83 FR 18385 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 81 (April 26, 2018)

Page Range		18385-18386
FR Document		2018-08815

Federal Register, Volume 83 Issue 81 (Thursday, April 26, 2018)

[Federal Register Volume 83, Number 81 (Thursday, April 26, 2018)]
[Notices]
[Pages 18385-18386]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-08815]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of FOIA Services, 100 F Street NE, 
Washington, DC 20549-2736.

Extension:
    Rule 11a1-1(T), SEC File No. 270-428, OMB Control No. 3235-0478.

    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 provided for in Rule 11a1-1(T) (17 CFR 240.11a1-1(T)), 
under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The 
Commission plans to submit this existing collection of information to 
the Office of Management and Budget (``OMB'') for extension and 
approval.
    On January 27, 1976, the Commission adopted Rule 11a1-1(T)--
Transactions Yielding Priority, Parity, and Precedence (17 CFR 
240.11a1-1(T)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a 
et seq.) (``Exchange Act'') to exempt certain transactions of exchange 
members for their own accounts that would otherwise be prohibited under 
Section 11(a) of the Exchange Act. The rule provides that a member's 
proprietary order may be executed on the exchange of which the trader 
is a member, if, among other things: (1) The member discloses that a 
bid or offer for its account is for its account to any member with whom 
such bid or offer is placed or to whom it is communicated; (2) any such 
member through whom that bid or offer

[[Page 18386]]

is communicated discloses to others participating in effecting the 
order that it is for the account of a member; and (3) immediately 
before executing the order, a member (other than a specialist in such 
security) presenting any order for the account of a member on the 
exchange clearly announces or otherwise indicates to the specialist and 
to other members then present that he is presenting an order for the 
account of a member.
    Without these requirements, it would not be possible for the 
Commission to monitor its mandate under the Exchange Act to promote 
fair and orderly markets and ensure that exchange members have, as the 
principle purpose of their exchange memberships, the conduct of a 
public securities business.
    There are approximately 592 respondents that require an aggregate 
total of 17 hours to comply with this rule. Each of these approximately 
592 respondents makes an estimated 20 annual responses, for an 
aggregate of 11,840 responses per year. Each response takes 
approximately 5 seconds to complete. Thus, the total compliance burden 
per year is 17 hours (11,840 x 5 seconds/60 seconds per minute/60 
minutes per hour = 17 hours). The approximate internal cost of 
compliance per hour is $336, resulting in a total internal cost of 
compliance of $5,712 (17 hours @ $336).
    Written comments are invited on: (a) Whether the 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 of 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 under the PRA unless it 
displays a currently valid OMB control number.
    Please direct your written comments 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: PRA_Mailbox@sec.gov.

    Dated: April 23, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-08815 Filed 4-25-18; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 83, No. 81 / Thursday, April 26, 2018 / Notices 18385

