83 FR 16416 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 73 (April 16, 2018)

Page Range		16416-16416
FR Document		2018-07954

Federal Register, Volume 83 Issue 73 (Monday, April 16, 2018)

[Federal Register Volume 83, Number 73 (Monday, April 16, 2018)]
[Notices]
[Page 16416]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-07954]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

TIME AND DATE: Notice is hereby given, pursuant to the provisions of 
the Government in the Sunshine Act, Public Law 94-409, the Securities 
and Exchange Commission will hold an Open Meeting on Wednesday, April 
18, 2018, at 3:30 p.m.

PLACE: The meeting will be held in Auditorium LL-002 at the 
Commission's headquarters, 100 F Street NE, Washington, DC 20549.

STATUS: This meeting will begin at 3:30 p.m. (ET) and will be open to 
the public. Seating will be on a first-come, first-served basis. 
Visitors will be subject to security checks. The meeting will be 
webcast on the Commission's website at www.sec.gov.

MATTERS TO BE CONSIDERED: The subject matters of the Open Meeting will 
be the Commission's consideration of:
     Whether to propose new and amended rules and forms to 
require registered investment advisers and registered broker-dealers to 
provide a brief relationship summary to retail investors.
     Whether to propose a rule to establish a standard of 
conduct for broker-dealers and natural persons who are associated 
persons of a broker-dealer when making a recommendation of any 
securities transaction or investment strategy involving securities to a 
retail customer.
     Whether to propose a Commission interpretation of the 
standard of conduct for investment advisers.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items.

CONTACT PERSON FOR MORE INFORMATION: For further information and to 
ascertain what, if any, matters have been added, deleted or postponed; 
please contact Brent J. Fields from the Office of the Secretary at 
(202) 551-5400.

     Dated: April 11, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-07954 Filed 4-12-18; 11:15 am]
BILLING CODE 8011-01-P

