82 FR 8248 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 14 (January 24, 2017)

Page Range		8248-8249
FR Document		2017-01566

The SEC, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on a revised information collection, as required by the PRA. The SEC may not conduct or sponsor, and a respondent is not required to respond to, an information collection unless it displays a currently valid OMB control number. The SEC previously received OMB approval for a voluntary information collection in the Joint Standards. The SEC now is soliciting comments on a revised information collection which adds a Diversity Assessment Report as an instrument to facilitate completion of the self-assessment described in the Joint Standards.

Federal Register, Volume 82 Issue 14 (Tuesday, January 24, 2017)

[Federal Register Volume 82, Number 14 (Tuesday, January 24, 2017)]
[Notices]
[Pages 8248-8249]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-01566]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-664, OMB Control No. 3235-0740]


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Revision:
    Joint Standards for Assessing the Diversity Policies and 
Practices of Entities Regulated by the Agencies.


ACTION: Notice.

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SUMMARY: The SEC, as part of its continuing effort to reduce paperwork 
and respondent burden, invites the general public and other Federal 
agencies to take this opportunity to comment on a revised information 
collection, as required by the PRA. The SEC may not conduct or sponsor, 
and a respondent is not required to respond to, an information 
collection unless it displays a currently valid OMB control number. The 
SEC previously received OMB approval for a voluntary information 
collection in the Joint Standards. The SEC now is soliciting comments 
on a revised information collection which adds a Diversity Assessment 
Report as an instrument to facilitate completion of the self-assessment 
described in the Joint Standards.

DATES: Comments must be submitted on or before March 27, 2017.

ADDRESSES: Please direct your written comments to Pamela Dyson, Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or send an email 
to PRA_Mailbox@sec.gov, and include ``SEC File No. 270-664--OMWI 
Diversity Assessment Report'' in the subject line of the message.

FOR FURTHER INFORMATION CONTACT: For further information about the 
information collection discussed in this revised notice, please contact 
Pamela A. Gibbs, Director, Office of Minority and Women Inclusion, 
(202) 551-6046, or Audrey B. Little, Senior Counsel, Office of Minority 
and Women Inclusion, (202) 551-6086, Securities and Exchange 
Commission, 100 F Street NE., Washington, DC 20549.

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), certain 
Federal agencies must obtain approval from OMB for each collection of 
information that they conduct or sponsor. ``Collection of information'' 
is defined in 44 U.S.C. 3502(3) (and 5 CFR 1320.3(c) of the PRA 
implementing regulations) to include agency requests or requirements 
that members of the public submit reports, keep records, or provide 
information to a third party. The PRA (44 U.S.C. 3506(c)(2)(A)) directs 
these Federal agencies to provide a 60-day notice in the Federal 
Register concerning each proposed collection of information before 
submitting the collection to OMB for approval. To comply with this 
requirement, the SEC

[[Page 8249]]

