83 FR 20898 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 89 (May 8, 2018)

Page Range		20898-20899
FR Document		2018-09690

Federal Register, Volume 83 Issue 89 (Tuesday, May 8, 2018)

[Federal Register Volume 83, Number 89 (Tuesday, May 8, 2018)]
[Notices]
[Pages 20898-20899]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-09690]


-----------------------------------------------------------------------

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:
    Rule 17a-6; SEC File No. 270-433, OMB Control No. 3235-0489.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (``PRA'') (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 17a-6 (17 CFR 240.17a-6) 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.
    Rule 17a-6 permits national securities exchanges, national 
securities associations, registered clearing agencies, and the 
Municipal Securities Rulemaking Board (``MSRB'') (collectively, 
``SROs'') to destroy or

[[Page 20899]]

convert to microfilm or other recording media records maintained under 
Rule 17a-1, if they have filed a record destruction plan with the 
Commission and the Commission has declared the plan effective.
    There are currently 32 SROs: 21 national securities exchanges, 1 
national securities association, the MSRB, and 9 registered clearing 
agencies. Of the 32 SROs, only 2 SRO respondents have filed a record 
destruction plan with the Commission. The staff calculates that the 
preparation and filing of a new record destruction plan should take 160 
hours. Further, any existing SRO record destruction plans may require 
revision, over time, in response to, for example, changes in document 
retention technology, which the Commission estimates will take much 
less than the 160 hours estimated for a new plan. The Commission 
estimates that each SRO that has filed a destruction plan will spend 
approximately 30 hours per year making required revisions. Thus, the 
total annual compliance burden is estimated to be 60 hours per year 
based on two respondents. The approximate compliance cost per hour is 
$422, resulting in a total internal cost of compliance for these 
respondents of $25,320 per year (60 hours @ $422 per hour).
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimate of the burden of the collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information to be 
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: [email protected].

    Dated: May 1, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-09690 Filed 5-7-18; 8:45 am]
 BILLING CODE 8011-01-P

