83 FR 13173 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 59 (March 27, 2018)

Page Range		13173-13173
FR Document		2018-06120

Federal Register, Volume 83 Issue 59 (Tuesday, March 27, 2018)

[Federal Register Volume 83, Number 59 (Tuesday, March 27, 2018)]
[Notices]
[Page 13173]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-06120]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-135, OMB Control No. 3235-0176]


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:
    Rules 8b-1 to 8b-33

    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 (the ``Commission'') has submitted to the Office of 
Management and Budget (``OMB'') a request for extension of the 
previously approved collection of information discussed below.
    Rules 8b-1 to 8b-33 (17 CFR 270.8b-1 to 8b-33) under the Investment 
Company Act of 1940 (15 U.S.C. 80a-1 et seq.) (``Investment Company 
Act'') set forth the procedures for preparing and filing a registration 
statement under the Investment Company Act. These procedures are 
intended to facilitate the registration process. These rules generally 
do not require respondents to report information.\1\
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    \1\ Although the rules under Section 8(b) of the Investment 
Company Act are generally procedural in nature, two of the rules 
require respondents to disclose some limited information. Rule 8b-3 
(17 CFR 270.8b-3) provides that whenever a registration form 
requires the title of securities to be stated, the registrant must 
indicate the type and general character of the securities to be 
issued. Rule 8b-22 (17 CFR 270.8b-22) provides that if the existence 
of control is open to reasonable doubt, the registrant may disclaim 
the existence of control, but it must state the material facts 
pertinent to the possible existence of control. The information 
required by both of these rules is necessary to insure that 
investors have clear and complete information upon which to base an 
investment decision.
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    The Commission believes that it is appropriate to estimate the 
total respondent burden associated with preparing each registration 
statement form rather than attempt to isolate the impact of the 
procedural instructions under Section 8(b) of the Investment Company 
Act, which impose burdens only in the context of the preparation of the 
various registration statement forms. Accordingly, the Commission is 
not submitting a separate burden estimate for rules 8b-1 through 8b-33, 
but instead will include the burden for these rules in its estimates of 
burden for each of the registration forms under the Investment Company 
Act. The Commission is, however, submitting an hourly burden estimate 
of one hour for administrative purposes.
    The collection of information under rules 8b-1 to 8b-33 is 
mandatory. The information provided under rules 8b-1 to 8b-33 is not 
kept confidential. 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 OMB control number.
    The public may view the background documentation for this 
information collection at the following website, 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: 
Shagufta_Ahmed@omb.eop.gov; 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 send an email 
to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: March 22, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-06120 Filed 3-26-18; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 83, No. 59 / Tuesday, March 27, 2018 / Notices 13173