is publishing this notice of a proposed revision to the previously 
approved collection of information.
    Description: The SEC previously received OMB approval for a 
voluntary information collection with respect to the Joint Standards, 
pursuant to which entities regulated by the SEC voluntarily self-assess 
their diversity policies and practices.\1\ This proposed revision to 
the previously approved collection would add a form entitled 
``Diversity Assessment Report for Entities Regulated by the SEC'' 
(Diversity Assessment Report) to assist with collection of information 
regarding regulated entities' policies and practices relating to 
diversity and inclusion. The Diversity Assessment Report (1) asks for 
general information about a respondent; (2) includes a checklist and 
questions relating to the standards set forth in the Joint Standards; 
(3) seeks data related to workforce diversity and supplier diversity; 
and (4) provides an opportunity for comments. The SEC estimates that 
use of the Diversity Assessment Report would reduce the average 
response time for this collection per respondent from 12 hours to 10 
hours. A draft of this Diversity Assessment Report can be viewed at 
https://www.sec.gov/omwi/sec-entity-diversity-assessment-report-draft.pdf.
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    \1\ 80 FR 33016 (June 10, 2015).
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    The SEC may use the information submitted by the entities it 
regulates to monitor progress and trends in the financial services 
industry with regard to diversity and inclusion in employment and 
contracting activities and to identify and highlight those policies and 
practices that have been successful. The SEC will continue to reach out 
to the regulated entities and other interested parties to discuss 
diversity and inclusion in the financial services industry and share 
leading practices. The SEC may also publish information disclosed by 
the entity, such as any identified leading practices, in any form that 
does not identify a particular institution or disclose confidential 
business information. The SEC will not publish diversity and inclusion 
information that identifies any particular regulated entity unless the 
regulated entity consents in writing to such use.
    Type of Review: Revision.
    Frequency of Response: Annually.
    Burden Estimates:
    Revised Number of Respondents: 1,300.\2\
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    \2\ This number has been modified to account for the ever 
changing number of entities regulated by the SEC. It still, however, 
represents about 5% of regulated entities, as set forth in the 
original PRA notice for the Joint Standards.
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    Revised Annual Burden Per Respondent for the Diversity Assessment 
Report and Joint Standards: 10 hours.
    Revised Total Annual Burden: 13,000 hours.
    Obligation to Respond: Voluntary.
    Request for Comments: The comments submitted in response to this 
notice will be summarized and included in the request for OMB approval. 
All comments will become a matter of public record. Comments are 
invited on:
    (a) Whether the collection of information is necessary for the 
proper performance of the functions of the SEC, including whether the 
information has practical utility;
    (b) The accuracy of the SEC's estimate of the information 
collection burden, including the validity of the methods and the 
assumptions used;
    (c) Ways to enhance the quality, utility, and clarity of the 
information proposed to be collected;
    (d) Ways to minimize the burden of the collection on respondents, 
including through the use of automated collection techniques or other 
forms of information technology; and
    (e) Estimates of capital or start-up costs and costs of operation, 
maintenance, and purchase of services to provide information.

    Dated: January 18, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-01566 Filed 1-23-17; 8:45 am]
 BILLING CODE 8011-01-P