20898 Federal Register / Vol. 83, No. 89 / Tuesday, May 8, 2018 / Notices

maintenance of a fair and orderly additional exchange-traded product that proposed rule change between the
market are present. Trading in the will enhance competition among market Commission and any person, other than
Shares also will be subject to Rule participants, to the benefit of investors those that may be withheld from the
14.11(c)(1)(B)(iv), which sets forth and the marketplace. public in accordance with the
circumstances under which Shares of a provisions of 5 U.S.C. 552, will be
C. Self-Regulatory Organization’s available for website viewing and
Fund may be halted. In addition,
investors will have ready access to Statement on Comments on the printing in the Commission’s Public
information regarding the applicable Proposed Rule Change Received From Reference Room, 100 F Street NE,
IIV, and quotation and last sale Members, Participants or Others Washington, DC 20549 on official
information for the shares of the Fund. The Exchange has neither solicited business days between the hours of
All statements and representations nor received written comments on the 10:00 a.m. and 3:00 p.m. Copies of the
made in this filing regarding the index proposed rule change. filing also will be available for
composition, the description of the inspection and copying at the principal
III. Date of Effectiveness of the
portfolio or reference assets, limitations office of the Exchange. All comments
Proposed Rule Change and Timing for
on portfolio holdings or reference assets, received will be posted without change.
dissemination and availability of index, Commission Action
Persons submitting comments are
reference asset, and intraday indicative Within 45 days of the date of cautioned that we do not redact or edit
values (as applicable), or the publication of this notice in the Federal personal identifying information from
applicability of Exchange listing rules Register or up to 90 days (i) as the comment submissions. You should
shall constitute continued listing Commission may designate if it finds submit only information that you wish
requirements for listing the Shares on such longer period to be appropriate to make available publicly. All
the Exchange. The issuer is required to and publishes its reasons for so finding submissions should refer to File
advise the Exchange of any failure by or (ii) as to which the self-regulatory Number SR–CboeBZX–2018–018 and
the Fund to comply with the continued organization consents, the Commission should be submitted on or before May
listing requirements, and, pursuant to will: 29, 2018.
its obligations under Section 19(g)(1) of (A) By order approve or disapprove For the Commission, by the Division of
the Act, the Exchange will monitor for the proposed rule change, or Trading and Markets, pursuant to delegated
compliance with the continued listing (B) institute proceedings to determine authority.29
requirements. If the Fund is not in whether the proposed rule change Eduardo A. Aleman,
compliance with the applicable listing should be disapproved. Assistant Secretary.
requirements, the Exchange will IV. Solicitation of Comments [FR Doc. 2018–09692 Filed 5–7–18; 8:45 am]
commence delisting procedures under
Interested persons are invited to BILLING CODE 8011–01–P
Rule 14.12.
The proposed rule change is designed submit written data, views, and
to perfect the mechanism of a free and arguments concerning the foregoing,
including whether the proposed rule SECURITIES AND EXCHANGE
open market and, in general, to protect COMMISSION
investors and the public interest in that change is consistent with the Act.
it will facilitate the listing and trading Comments may be submitted by any of Proposed Collection; Comment
of an exchange-traded product that the following methods: Request
principally holds ABS and CMBS and Electronic Comments
that will enhance competition among Upon Written Request, Copies Available
market participants, to the benefit of • Use the Commission’s internet From: Securities and Exchange
investors and the marketplace. The comment form (http://www.sec.gov/ Commission, Office of FOIA Services,
Exchange has in place surveillance rules/sro.shtml); or 100 F Street NE, Washington, DC
procedures relating to trading in the • Send an email to rule-comments@ 20549–2736.
shares of the Fund and may obtain sec.gov. Please include File Number SR– Extension:
information via ISG from other CboeBZX–2018–018 on the subject line. Rule 17a–6; SEC File No. 270–433, OMB
exchanges that are members of ISG or Control No. 3235–0489.
Paper Comments
with which the Exchange has entered Notice is hereby given that pursuant
into a comprehensive surveillance • Send paper comments in triplicate
to the Paperwork Reduction Act of 1995
sharing agreement. In addition, to Secretary, Securities and Exchange
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
investors will have ready access to Commission, 100 F Street NE,
Securities and Exchange Commission
information regarding the IIV and Washington, DC 20549–1090.
(‘‘Commission’’) is soliciting comments
quotation and last sale information for All submissions should refer to File on the collection of information
the shares of the Fund. Number SR–CboeBZX–2018–018. This provided for in Rule 17a–6 (17 CFR
For the above reasons, the Exchange file number should be included on the 240.17a–6) under the Securities
believes that the proposed rule change subject line if email is used. To help the Exchange Act of 1934 (15 U.S.C. 78a et
is consistent with the requirements of Commission process and review your seq.). The Commission plans to submit
Section 6(b)(5) of the Act. comments more efficiently, please use this existing collection of information to
only one method. The Commission will the Office of Management and Budget
B. Self-Regulatory Organization’s post all comments on the Commission’s
Statement on Burden on Competition (‘‘OMB’’) for extension and approval.
internet website (http://www.sec.gov/
sradovich on DSK3GMQ082PROD with NOTICES

Rule 17a–6 permits national securities
The Exchange does not believe that rules/sro.shtml). Copies of the exchanges, national securities
the proposed rule change will impose submission, all subsequent associations, registered clearing
any burden on competition that is not amendments, all written statements agencies, and the Municipal Securities
necessary or appropriate in furtherance with respect to the proposed rule Rulemaking Board (‘‘MSRB’’)
of the purpose of the Act. The Exchange change that are filed with the (collectively, ‘‘SROs’’) to destroy or
notes that the proposed rule change will Commission, and all written
facilitate the listing and trading of an communications relating to the 29 17 CFR 200.30–3(a)(12).

