82 FR 61056 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 246 (December 26, 2017)

Page Range		61056-61056
FR Document		2017-27740
Federal Register, Volume 82 Issue 246 (Tuesday, December 26, 2017)
[Federal Register Volume 82, Number 246 (Tuesday, December 26, 2017)]
[Notices]
[Page 61056]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-27740]


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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:
    Form TCR and Form WB-APP-Implementing the Whistleblower 
Provisions of Section 21 F of the Securities Exchange Act of 1934; 
SEC File No. 270-625, OMB Control No. 3235-0686

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and 
Exchange Commission (``Commission'') is soliciting comments on the 
collection of information summarized below. The Commission plans to 
submit an extension for this current collection of information to the 
Office of Management and Budget for approval.
    In Release No. 34-64545,\1\ the Commission adopted rules 
(``Rules'') and forms to implement Section 21F of the Securities 
Exchange Act of 1934 entitled ``Securities Whistleblower Incentives and 
Protection,'' which was created by Section 922 of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act (``Dodd-Frank Act'').\2\ The 
Rules describe the whistleblower program that the Commission has 
established pursuant to the Dodd-Frank Act which requires the 
Commission to pay an award, subject to certain limitations and 
conditions, to whistleblowers who voluntarily provide the Commission 
with original information about a violation of the federal securities 
laws that leads to the successful enforcement of a covered judicial or 
administrative action, or of a related action. The Rules define certain 
terms critical to the operation of the whistleblower program, outline 
the procedures for applying for awards and the Commission's procedures 
for making decisions on claims, and generally explain the scope of the 
whistleblower program to the public and to potential whistleblowers.
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    \1\ Implementation of the Whistleblower Provisions of Section 
21F of the Securities Exchange Act of 1934, Release No. 34-64545; 
File No. S7-33-10 (adopted May 25, 2011).
    \2\ Public Law 111-203, Sec.  922(a), 124 Stat 1841 (2010).
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    Form TCR is a form submitted by whistleblowers who wish to provide 
information to the Commission and its staff regarding potential 
violations of the securities laws. Form TCR is required for submission 
of information under the Rules. The Commission estimates that it takes 
a whistleblower, on average, one and one-half hours to complete Form 
TCR. Based on the receipt of an average of approximately 700 annual 
Form TCR submissions for the past three fiscal years, the Commission 
estimates that the annual reporting burden of Form TCR is 1,050 hours.
    Form WB-APP is a form that is submitted by whistleblowers filing a 
claim for a whistleblower award. Form WB-APP is required for 
application for an award under the Rules. The Commission estimates that 
it takes a whistleblower, on average, one hour to complete Form WB-APP. 
The completion time depends largely on the complexity of the alleged 
violation and the amount of information the whistleblower possesses in 
support of his or her application for an award. Based on the receipt of 
an average of approximately 110 \3\ annual Form WB-APP submissions for 
the past six fiscal years, the Commission estimates that the annual 
reporting burden of Form WB-APP is 110 hours.
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    \3\ This figure does not include Form WB-APP submissions which 
were facially deficient, subsequently withdrawn, or submitted by 
individuals who have been barred by the Commission from 
participation in the whistleblower program.
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    Estimated annual reporting burden = 1,160 hours.
    Written comments are invited on: (a) Whether this collection of 
information is necessary for the proper performance of the functions of 
the agency, including whether the information will have practical 
utility; (b) the accuracy of the agency's estimate of the burden 
imposed by the 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 30 
days of this publication. Please direct your written comments to Pamela 
Dyson, Director/Chief Information Officer, Securities and Exchange 
Commission, c/o Remi Pavlik-Simon, 100 F St. NE, Washington, DC 20549; 
or send an email to: [email protected].

    Dated: December 20, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-27740 Filed 12-22-17; 8:45 am]
BILLING CODE 8011-01-P
61056 Federal Register / Vol. 82, No. 246 / Tuesday, December 26, 2017 / Notices