16416 Federal Register / Vol. 83, No. 73 / Monday, April 16, 2018 / Notices

Simon, 100 F Street NE, Washington, SECURITIES AND EXCHANGE technology. Consideration will be given
DC 20549 PRA_Mailbox@sec.gov. COMMISSION to comments and suggestions submitted
Dated: April 9, 2018. in writing within 60 days of this
Proposed Collection; Comment publication.
Eduardo A. Aleman,
Request An agency may not conduct or
Assistant Secretary.
Upon Written Request Copies Available sponsor, and a person is not required to
[FR Doc. 2018–07783 Filed 4–13–18; 8:45 am]
From: Securities and Exchange respond to, a collection of information
BILLING CODE 8011–01–P unless it displays a currently valid
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC control number.
20549–2736 Please direct your written comments
SECURITIES AND EXCHANGE to Pamela Dyson, Director/Chief
COMMISSION Extension: Information Officer, Securities and
Regulation A (Form 1–A), SEC File No.
Sunshine Act Meeting Exchange Commission, c/o Remi Pavlik-
270–110, OMB Control No. 3235–0286
Simon, 100 F Street NE, Washington,
Notice is hereby given that, pursuant DC 20549 or send an email to: PRA_
TIME AND DATE: Notice is hereby given,
to the Paperwork Reduction Act of 1995 Mailbox@sec.gov.
pursuant to the provisions of the
(44 U.S.C. 3501 et seq.), the Securities
Government in the Sunshine Act, Public Dated: April 9, 2018.
and Exchange Commission
Law 94–409, the Securities and Eduardo A. Aleman,
(‘‘Commission’’) is soliciting comments
Exchange Commission will hold an Assistant Secretary.
on the collection of information
Open Meeting on Wednesday, April 18, summarized below. The Commission [FR Doc. 2018–07794 Filed 4–13–18; 8:45 am]
2018, at 3:30 p.m. plans to submit this existing collection BILLING CODE 8011–01–P
PLACE: The meeting will be held in of information to the Office of
Auditorium LL–002 at the Management and Budget for extension
Commission’s headquarters, 100 F and approval. SECURITIES AND EXCHANGE
Street NE, Washington, DC 20549. Regulation A (17 CFR 230.251 COMMISSION
STATUS: This meeting will begin at 3:30 through 230.263) provides an exemption
from registration under the Securities Proposed Collection; Comment
p.m. (ET) and will be open to the public.
Act of 1933 (15 U.S.C. 77a et seq.) for Request
Seating will be on a first-come, first-
served basis. Visitors will be subject to certain limited offerings of securities by Upon Written Request, Copies Available
security checks. The meeting will be issuers who do not otherwise file From: Securities and Exchange
webcast on the Commission’s website at reports with the Commission. Form 1– Commission, Office of FOIA Services,
www.sec.gov. A is an offering statement filed under 100 F Street NE, Washington, DC
Regulation A. The paperwork burden 20549–2736
MATTERS TO BE CONSIDERED: The subject
from Regulation A is imposed through
matters of the Open Meeting will be the the forms that are subject to the Extension:
Commission’s consideration of: disclosure requirements in Regulation A Rule 15g–3, SEC File No. 270–346, OMB
• Whether to propose new and and is reflected in the analysis of the
Control No. 3235–0392
amended rules and forms to require form. To avoid a Paperwork Reduction Notice is hereby given that pursuant
registered investment advisers and Act inventory reflecting duplicative to the Paperwork Reduction Act of 1995
registered broker-dealers to provide a burdens, for administrative convenience (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
brief relationship summary to retail we estimate the burden imposed by Securities and Exchange Commission
investors. Regulation A to be a total of one hour. (‘‘Commission’’) is soliciting comments
• Whether to propose a rule to We estimate that approximately 112 on the existing collection of information
establish a standard of conduct for issuers file Forms 1–A. We estimate that provided for in Rule 15g–3—Broker or
broker-dealers and natural persons who Form 1–A takes approximately 751 dealer disclosure of quotations and
are associated persons of a broker-dealer hours to prepare, including the one hour other information relating to the penny
when making a recommendation of any for Regulation A for total of 751 total stock market (17 CFR 240.15g–3) under
securities transaction or investment hours per response. We estimate that the Securities Exchange Act of 1934 (15
strategy involving securities to a retail 75% of the 751 hours per response U.S.C. 78a et seq.). The Commission
customer. (563.25 hours) is prepared by the plans to submit this existing collection
• Whether to propose a Commission company for a total annual burden of of information to the Office of
interpretation of the standard of conduct 63,084 hours (563.25 hours per response Management and Budget (‘‘OMB’’) for
for investment advisers. × 112 responses). extension and approval.
At times, changes in Commission Written comments are invited on: (a) Rule 15g–3 requires that brokers and
priorities require alterations in the Whether the proposed collection of dealers disclose to customers current
scheduling of meeting items. information is necessary for the proper quotation prices or similar market
CONTACT PERSON FOR MORE INFORMATION: performance of the functions of the information in connection with
For further information and to ascertain agency, including whether the transactions in penny stocks. The
what, if any, matters have been added, information will have practical utility; purpose of the rule is to increase the
deleted or postponed; please contact (b) the accuracy of the agency’s estimate level of disclosure to investors
of the burden imposed by the collection concerning penny stocks generally and
srobinson on DSK3G9T082PROD with NOTICES

Brent J. Fields from the Office of the
Secretary at (202) 551–5400. of information; (c) ways to enhance the specific penny stock transactions.
quality, utility, and clarity of the The Commission estimates that
Dated: April 11, 2018. information collected; and (d) ways to approximately 195 broker-dealers will
Brent J. Fields, minimize the burden of the collection of spend an average of 87 hours annually
Secretary. information on respondents, including to comply with this rule. Thus, the total
[FR Doc. 2018–07954 Filed 4–12–18; 11:15 am] through the use of automated collection compliance burden is approximately
BILLING CODE 8011–01–P techniques or other forms of information 16,965 burden-hours per year.

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Document Created: 2018-04-14 02:19:10
Document Modified: 2018-04-14 02:19:10

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
Dates		Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, the Securities and Exchange Commission will hold an Open Meeting on Wednesday, April 18, 2018, at 3:30 p.m.
FR Citation		83 FR 16416