83 FR 29850 - Submission for OMB Review; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 123 (June 26, 2018)

Page Range		29850-29850
FR Document		2018-13686

Federal Register, Volume 83 Issue 123 (Tuesday, June 26, 2018)

[Federal Register Volume 83, Number 123 (Tuesday, June 26, 2018)]
[Notices]
[Page 29850]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-13686]


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SECURITIES AND EXCHANGE COMMISSION


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:
    Form F-X, SEC File No. 270-336, OMB Control No. 3235-0379

    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'') has submitted to the Office of Management 
and Budget this request for extension of the previously approved 
collection of information discussed below.
    Form F-X (17 CFR 239.42) is used to appoint an agent for service of 
process by Canadian issuers registering securities on Forms F-7, F-8, 
F-9 or F-10 under the Securities Act of 1933 (15 U.S.C. 77a et seq.), 
or filing periodic reports on Form 40-F under the Exchange Act of 1934 
(15 U.S.C. 78a et seq.). The information collected must be filed with 
the Commission and is publicly available. We estimate it takes 
approximately 2 hours per response to prepare Form F-X and the 
information is filed by approximately 114 respondents for a total 
annual reporting burden of 228 hours (2 hours per response x 114 
responses).
    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.
    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: 
[email protected]; 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: [email protected]. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: June 21, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-13686 Filed 6-25-18; 8:45 am]
 BILLING CODE 8011-01-P