printing in the Commission’s Public Frank Wall Street Reform and Consumer is necessary for the proper performance
Reference Room, 100 F Street NE, Protection Act (‘‘Dodd-Frank Act’’).2 of the functions of the agency, including
Washington, DC 20549 on official The Rules describe the whistleblower whether the information will have
business days between the hours of program that the Commission has practical utility; (b) the accuracy of the
10:00 a.m. and 3:00 p.m. Copies of the established pursuant to the Dodd-Frank agency’s estimate of the burden imposed
filing also will be available for Act which requires the Commission to by the collection of information; (c)
inspection and copying at the principal pay an award, subject to certain ways to enhance the quality, utility, and
office of the Exchange. All comments limitations and conditions, to clarity of the information collected; and
received will be posted without change. whistleblowers who voluntarily provide (d) ways to minimize the burden of the
Persons submitting comments are the Commission with original collection of information on
cautioned that we do not redact or edit information about a violation of the respondents, including through the use
personal identifying information from federal securities laws that leads to the of automated collection techniques or
comment submissions. You should successful enforcement of a covered other forms of information technology.
submit only information that you wish judicial or administrative action, or of a Consideration will be given to
to make available publicly. All related action. The Rules define certain comments and suggestions submitted in
submissions should refer to File terms critical to the operation of the writing within 30 days of this
Number SR–NYSEAMER–2017–38 and whistleblower program, outline the publication. Please direct your written
should be submitted on or before procedures for applying for awards and comments to Pamela Dyson, Director/
January 16, 2018. the Commission’s procedures for Chief Information Officer, Securities
For the Commission, by the Division of making decisions on claims, and and Exchange Commission, c/o Remi
Trading and Markets, pursuant to delegated generally explain the scope of the Pavlik-Simon, 100 F St. NE,
authority.15 whistleblower program to the public Washington, DC 20549; or send an email
Eduardo A. Aleman, and to potential whistleblowers. to: PRA_Mailbox@sec.gov.
Assistant Secretary. Form TCR is a form submitted by
Dated: December 20, 2017.
[FR Doc. 2017–27698 Filed 12–22–17; 8:45 am] whistleblowers who wish to provide
information to the Commission and its Eduardo A. Aleman,
BILLING CODE 8011–01–P Assistant Secretary.
staff regarding potential violations of the
securities laws. Form TCR is required [FR Doc. 2017–27740 Filed 12–22–17; 8:45 am]

SECURITIES AND EXCHANGE for submission of information under the BILLING CODE 8011–01–P

COMMISSION Rules. The Commission estimates that it
takes a whistleblower, on average, one
Submission for OMB Review; and one-half hours to complete Form SECURITIES AND EXCHANGE
Comment Request TCR. Based on the receipt of an average COMMISSION
of approximately 700 annual Form TCR [Release No. 34–82364; File No. SR–MRX–
Upon Written Request Copies Available
submissions for the past three fiscal 2017–28]
From: Securities and Exchange
years, the Commission estimates that
Commission, Office of FOIA Services,
the annual reporting burden of Form Self-Regulatory Organizations; Nasdaq
100 F Street NE, Washington, DC
TCR is 1,050 hours. MRX, LLC; Notice of Filing and
20549–2736
Form WB–APP is a form that is Immediate Effectiveness of Proposed
Extension: submitted by whistleblowers filing a Rule Change To Extend the Penny
Form TCR and Form WB–APP- claim for a whistleblower award. Form Pilot Program
Implementing the Whistleblower
WB–APP is required for application for
Provisions of Section 21 F of the December 19, 2017.
Securities Exchange Act of 1934; SEC an award under the Rules. The
Commission estimates that it takes a Pursuant to Section 19(b)(1) of the
File No. 270–625, OMB Control No.
3235–0686 whistleblower, on average, one hour to Securities Exchange Act of 1934
complete Form WB–APP. The (‘‘Act’’),1 and Rule 19b–4 thereunder,2
Notice is hereby given that, pursuant notice is hereby given that on December
to the Paperwork Reduction Act of 1995 completion time depends largely on the
complexity of the alleged violation and 11, 2017, Nasdaq MRX, LLC (‘‘MRX’’ or
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the ‘‘Exchange’’) filed with the Securities
Securities and Exchange Commission the amount of information the
whistleblower possesses in support of and Exchange Commission (‘‘SEC’’ or
(‘‘Commission’’) is soliciting comments ‘‘Commission’’) the proposed rule
on the collection of information his or her application for an award.
Based on the receipt of an average of change as described in Items I and II,
summarized below. The Commission below, which Items have been prepared
plans to submit an extension for this approximately 110 3 annual Form WB–
APP submissions for the past six fiscal by the Exchange. The Commission is
current collection of information to the publishing this notice to solicit
Office of Management and Budget for years, the Commission estimates that
the annual reporting burden of Form comments on the proposed rule change
approval. from interested persons.
In Release No. 34–64545,1 the WB–APP is 110 hours.
Commission adopted rules (‘‘Rules’’) Estimated annual reporting burden = I. Self-Regulatory Organization’s
and forms to implement Section 21F of 1,160 hours. Statement of the Terms of Substance of
the Securities Exchange Act of 1934 Written comments are invited on: (a) the Proposed Rule Change
entitled ‘‘Securities Whistleblower Whether this collection of information
The Exchange proposes to amend its
ethrower on DSK3G9T082PROD with NOTICES

Incentives and Protection,’’ which was 2 Public rules to extend a pilot program to quote
Law 111–203, § 922(a), 124 Stat 1841
created by Section 922 of the Dodd- (2010). and to trade certain options classes in
3 This figure does not include Form WB–APP
15 17
penny increments (‘‘Penny Pilot
CFR 200.30–3(a)(12). submissions which were facially deficient,
1 Implementation of the Whistleblower Provisions subsequently withdrawn, or submitted by
Program’’).
of Section 21F of the Securities Exchange Act of individuals who have been barred by the
1 15 U.S.C. 78s(b)(1).
1934, Release No. 34–64545; File No. S7–33–10 Commission from participation in the
(adopted May 25, 2011). whistleblower program. 2 17 CFR 240.19b–4.

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Document Created: 2017-12-23 03:08:49
Document Modified: 2017-12-23 03:08:49
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 61056