8248 Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Notices

competition for the reasons explained Commission, 100 F Street NE., Joint Standards for Assessing the Diversity
herein. Washington, DC 20549–1090. Policies and Practices of Entities
The Exchange’s proposal does not Regulated by the Agencies.
All submissions should refer to File
place on undue burden on inter-market ACTION: Notice.
Number SR–ISE–2017–01. This file
competition because the QCC order type
number should be included on the SUMMARY: The SEC, as part of its
is similar on other options exchanges
subject line if email is used. To help the continuing effort to reduce paperwork
and these exchanges may also file to
Commission process and review your and respondent burden, invites the
eliminate the distinction between
comments more efficiently, please use general public and other Federal
Priority Customers and Professionals for
only one method. The Commission will agencies to take this opportunity to
the QCC order type.35 The Exchange
post all comments on the Commission’s comment on a revised information
notes that the Commission recently
Internet Web site (http://www.sec.gov/ collection, as required by the PRA. The
approved a similar proposal by Phlx to
rules/sro.shtml). Copies of the SEC may not conduct or sponsor, and a
eliminate both its QCC transactions fees
submission, all subsequent respondent is not required to respond
and its rebates for its professional
amendments, all written statements to, an information collection unless it
customers.36
with respect to the proposed rule displays a currently valid OMB control
C. Self-Regulatory Organization’s change that are filed with the number. The SEC previously received
Statement on Comments on the Commission, and all written OMB approval for a voluntary
Proposed Rule Change Received From communications relating to the information collection in the Joint
Members, Participants, or Others proposed rule change between the Standards. The SEC now is soliciting
No written comments were either Commission and any person, other than comments on a revised information
solicited or received. those that may be withheld from the collection which adds a Diversity
public in accordance with the Assessment Report as an instrument to
III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be facilitate completion of the self-
Proposed Rule Change and Timing for available for Web site viewing and assessment described in the Joint
Commission Action printing in the Commission’s Public Standards.
The foregoing rule change has become Reference Room, 100 F Street NE., DATES: Comments must be submitted on
effective pursuant to Section Washington, DC 20549, on official or before March 27, 2017.
19(b)(3)(A)(ii) of the Act, 20 and business days between the hours of ADDRESSES: Please direct your written
subparagraph (f)(2) of Rule 19b–4 10:00 a.m. and 3:00 p.m. Copies of the comments to Pamela Dyson, Chief
thereunder,21 [sic] because it filing also will be available for Information Officer, Securities and
establishes a due, fee, or other charge inspection and copying at the principal Exchange Commission, c/o Remi Pavlik-
imposed by ISE. At any time within 60 office of the Exchange. All comments Simon, 100 F Street NE., Washington,
days of the filing of such proposed rule received will be posted without change; DC 20549, or send an email to PRA_
change, the Commission summarily may the Commission does not edit personal Mailbox@sec.gov, and include ‘‘SEC File
temporarily suspend such rule change if identifying information from No. 270–664—OMWI Diversity
it appears to the Commission that such submissions. You should submit only Assessment Report’’ in the subject line
action is necessary or appropriate in the information that you wish to make of the message.
public interest, for the protection of available publicly. All submissions
FOR FURTHER INFORMATION CONTACT: For
investors, or otherwise in furtherance of should refer to File Number SR–ISE–
2017–01 and should be submitted by further information about the
the purposes of the Act. If the information collection discussed in this
Commission takes such action, the February 14, 2017.
revised notice, please contact Pamela A.
Commission shall institute proceedings For the Commission, by the Division of Gibbs, Director, Office of Minority and
to determine whether the proposed rule Trading and Markets, pursuant to delegated Women Inclusion, (202) 551–6046, or
should be approved or disapproved. authority.37
Audrey B. Little, Senior Counsel, Office
Eduardo A. Aleman, of Minority and Women Inclusion, (202)
IV. Solicitation of Comments
Assistant Secretary. 551–6086, Securities and Exchange
Interested persons are invited to [FR Doc. 2017–01466 Filed 1–23–17; 8:45 am] Commission, 100 F Street NE.,
submit written data, views, and
BILLING CODE 8011–01–P Washington, DC 20549.
arguments concerning the foregoing,
SUPPLEMENTARY INFORMATION: Under the
including whether the proposed rule
change is consistent with the Act. PRA (44 U.S.C. 3501–3520), certain
SECURITIES AND EXCHANGE Federal agencies must obtain approval
Comments may be submitted by any of COMMISSION
the following methods: from OMB for each collection of
information that they conduct or
Electronic Comments [SEC File No. 270–664, OMB Control No. sponsor. ‘‘Collection of information’’ is
3235–0740] defined in 44 U.S.C. 3502(3) (and 5 CFR
• Use the Commission’s Internet
comment form (http://www.sec.gov/ 1320.3(c) of the PRA implementing
Proposed Collection; Comment regulations) to include agency requests
rules/sro.shtml); or Request
• Send an email to rule-comments@ or requirements that members of the
sec.gov. Please include File Number SR– public submit reports, keep records, or
Upon Written Request, Copies Available provide information to a third party.
sradovich on DSK3GMQ082PROD with NOTICES

ISE–2017–01 on the subject line. From: Securities and Exchange The PRA (44 U.S.C. 3506(c)(2)(A))
Paper Comments Commission, Office of Investor directs these Federal agencies to provide
Education and Advocacy,
• Send paper comments in triplicate a 60-day notice in the Federal Register
Washington, DC 20549–0213. concerning each proposed collection of
to Secretary, Securities and Exchange
Revision: information before submitting the
35 See supra note 12. collection to OMB for approval. To
36 See supra note 30. 37 17 CFR 200.30–3(a)(12). comply with this requirement, the SEC

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Document Created: 2018-02-01 15:12:21
Document Modified: 2018-02-01 15:12:21

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
Action		Notice.
Dates		Comments must be submitted on or before March 27, 2017.
Contact		For further information about the information collection discussed in this revised notice, please contact Pamela A. Gibbs, Director, Office of Minority and Women Inclusion, (202) 551-6046, or Audrey B. Little, Senior Counsel, Office of Minority and Women Inclusion, (202) 551-6086, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549.
FR Citation		82 FR 8248