of the collection of
any member, to notify that member of information; (c) ways to enhance the
its obligation to file financial reports as Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995 quality, utility, and clarity of the
required by Exchange Act Rule 17a–5(b) information collected; and (d) ways to
(44 U.S.C. 3501 et seq.) the Securities
(17 CFR 240.17a–5(b)). minimize the burden of the collection of
and Exchange Commission (the
Commission staff anticipates that the ‘‘Commission’’) is soliciting comments information on respondents, including
national securities exchanges and on the collection of information through the use of automated collection
registered national securities summarized below. The Commission techniques or other forms of information
associations collectively will make 800 plans to submit this existing collection technology. Consideration will be given
total filings annually pursuant to Rule of information to the Office of to comments and suggestions submitted
17a-19 and that each filing will take Management and Budget for extension in writing within 60 days of this
approximately 15 minutes. The total and approval. publication.
reporting burden is estimated to be Rule 34b–1 under the Investment Please direct your written comments
approximately 200 total annual hours. Company Act (17 CFR 270.34b–1) to Pamela Dyson, Director/Chief
governs sales material that accompanies Information Officer, Securities and
Written comments are invited on: (a) Exchange Commission, c/o Remi Pavlik-
Whether the proposed collection of or follows the delivery of a statutory
prospectus (‘‘sales literature’’). Rule Simon, 100 F Street NE., Washington,
information is necessary for the proper DC 20549; or send an email to: PRA_
34b-1 deems to be materially misleading
performance of the functions of the Mailbox@sec.gov.
any investment company (‘‘fund’’) sales
Commission, including whether the
literature required to be filed with the November 22, 2017.
information shall have practical utility; Securities and Exchange Commission Eduardo A. Aleman,
(b) the accuracy of the Commission’s (‘‘Commission’’) by Section 24(b) of the
estimates of the burden of the proposed Assistant Secretary.
Investment Company Act (15 U.S.C. [FR Doc. 2017–25710 Filed 11–27–17; 8:45 am]
collection of information; (c) ways to 80a–24(b)) that includes performance
enhance the quality, utility, and clarity BILLING CODE P
data, unless the sales literature also
of the information collected; and (d) includes the appropriate uniformly
ways to minimize the burden of the computed data and the legend SECURITIES AND EXCHANGE
collection of information on disclosure required in investment COMMISSION
respondents, including through the use company advertisements by rule 482
of automated collection techniques or under the Securities Act of 1933 (17 [Release No. 34–82137; File No. SR–MIAX–
other forms of information technology. 2017–46]
CFR 230.482). Requiring the inclusion
Consideration will be given to of such standardized performance data Self-Regulatory Organizations; Miami
comments and suggestions submitted in in sales literature is designed to prevent International Securities Exchange LLC;
writing within 60 days of this misleading performance claims by funds Notice of Filing and Immediate
publication. and to enable investors to make Effectiveness of a Proposed Rule
An agency may not conduct or meaningful comparisons among funds. Change To Amend the MIAX Order
sponsor, and a person is not required to The Commission estimates that on
Feed (‘‘MOR’’)
respond to, a collection of information average approximately 208 respondents
under the PRA unless it displays a file 13,004 1 responses that include the November 21, 2017.
information required by rule 34b–1 each Pursuant to the provisions of Section
currently valid OMB control number.
year. The burden resulting from the 19(b)(1) of the Securities Exchange Act
Please direct your written comments collection of information requirements of 1934 (‘‘Act’’) 1 and Rule 19b–4
to: Pamela Dyson, Director/Chief of rule 34b–1 is estimated to be 2 hours thereunder,2 notice is hereby given that
Information Officer, Securities and per response. The total hourly burden on November 17, 2017, Miami
Exchange Commission, c/o Remi Pavlik- for rule 34b–1 is approximately 26,008 International Securities Exchange, LLC
Simon, 100 F Street NE., Washington, hours per year in the aggregate.2 (‘‘MIAX Options’’ or the ‘‘Exchange’’)
DC 20549, or send an email to: PRA_ The collection of information under filed with the Securities and Exchange
ethrower on DSK3G9T082PROD with NOTICES
Mailbox@sec.gov. rule 34b–1 is mandatory. The Commission (‘‘Commission’’) a
Dated: November 22, 2017. proposed rule change as described in
1 The estimated number of responses to rule 34b–
Eduardo A. Aleman, Items I and II below, which Items have
1 is composed of 12,772 responses filed with
FINRA and 232 responses filed with the been prepared by the Exchange. The
Assistant Secretary.
Commission in 2016.
[FR Doc. 2017–25708 Filed 11–27–17; 8:45 am] 2 13,004 responses × 2 hours per response = 1 15 U.S.C. 78s(b)(1).
BILLING CODE 8011–01–P 26,008 hours. 2 17 CFR 240.19b–4.
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Document Created: 2017-11-28 01:51:13
Document Modified: 2017-11-28 01:51:13
| 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 56293 |
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