VerDate Sep<11>2014 18:41 May 07, 2018 Jkt 244001 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 E:\FR\FM\08MYN1.SGM 08MYN1

Federal Register / Vol. 83, No. 89 / Tuesday, May 8, 2018 / Notices 20899

convert to microfilm or other recording Dated: May 1, 2018. A. Self-Regulatory Organization’s
media records maintained under Rule Eduardo A. Aleman, Statement of the Purpose of, and the
17a–1, if they have filed a record Assistant Secretary. Statutory Basis for, the Proposed Rule
destruction plan with the Commission [FR Doc. 2018–09690 Filed 5–7–18; 8:45 am] Change
and the Commission has declared the BILLING CODE 8011–01–P 1. Purpose
plan effective.
The Exchange proposes to amend
There are currently 32 SROs: 21 Article X (Confidential Amendment) of
national securities exchanges, 1 national SECURITIES AND EXCHANGE
COMMISSION the Sixth Amended and Restated
securities association, the MSRB, and 9 Certificate of Incorporation of NYSE
registered clearing agencies. Of the 32 [Release No. 34–83160; File No. SR– Group (‘‘NYSE Group Certificate’’) and
SROs, only 2 SRO respondents have NYSEArca-2018–26] make certain technical and conforming
filed a record destruction plan with the changes.
Commission. The staff calculates that Self-Regulatory Organizations; NYSE NYSE Group owns all of the equity
the preparation and filing of a new Arca, Inc.; Notice of Filing and interest in the Exchange and its national
record destruction plan should take 160 Immediate Effectiveness of Proposed securities exchange affiliates, the New
hours. Further, any existing SRO record Rule Change To Amend the Certificate York Stock Exchange LLC (‘‘NYSE
destruction plans may require revision, of Incorporation of Its Parent Company LLC’’), NYSE American LLC (‘‘NYSE
over time, in response to, for example, NYSE Group, Inc. American’’) and NYSE National, Inc.
changes in document retention May 3, 2018. (‘‘NYSE National’’). In turn, NYSE
technology, which the Commission Pursuant to Section 19(b)(1) 1 of the Group is a wholly-owned subsidiary of
estimates will take much less than the Securities Exchange Act of 1934 (the NYSE Holdings LLC (‘‘NYSE
160 hours estimated for a new plan. The ‘‘Act’’),2 and Rule 19b–4 thereunder,3 Holdings’’), which is wholly owned by
Commission estimates that each SRO notice is hereby given that, on April 25, Intercontinental Exchange Holdings,
that has filed a destruction plan will 2018, NYSE Arca, Inc. (the ‘‘Exchange’’ Inc. (‘‘ICE Holdings’’). ICE Holdings is
spend approximately 30 hours per year or ‘‘NYSE Arca’’) filed with the wholly owned by Intercontinental
making required revisions. Thus, the Securities and Exchange Commission Exchange Inc. (‘‘ICE’’).4
total annual compliance burden is (the ‘‘Commission’’) the proposed rule In 2017, the Exchange amended the
estimated to be 60 hours per year based change as described in Items I and II certificates of incorporation, bylaws,
below, which Items have been prepared and operating agreements, as applicable,
on two respondents. The approximate
by the self-regulatory organization. The of ICE, ICE Holdings, NYSE Holdings
compliance cost per hour is $422,
Commission is publishing this notice to and NYSE Group (collectively, the
resulting in a total internal cost of
solicit comments on the proposed rule ‘‘Governing Documents’’).5 The changes
compliance for these respondents of to the Governing Documents included,
$25,320 per year (60 hours @ $422 per change from interested persons.
among other things, amendments
hour). I. Self-Regulatory Organization’s streamlining references to ICE
Written comments are invited on: (a) Statement of the Terms of Substance of subsidiaries that either are or control
Whether the proposed collection of the Proposed Rule Change national securities exchanges, deleting
information is necessary for the proper The Exchange proposes to amend references to other ICE subsidiaries, and
performance of the functions of the Article X of the certificate of amending provisions relating to
Commission, including whether the incorporation of its parent company confidential information.6 As a result of
information shall have practical utility; NYSE Group, Inc. (‘‘NYSE Group’’) and the changes, ‘‘Exchange’’ is defined in
(b) the accuracy of the Commission’s make certain technical and conforming each Governing Document as a national
estimate of the burden of the collection changes. The proposed rule change is
of information; (c) ways to enhance the available on the Exchange’s website at
4 ICE is a publicly traded company listed on the