which govern Consolidated Audit Trail At any time within 60 days of the received will be posted without change.
Compliance are conformed. filing of the proposed rule change, the Persons submitting comments are
Incorporating by reference the Nasdaq Commission summarily may cautioned that we do not redact or edit
General 7 Rules into the GEMX General temporarily suspend such rule change if personal identifying information from
7 Rules will provide an easy reference it appears to the Commission that such comment submissions. You should
for Members seeking to comply with action is: (i) Necessary or appropriate in submit only information that you wish
Consolidated Audit Trail on multiple the public interest; (ii) for the protection to make available publicly. All
markets. As noted, the Exchange intends of investors; or (iii) otherwise in submissions should refer to File
to file similar proposed rule changes for furtherance of the purposes of the Act. Number SR–GEMX–2018–13 and
other affiliated markets so that Nasdaq If the Commission takes such action, the should be submitted on or before May
General 7 is the source document for all Commission shall institute proceedings 17, 2018.
Nasdaq Consolidated Audit Trail rules. to determine whether the proposed rule For the Commission, by the Division of
The Exchange notes that the current rule should be approved or disapproved. Trading and Markets, pursuant to delegated
is not changing and GEMX members authority.13
IV. Solicitation of Comments
will be required to continue to comply Eduardo A. Aleman,
with the General 7 Rules as though such Interested persons are invited to Assistant Secretary.
rules are fully set forth in GEMX’s submit written data, views, and [FR Doc. 2018–08732 Filed 4–25–18; 8:45 am]
Rulebook. The Exchange desires to arguments concerning the foregoing,
BILLING CODE 8011–01–P
conform its rules and locate those rules including whether the proposed rule
within the same location in each change is consistent with the Act.
Rulebook to provide Members the Comments may be submitted by any of SECURITIES AND EXCHANGE
ability to quickly locate rules. the following methods: COMMISSION
B. Self-Regulatory Organization’s Electronic Comments
Proposed Collection; Comment
Statement on Burden on Competition • Use the Commission’s internet Request
The Exchange does not believe that comment form (http://www.sec.gov/
rules/sro.shtml); or Upon Written Request, Copies Available
the proposed rule change will impose
any burden on competition not • Send an email to rule-comments@ From: U.S. Securities and Exchange
sec.gov. Please include File Number SR– Commission, Office of FOIA Services,
necessary or appropriate in furtherance
GEMX–2018–13 on the subject line. 100 F Street NE, Washington, DC
of the purposes of the Act. The
20549–2736.
Exchange believes that this rule change Paper Comments
does not impose an undue burden on Extension:
• Send paper comments in triplicate Rule 11a1–1(T), SEC File No. 270–428,
competition because GEMX is merely
to Secretary, Securities and Exchange OMB Control No. 3235–0478.
incorporating by reference the rules of
Commission, 100 F Street NE, Notice is hereby given that pursuant
Nasdaq’s General 7 into its own
Washington, DC 20549–1090. to the Paperwork Reduction Act of 1995
Rulebook. The current General 7 is not
being amended and therefore no All submissions should refer to File (44 U.S.C. 3501 et seq.), the Securities
Member is impacted. Number SR–GEMX–2018–13. This file and Exchange Commission
number should be included on the (‘‘Commission’’) is soliciting comments
C. Self-Regulatory Organization’s subject line if email is used. To help the on the collection of information
Statement on Comments on the Commission process and review your provided for in Rule 11a1–1(T) (17 CFR
Proposed Rule Change Received From comments more efficiently, please use 240.11a1–1(T)), under the Securities
Members, Participants, or Others only one method. The Commission will Exchange Act of 1934 (15 U.S.C. 78a et
No written comments were either post all comments on the Commission’s seq.). The Commission plans to submit
solicited or received. internet website (http://www.sec.gov/ this existing collection of information to
rules/sro.shtml). Copies of the the Office of Management and Budget
III. Date of Effectiveness of the submission, all subsequent (‘‘OMB’’) for extension and approval.
Proposed Rule Change and Timing for amendments, all written statements On January 27, 1976, the Commission
Commission Action with respect to the proposed rule adopted Rule 11a1–1(T)—Transactions
Because the foregoing proposed rule change that are filed with the Yielding Priority, Parity, and
change does not: (i) Significantly affect Commission, and all written Precedence (17 CFR 240.11a1–1(T))
the protection of investors or the public communications relating to the under the Securities Exchange Act of
interest; (ii) impose any significant proposed rule change between the 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange
burden on competition; and (iii) become Commission and any person, other than Act’’) to exempt certain transactions of
operative for 30 days from the date on those that may be withheld from the exchange members for their own
which it was filed, or such shorter time public in accordance with the accounts that would otherwise be
as the Commission may designate, it has provisions of 5 U.S.C. 552, will be prohibited under Section 11(a) of the
become effective pursuant to Section available for website viewing and Exchange Act. The rule provides that a
19(b)(3)(A)(iii) of the Act 11 and printing in the Commission’s Public member’s proprietary order may be
subparagraph (f)(6) of Rule 19b–4 Reference Room, 100 F Street NE, executed on the exchange of which the
thereunder.12 Washington, DC 20549, on official trader is a member, if, among other
business days between the hours of things: (1) The member discloses that a
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11 15 U.S.C. 78s(b)(3)(A)(iii). 10:00 a.m. and 3:00 p.m. Copies of the bid or offer for its account is for its
12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– filing also will be available for account to any member with whom
4(f)(6)(iii) requires the Exchange to give the inspection and copying at the principal such bid or offer is placed or to whom
Commission written notice of the Exchange’s intent it is communicated; (2) any such
to file the proposed rule change, along with a brief office of the Exchange. All comments
description and text of the proposed rule change, member through whom that bid or offer
at least five business days prior to the date of filing as designated by the Commission. The Exchange
of the proposed rule change, or such shorter time has satisfied this requirement. 13 17 CFR 200.30–3(a)(12).

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18386 Federal Register / Vol. 83, No. 81 / Thursday, April 26, 2018 / Notices