Electronic Comments SECURITIES AND EXCHANGE hourly burden estimate of one hour for
• Use the Commission’s internet COMMISSION administrative purposes.
comment form (http://www.sec.gov/ The collection of information under
[SEC File No. 270–135, OMB Control No.
rules/sro.shtml); or 3235–0176]
rules 8b–1 to 8b–33 is mandatory. The
• Send an email to rule-comments@ information provided under rules 8b–1
sec.gov. Please include File No. SR– Submission for OMB Review; to 8b–33 is not kept confidential. An
OCC–2017–020 on the subject line. Comment Request agency may not conduct or sponsor, and
a person is not required to respond to,
Paper Comments Upon Written Request, Copies Available a collection of information unless it
• Send paper comments in triplicate From: Securities and Exchange displays a currently valid OMB control
to Brent J. Fields, Secretary, Securities Commission, Office of FOIA Services, number.
and Exchange Commission, 100 F Street 100 F Street NE, Washington, DC The public may view the background
NE, Washington, DC 20549–1090. 20549–2736 documentation for this information
All submissions should refer to File No. Extension: collection at the following website,
SR–OCC–2017–020. This file number Rules 8b–1 to 8b–33 www.reginfo.gov. Comments should be
should be included on the subject line Notice is hereby given that, pursuant directed to: (i) Desk Officer for the
if email is used. To help the to the Paperwork Reduction Act of 1995 Securities and Exchange Commission,
Commission process and review your (44 U.S.C. 3501 et seq.), the Securities Office of Information and Regulatory
comments more efficiently, please use and Exchange Commission (the Affairs, Office of Management and
only one method. The Commission will ‘‘Commission’’) has submitted to the Budget, Room 10102, New Executive
post all comments on the Commission’s Office of Management and Budget Office Building, Washington, DC 20503,
internet website (http://www.sec.gov/ (‘‘OMB’’) a request for extension of the or by sending an email to: Shagufta_
rules/sro.shtml). Copies of the previously approved collection of Ahmed@omb.eop.gov; and (ii) Pamela
submission, all subsequent information discussed below. Dyson, Director/Chief Information
amendments, all written statements Rules 8b–1 to 8b–33 (17 CFR 270.8b– Officer, Securities and Exchange
with respect to the Proposed Rule 1 to 8b–33) under the Investment Commission, c/o Remi Pavlik-Simon,
Change that are filed with the Company Act of 1940 (15 U.S.C. 80a–1 100 F Street NE, Washington, DC 20549
Commission, and all written et seq.) (‘‘Investment Company Act’’) set or send an email to: PRA_Mailbox@
communications relating to the forth the procedures for preparing and sec.gov. Comments must be submitted to
Proposed Rule Change between the filing a registration statement under the OMB within 30 days of this notice.
Commission and any person, other than Investment Company Act. These Dated: March 22, 2018.
those that may be withheld from the procedures are intended to facilitate the Eduardo A. Aleman,
public in accordance with the registration process. These rules Assistant Secretary.
provisions of 5 U.S.C. 552, will be generally do not require respondents to [FR Doc. 2018–06120 Filed 3–26–18; 8:45 am]
available for website viewing and report information.1 BILLING CODE 8011–01–P
printing in the Commission’s Public The Commission believes that it is
Reference Room, 100 F Street NE, appropriate to estimate the total
Washington, DC 20549, on official respondent burden associated with SECURITIES AND EXCHANGE
business days between the hours of preparing each registration statement COMMISSION
10:00 a.m. and 3:00 p.m. Copies of such form rather than attempt to isolate the
filing also will be available for impact of the procedural instructions
inspection and copying at the principal [Release No. 34–82920; File No. SR–ISE–
under Section 8(b) of the Investment 2018–20]
office of OCC and on OCC’s website at Company Act, which impose burdens
https://www.theocc.com/about/ only in the context of the preparation of Self-Regulatory Organizations; Nasdaq
publications/bylaws.jsp. the various registration statement forms. ISE, LLC; Notice of Filing and
All comments received will be posted
Accordingly, the Commission is not Immediate Effectiveness of Proposed
without change. Persons submitting
submitting a separate burden estimate Rule Change To Amend the Market
comments are cautioned that we do not
for rules 8b–1 through 8b–33, but Maker Plus Program in the Schedule of
redact or edit personal identifying
instead will include the burden for Fees
information from comment submissions.
these rules in its estimates of burden for
You should submit only information March 22, 2018.
each of the registration forms under the
that you wish to make available Pursuant to Section 19(b)(1) of the
Investment Company Act. The
publicly. Securities Exchange Act of 1934
All submissions should refer to File Commission is, however, submitting an
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
No. SR–OCC–2017–020 and should be 1 Although the rules under Section 8(b) of the notice is hereby given that on March 13,
submitted on or before April 17, 2018. Investment Company Act are generally procedural 2018, Nasdaq ISE, LLC (‘‘ISE’’ or
If comments are received, any rebuttal in nature, two of the rules require respondents to ‘‘Exchange’’) filed with the Securities
comments should be submitted on or disclose some limited information. Rule 8b–3 (17
and Exchange Commission
before May 1, 2018. CFR 270.8b–3) provides that whenever a
registration form requires the title of securities to (‘‘Commission’’) the proposed rule
For the Commission, by the Division of be stated, the registrant must indicate the type and change as described in Items I and II
Trading and Markets, pursuant to delegated general character of the securities to be issued. Rule below, which Items have been prepared
8b–22 (17 CFR 270.8b–22) provides that if the
amozie on DSK30RV082PROD with NOTICES

authority.37 by the Exchange. The Commission is
existence of control is open to reasonable doubt, the
Eduardo A. Aleman, publishing this notice to solicit
registrant may disclaim the existence of control, but
Assistant Secretary. it must state the material facts pertinent to the comments on the proposed rule change
[FR Doc. 2018–06105 Filed 3–26–18; 8:45 am] possible existence of control. The information from interested persons.
required by both of these rules is necessary to
BILLING CODE 8011–01–P
insure that investors have clear and complete
1 15 U.S.C. 78s(b)(1).
information upon which to base an investment
37 17 CFR 200.30–3(a)(12). decision. 2 17 CFR 240.19b–4.

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Document Created: 2018-03-27 01:26:42
Document Modified: 2018-03-27 01:26:42

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		83 FR 13173