quality, utility, and clarity of the NYSE.
www.nyse.com, at the principal office of 5 The Governing Documents are the Fourth
information to be collected; and (d) the Exchange, and at the Commission’s Amended and Restated Certificate of Incorporation
ways to minimize the burden of the Public Reference Room. of Intercontinental Exchange, Inc. (‘‘ICE
collection of information on Certificate’’); Eighth Amended and Restated Bylaws
respondents, including through the use II. Self-Regulatory Organization’s of Intercontinental Exchange, Inc. (‘‘ICE Bylaws’’);
Statement of the Purpose of, and Ninth Amended and Restated Certificate of
of automated collection techniques or Incorporation of Intercontinental Exchange
other forms of information technology. Statutory Basis for, the Proposed Rule Holdings, Inc. (‘‘ICE Holdings Certificate’’); Sixth
Consideration will be given to Change Amended and Restated Bylaws of Intercontinental
Exchange Holdings, Inc. (‘‘ICE Holdings Bylaws’’);
comments and suggestions submitted in In its filing with the Commission, the Ninth Amended and Restated Limited Liability
writing within 60 days of this self-regulatory organization included Company Agreement of NYSE Holdings LLC
publication. statements concerning the purpose of, (‘‘NYSE Holdings Operating Agreement’’); Fourth
and basis for, the proposed rule change Amended and Restated Bylaws of NYSE Group, Inc.
An agency may not conduct or (‘‘NYSE Group Bylaws’’); and the NYSE Group
sponsor, and a person is not required to and discussed any comments it received Certificate.
respond to, a collection of information on the proposed rule change. The text 6 See Securities Exchange Act Release Nos. 82083

under the PRA unless it displays a of those statements may be examined at (November 15, 2017), 82 FR 55453 (November 21,
the places specified in Item IV below. 2017) (SR–NYSEArca–2017–125) (notice of filing
currently valid OMB control number. and immediate effectiveness of proposed rule
sradovich on DSK3GMQ082PROD with NOTICES

The Exchange has prepared summaries, change to amend the governing documents of the
Please direct your written comments set forth in sections A, B, and C below, Exchange’s intermediate parent companies)
to: Pamela Dyson, Director/Chief of the most significant parts of such (‘‘Holding Companies Release’’); and 80752 (May
Information Officer, Securities and statements. 24, 2017), 82 FR 25018 (May 31, 2017) (SR– NYSE–
Exchange Commission, c/o Remi Pavlik- 2017–13; SR–NYSEArca–2017–29; SR– NYSEMKT–
2017–17; SR–NYSENAT–2017–01) (order approving
Simon, 100 F Street NE Washington, DC 1 15 U.S.C. 78s(b)(1). proposed rule changes to amend the certificate and
20549, or send an email to: PRA_ 2 15 U.S.C. 78a. bylaws of the exchange’s ultimate parent company)
Mailbox@sec.gov. 3 17 CFR 240.19b–4. (‘‘Parent Company Release’’).

VerDate Sep<11>2014 18:41 May 07, 2018 Jkt 244001 PO 00000 Frm 00113 Fmt 4703 Sfmt 4703 E:\FR\FM\08MYN1.SGM 08MYN1

Document Created: 2018-05-08 01:31:16
Document Modified: 2018-05-08 01:31:16

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 20898