82 FR 8968 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 20 (February 1, 2017)

Page Range		8968-8968
FR Document		2017-02098

Federal Register, Volume 82 Issue 20 (Wednesday, February 1, 2017)

[Federal Register Volume 82, Number 20 (Wednesday, February 1, 2017)]
[Notices]
[Page 8968]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-02098]


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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:
    Form 5; SEC File No. 270-323, OMB Control No. 3235-0362.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the collection of 
information summarized below. The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget for extension and approval.
    Under Section 16(a) of the Securities Exchange Act of 1934 
(``Exchange Act'') (15 U.S.C. 78a et seq.) every person who is directly 
or indirectly the beneficial owner of more than 10 percent of any class 
of any equity security (other than an exempted security) which 
registered pursuant to Section 12 of the Exchange Act, or who is a 
director or an officer of the issuer of such security (collectively 
``reporting persons''), must file statements setting forth their 
security holdings in the issuer with the Commission. Form 5 (17 CFR 
249.105) is an annual statement of beneficial ownership of securities. 
Approximately 3,904 reporting persons file Form 5 annually and we 
estimate that it takes approximately one hour to prepare the form for a 
total of 3,904 annual burden hours.
    Written comments are invited on: (a) Whether this proposed 
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 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 unless it displays a 
currently valid control number.
    Please direct your written comment 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: January 25, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-02098 Filed 1-31-17; 8:45 am]
BILLING CODE 8011-01-P

8968 Federal Register / Vol. 82, No. 20 / Wednesday, February 1, 2017 / Notices

Fund, to sell shares of the Master Fund (15 U.S.C. 78a et seq.) every person who SECURITIES AND EXCHANGE
to the Feeder Fund beyond the is directly or indirectly the beneficial COMMISSION
limitations in section 12(d)(1)(B). owner of more than 10 percent of any
[Release No. 34–79884; File No. SR–
10. Section 6(c) of the Act permits the class of any equity security (other than BatsBZX–2016–61]
Commission to exempt any persons or an exempted security) which registered
transactions from any provision of the pursuant to Section 12 of the Exchange Self-Regulatory Organizations; Bats
Act if such exemption is necessary or Act, or who is a director or an officer of BZX Exchange, Inc.; Order Granting
appropriate in the public interest and the issuer of such security (collectively Approval of Proposed Rule Change, as
consistent with the protection of ‘‘reporting persons’’), must file Modified by Amendment No. 1, To
investors and the purposes fairly statements setting forth their security Amend Exchange Rule 11.23,
intended by the policy and provisions of holdings in the issuer with the Auctions, To Enhance the Reopening
the Act. Section 12(d)(1)(J) of the Act Auction Process Following a Trading
Commission. Form 5 (17 CFR 249.105)
provides that the Commission may Halt Declared Pursuant to the Plan To
is an annual statement of beneficial
exempt any person, security, or Address Extraordinary Market
ownership of securities. Approximately
transaction, or any class or classes of Volatility Pursuant to Rule 608 of
persons, securities, or transactions, from 3,904 reporting persons file Form 5
Regulation NMS
any provision of section 12(d)(1) if the annually and we estimate that it takes
exemption is consistent with the public approximately one hour to prepare the January 26, 2017.
interest and the protection of investors. form for a total of 3,904 annual burden
I. Introduction
Section 17(b) of the Act authorizes the hours.
On October 13, 2016, Bats BZX
Commission to grant an order Written comments are invited on: (a) Exchange, Inc. (‘‘Exchange’’ or ‘‘BZX’’)
permitting a transaction otherwise Whether this proposed collection of filed with the Securities and Exchange
prohibited by section 17(a) if it finds information is necessary for the proper Commission (‘‘Commission’’), pursuant
that (a) the terms of the proposed performance of the functions of the to Section 19(b)(1) of the Securities
transaction are fair and reasonable and agency, including whether the Exchange Act of 1934 (‘‘Act’’),1 and
do not involve overreaching on the part information will have practical utility; Rule 19b–4 thereunder,2 a proposed rule
of any person concerned; (b) the (b) the accuracy of the agency’s estimate change related to the Exchange’s re-
proposed transaction is consistent with of the burden imposed by the collection opening process following a trading halt
the policies of each registered of information; (c) ways to enhance the declared pursuant to the National
investment company involved; and (c) quality, utility, and clarity of the Market System Plan to Address
the proposed transaction is consistent Extraordinary Market Volatility
information collected; and (d) ways to
with the general purposes of the Act. (‘‘Plan’’). The proposed rule change was
minimize the burden of the collection of
For the Commission, by the Division of information on respondents, including published for comment in the Federal
Investment Management, under delegated through the use of automated collection Register on November 1, 2016.3 On
authority. December 14, 2016, the Commission
techniques or other forms of information
Eduardo A. Aleman, extended the time period within which
technology. Consideration will be given
Assistant Secretary.
to comments and suggestions submitted to approve the proposed rule change,
[FR Doc. 2017–02080 Filed 1–31–17; 8:45 am] in writing within 60 days of this disapprove the proposed rule change, or
BILLING CODE 8011–01–P institute proceedings to determine
publication.
whether to disapprove the proposed
An agency may not conduct or rule change to January 30, 2017.4 On
SECURITIES AND EXCHANGE sponsor, and a person is not required to January 24, 2017, the Exchange filed
COMMISSION respond to, a collection of information Amendment No. 1 to the proposed rule
unless it displays a currently valid change.5 The Commission received no
Proposed Collection; Comment control number.
Request 1 15 U.S.C. 78s(b)(1).
Please direct your written comment to 2 17 CFR 240.19b–4.
Upon Written Request Copies Available Pamela Dyson, Director/Chief 3 See Securities Exchange Act Release No. 79162
From: Securities and Exchange Information Officer, Securities and (October 26, 2016), 81 FR 75875 (‘‘Notice’’).
Commission, Office of FOIA Services, Exchange Commission, c/o Remi Pavlik- 4 See Securities Exchange Act Release No. 79552,