is communicated discloses to others Dated: April 23, 2018. An agency may not conduct or
participating in effecting the order that Eduardo A. Aleman, sponsor, and a person is not required to
it is for the account of a member; and Assistant Secretary. respond to, a collection of information
(3) immediately before executing the [FR Doc. 2018–08815 Filed 4–25–18; 8:45 am] unless it displays a currently valid
order, a member (other than a specialist BILLING CODE 8011–01–P control number.
in such security) presenting any order Please direct your written comments
for the account of a member on the to Pamela Dyson, Director/Chief
exchange clearly announces or SECURITIES AND EXCHANGE Information Officer, Securities and
otherwise indicates to the specialist and COMMISSION Exchange Commission, c/o Remi Pavlik-
to other members then present that he Simon, 100 F Street NE, Washington,
is presenting an order for the account of Proposed Collection; Comment DC 20549; or send an email to: PRA_
a member. Request Mailbox@sec.gov.
Without these requirements, it would Upon Written Request Copies Available Dated: April 23, 2018.
not be possible for the Commission to From: Securities and Exchange Eduardo A. Aleman,
monitor its mandate under the Exchange Commission, Office of FOIA Services, Assistant Secretary.
Act to promote fair and orderly markets 100 F Street NE, Washington, DC [FR Doc. 2018–08819 Filed 4–25–18; 8:45 am]
and ensure that exchange members 20549–2736. BILLING CODE 8011–01–P
have, as the principle purpose of their Extension:
exchange memberships, the conduct of Form 1–U, SEC File No. 270–660, OMB
a public securities business. Control No. 3235–0722.
There are approximately 592 SMALL BUSINESS ADMINISTRATION
Notice is hereby given that, pursuant
respondents that require an aggregate to the Paperwork Reduction Act of 1995 [Disaster Declaration #15483 and #15484;
total of 17 hours to comply with this (44 U.S.C. 3501 et seq.), the Securities Alabama Disaster Number AL–00086]
rule. Each of these approximately 592 and Exchange Commission
respondents makes an estimated 20 (‘‘Commission’’) is soliciting comments Administrative Declaration of a
annual responses, for an aggregate of on the collection of information Disaster for the State of Alabama
11,840 responses per year. Each summarized below. The Commission
response takes approximately 5 seconds plans to submit this existing collection AGENCY: U.S. Small Business
to complete. Thus, the total compliance of information to the Office of Administration.
burden per year is 17 hours (11,840 × 5 Management and Budget for extension ACTION: Notice.
seconds/60 seconds per minute/60 and approval.
minutes per hour = 17 hours). The Form 1–U (17 CFR 239.93) is used to SUMMARY: This is a notice of an
approximate internal cost of compliance file current event reports by Tier 2 Administrative declaration of a disaster
per hour is $336, resulting in a total issuers under Regulation A, an for the State of Alabama dated 04/17/
internal cost of compliance of $5,712 exemption from registration under the 2018.
(17 hours @ $336). Securities Act of 1933 (15 U.S.C 77a et Incident: Severe Storms and
seq.). Form 1–U provides information to Hurricane Force Winds.
Written comments are invited on: (a)
the public within four business days of Incident Period: 04/03/2018.
Whether the proposed collection of
information is necessary for the proper fundamental changes in the nature of DATES: Issued on 04/17/2018.
performance of the functions of the the issuer’s business and other Physical Loan Application Deadline
agency, including whether the significant events. We estimate that Date: 06/18/2018.
information will have practical utility; approximately 97 issuers file Form 1–U Economic Injury (EIDL) Loan
(b) the accuracy of the agency’s estimate annually. We estimate that Form 1–U Application Deadline Date: 01/17/2019.
of the burden of the collection of takes approximately 5.66 hours to ADDRESSES: Submit completed loan
information; (c) ways to enhance the prepare. We estimate that 75% of the applications to: U.S. Small Business
quality, utility, and clarity of the 5.66 hours per response is prepared by Administration, Processing and
information collected; and (d) ways to the company for a total annual burden Disbursement Center, 14925 Kingsport
minimize the burden of the collection of of 412 hours (4.25 hours per response x Road, Fort Worth, TX 76155.
information on respondents, including 97 responses).
FOR FURTHER INFORMATION CONTACT: A.
Written comments are invited on: (a)
through the use of automated collection Escobar, Office of Disaster Assistance,
Whether the proposed collection of
techniques or other forms of information U.S. Small Business Administration,
information is necessary for the proper
technology. Consideration will be given 409 3rd Street SW, Suite 6050,
performance of the functions of the
to comments and suggestions submitted Washington, DC 20416, (202) 205–6734.
agency, including whether the
in writing within 60 days of this SUPPLEMENTARY INFORMATION: Notice is
information will have practical utility;
publication. hereby given that as a result of the
(b) the accuracy of the agency’s estimate
An agency may not conduct or of the burden imposed by the collection Administrator’s disaster declaration,
sponsor, and a person is not required to of information; (c) ways to enhance the applications for disaster loans may be
respond to, a collection of information quality, utility, and clarity of the filed at the address listed above or other
under the PRA unless it displays a information collected; and (d) ways to locally announced locations.
currently valid OMB control number. minimize the burden of the collection of The following areas have been
amozie on DSK30RV082PROD with NOTICES

Please direct your written comments information on respondents, including determined to be adversely affected by
to: Pamela Dyson, Director/Chief through the use of automated collection the disaster:
Information Officer, Securities and techniques or other forms of information Primary Counties: Morgan
Exchange Commission, c/o Remi Pavlik- technology. Consideration will be given Contiguous Counties:
Simon, 100 F Street NE, Washington, to comments and suggestions submitted Alabama: Cullman, Lawrence,
DC 20549, or send an email to: PRA_ in writing within 60 days of this Limestone, Madison, Marshall
Mailbox@sec.gov. publication. The Interest Rates are:

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Document Created: 2018-11-02 08:19:58
Document Modified: 2018-11-02 08:19:58

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 18385