29850 Federal Register / Vol. 83, No. 123 / Tuesday, June 26, 2018 / Notices

For the Commission, by the Division of Officer, Securities and Exchange unless the SRO is relieved of this
Trading and Markets, pursuant to delegated Commission, c/o Remi Pavlik-Simon, responsibility pursuant to Section
authority.13 100 F Street NE, Washington, DC 20549 17(d) 4 or Section 19(g)(2) 5 of the Act.
Eduardo A. Aleman, or send an email to: PRA_Mailbox@ Without this relief, the statutory
Assistant Secretary. sec.gov. Comments must be submitted to obligation of each individual SRO could
[FR Doc. 2018–13615 Filed 6–25–18; 8:45 am] OMB within 30 days of this notice. result in a pattern of multiple
BILLING CODE 8011–01–P Dated: June 21, 2018. examinations of broker-dealers that
maintain memberships in more than one
Eduardo A. Aleman,
SRO (‘‘common members’’). Such
SECURITIES AND EXCHANGE Assistant Secretary.
regulatory duplication would add
COMMISSION [FR Doc. 2018–13686 Filed 6–25–18; 8:45 am] unnecessary expenses for common
BILLING CODE 8011–01–P members and their SROs.
Submission for OMB Review; Section 17(d)(1) of the Act 6 was
Comment Request intended, in part, to eliminate
SECURITIES AND EXCHANGE unnecessary multiple examinations and
Upon Written Request Copies Available COMMISSION
From: Securities and Exchange regulatory duplication.7 With respect to
Commission, Office of FOIA Services, [Release No. 34–83477; File No. 4–709] a common member, Section 17(d)(1)
100 F Street NE, Washington, DC authorizes the Commission, by rule or
20549–2736 Program for Allocation of Regulatory order, to relieve an SRO of the
Responsibilities Pursuant to Rule 17d– responsibility to receive regulatory
Extension: reports, to examine for and enforce
Form F–X, SEC File No. 270–336, OMB
2; Notice of Filing and Order
Control No. 3235–0379 Approving and Declaring Effective an compliance with applicable statutes,
Amended Plan for the Allocation of rules, and regulations, or to perform
Notice is hereby given that, pursuant Regulatory Responsibilities Between other specified regulatory functions.
to the Paperwork Reduction Act of 1995 the Financial Industry Regulatory To implement Section 17(d)(1), the
(44 U.S.C. 3501 et seq.), the Securities Authority, Inc. and BOX Options Commission adopted two rules: Rule
and Exchange Commission Exchange LLC 17d–1 and Rule 17d–2 under the Act.8
(‘‘Commission’’) has submitted to the Rule 17d–1 authorizes the Commission
Office of Management and Budget this June 20, 2018. to name a single SRO as the designated
request for extension of the previously Notice is hereby given that the examining authority (‘‘DEA’’) to
approved collection of information Securities and Exchange Commission examine common members for
discussed below. (‘‘Commission’’) has issued an Order, compliance with the financial
Form F–X (17 CFR 239.42) is used to pursuant to Section 17(d) of the responsibility requirements imposed by
appoint an agent for service of process Securities Exchange Act of 1934 the Act, or by Commission or SRO
by Canadian issuers registering (‘‘Act’’),1 approving and declaring rules.9 When an SRO has been named as
securities on Forms F–7, F–8, F–9 or F– effective an amendment to the plan for a common member’s DEA, all other
10 under the Securities Act of 1933 (15 allocating regulatory responsibility SROs to which the common member
U.S.C. 77a et seq.), or filing periodic (‘‘Plan’’) filed on June 13, 2018, belongs are relieved of the responsibility
reports on Form 40–F under the pursuant to Rule 17d–2 of the Act,2 by to examine the firm for compliance with
Exchange Act of 1934 (15 U.S.C. 78a et the Financial Industry Regulatory the applicable financial responsibility
seq.). The information collected must be Authority, Inc. (‘‘FINRA’’) and BOX rules. On its face, Rule 17d–1 deals only
filed with the Commission and is Options Exchange LLC (‘‘BOX’’) with an SRO’s obligations to enforce
publicly available. We estimate it takes (collectively, ‘‘Participating member compliance with financial
approximately 2 hours per response to Organizations’’ or ‘‘parties’’). This responsibility requirements. Rule 17d–1
prepare Form F–X and the information agreement amends and restates the does not relieve an SRO from its
is filed by approximately 114 agreement entered into between FINRA obligation to examine a common
respondents for a total annual reporting and BOX on March 2, 2017, entitled member for compliance with its own
burden of 228 hours (2 hours per ‘‘Agreement Between Financial Industry rules and provisions of the federal
response × 114 responses). Regulatory Authority, Inc. and BOX securities laws governing matters other
An agency may not conduct or Options Exchange LLC Pursuant to Rule than financial responsibility, including
sponsor, and a person is not required to 17d–2 under the Securities Exchange sales practices and trading activities and
respond to, a collection of information Act of 1934,’’ and any subsequent practices.
unless it displays a currently valid amendments thereafter. To address regulatory duplication in
control number. these and other areas, the Commission
The public may view the background I. Introduction adopted Rule 17d–2 under the Act.10
documentation for this information Section 19(g)(1) of the Act,3 among Rule 17d–2 permits SROs to propose
collection at the following website, other things, requires every self-
www.reginfo.gov. Comments should be regulatory organization (‘‘SRO’’) 4 15 U.S.C. 78q(d).
5 15 U.S.C. 78s(g)(2).
directed to: (i) Desk Officer for the registered as either a national securities 6 15 U.S.C. 78q(d)(1).
Securities and Exchange Commission, exchange or national securities 7 See Securities Act Amendments of 1975, Report
Office of Information and Regulatory association to examine for, and enforce of the Senate Committee on Banking, Housing, and
sradovich on DSK3GMQ082PROD with NOTICES

Affairs, Office of Management and compliance by, its members and persons Urban Affairs to Accompany S. 249, S. Rep. No. 94–
Budget, Room 10102, New Executive associated with its members with the 75, 94th Cong., 1st Session 32 (1975).
Office Building, Washington, DC 20503, Act, the rules and regulations 8 17 CFR 240.17d–1 and 17 CFR 240.17d–2,

or by sending an email to: Shagufta_ respectively.
thereunder, and the SRO’s own rules, 9 See Securities Exchange Act Release No. 12352
Ahmed@omb.eop.gov; and (ii) Pamela (April 20, 1976), 41 FR 18808 (May 7, 1976).
Dyson, Director/Chief Information 1 15 U.S.C. 78q(d). 10 See Securities Exchange Act Release No. 12935
2 17 CFR 240.17d–2. (October 28, 1976), 41 FR 49091 (November 8,
13 17 CFR 200.30–3(a)(12). 3 15 U.S.C. 78s(g)(1). 1976).

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Document Created: 2018-06-26 00:51:48
Document Modified: 2018-06-26 00:51:48

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 29850