100 F Street NE., Washington, DC Simon, 100 F Street NE., Washington, 81 FR 92928 (December 20, 2016).
5 In Amendment No. 1, the Exchange stated that
20549–2736. DC 20549 or send an email to: PRA_ it anticipates implementing the proposed rule
Extension: Mailbox@sec.gov. change in the second half of 2017, and most likely
Form 5; SEC File No. 270–323, OMB within the third quarter, assuming the Securities
Dated: January 25, 2017.
Control No. 3235–0362. Information Processors have implemented their
Eduardo A. Aleman, changes and the other primary listing exchanges are
Notice is hereby given that, pursuant Assistant Secretary. able to implement their proposed rule changes
to the Paperwork Reduction Act of 1995 simultaneously with the Exchange. The Exchange
[FR Doc. 2017–02098 Filed 1–31–17; 8:45 am] also updated the text of BZX Rule 11.23(d)(2)(E) to
(44 U.S.C. 3501 et seq.), the Securities reflect the changes made by SR–BatsBZX–2016–81.
BILLING CODE 8011–01–P
and Exchange Commission See Securities Exchange Act Release No. 79467
(‘‘Commission’’) is soliciting comments (December 5, 2016), 81 FR 89176 (December 9,
on the collection of information 2016). The Exchange stated that the changes from
sradovich on DSK3GMQ082PROD with NOTICES

SR–BatsBZX–2016–81 do not impact the same
summarized below. The Commission language as the current proposal and do not conflict
plans to submit this existing collection with the current proposal. Because Amendment No.
of information to the Office of 1 does not materially alter the substance of the
Management and Budget for extension proposed rule change or raise unique or novel
regulatory issues, Amendment No. 1 is not subject
and approval. to notice and comment. Amendment No. 1 is
Under Section 16(a) of the Securities available at: https://www.sec.gov/comments/sr-
Exchange Act of 1934 (‘‘Exchange Act’’) batsbzx-2016-61/batsbzx201661.htm.

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Document Created: 2017-02-01 00:06:20
Document Modified: 2017-02-01 00:06:20

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 8968