83 FR 31822 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 131 (July 9, 2018)

Page Range		31822-31823
FR Document		2018-14653

Federal Register, Volume 83 Issue 131 (Monday, July 9, 2018)

[Federal Register Volume 83, Number 131 (Monday, July 9, 2018)]
[Notices]
[Pages 31822-31823]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-14653]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services,

[[Page 31823]]

100 F Street NE, Washington, DC 20549-2736

Extension:
    Form 40-F, SEC File No. 270-335, OMB Control No. 3235-0381

    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 summarized below. The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget for extension and approval.
    Form 40-F (17 CFR 249.240f) is used by certain Canadian issuers to 
register a class of securities under Section 12 of the Securities 
Exchange Act of 1934 (``Exchange Act'') (15 U.S.C. 78l) or as an annual 
report pursuant to Section 13(a) or 15 (d) of the Exchange Act (15 
U.S.C. 78m(a) or 78o(d)). The information required in the Form 40-F is 
used by investors in making investment decisions with respect to the 
securities of such Canadian companies. We estimate that Form 40-F takes 
approximately 429.93 hours per response and is filed by approximately 
132 respondents. We estimate that 25% of the 429.93 hours per response 
(107.48 hours) is prepared by the issuer for a total reporting burden 
of 14,187 (107.48 hours per response x 132 responses).
    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 imposed by 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 unless it displays a 
currently valid control number.
    Please direct your written comment to Pamela Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Candace 
Kenner, 100 F Street NE, Washington, DC 20549 or send an email to: 
[email protected].

    Dated: July 3, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-14653 Filed 7-6-18; 8:45 am]
 BILLING CODE 8011-01-P

31822 Federal Register / Vol. 83, No. 131 / Monday, July 9, 2018 / Notices

changes are similar to certain rules of become a Member of the Exchange free • Send an email to rule-comments@
the NYSE.44 Thus, the Exchange of charge,48 or may alternatively enter sec.gov. Please include File Number SR–
believes there are no new inter-market into private arrangements to appoint IEX–2018–13 on the subject line.
competitive burdens imposed as a result any approved Exchange Member to
Paper Comments
of the proposed rule changes, which are perform the functions under Rule
designed to augment certain of the 11.280(h)(8) that are performed by the • Send paper comments in triplicate
Exchange’s automated and manual underwriter with respect to the IPO to Secretary, Securities and Exchange
processes governing IPO Auctions with Auction. Commission, 100 F Street NE,
certain manual IPO Auction processes Washington, DC 20549–1090.
C. Self-Regulatory Organization’s
utilized by the NYSE. To the contrary, All submissions should refer to File
Statement on Comments on the
the Exchange believes the proposed Number SR–IEX–2018–13. This file
Proposed Rule Change Received From
changes may serve as a catalyst for number should be included on the
Members, Participants, or Others
competition in the market for IPOs by subject line if email is used. To help the
providing underwriters a familiar tool Written comments were neither Commission process and review your
for managing the IPO auction process solicited nor received. comments more efficiently, please use
while simultaneously enhancing IPO III. Date of Effectiveness of the only one method. The Commission will
Auction transparency for market Proposed Rule Change and Timing for post all comments on the Commission’s
participants. Commission Action internet website (http://www.sec.gov/
In addition, the Exchange does not rules/sro.shtml). Copies of the
believe that the proposed changes will The Exchange has designated this rule submission, all subsequent
have any impact on intra-market filing as non-controversial under amendments, all written statements
competition. Specifically, as discussed Section 19(b)(3)(A) 49 of the Act and with respect to the proposed rule
above, the proposed changes are Rule 19b–4(f)(6) 50 thereunder. Because change that are filed with the
designed to increase transparency to the proposed rule change does not: (i) Commission, and all written
market participants regarding the Significantly affect the protection of communications relating to the
supply and demand for an IPO security investors or the public interest; (ii) proposed rule change between the
by requiring the underwriter to provide impose any significant burden on Commission and any person, other than
the Exchange with the proposed IPO competition; and (iii) become operative those that may be withheld from the
Price Band for broad publication. Broad for 30 days from the date on which it public in accordance with the
publication of the IPO Price Band and was filed, or such shorter time as the provisions of 5 U.S.C. 552, will be
the proposed integration with IEX Commission may designate, it has available for website viewing and
Auction Information is designed to become effective pursuant to Section printing in the Commission’s Public
enhance price discovery in the IPO 19(b)(3)(A) of the Act and Rule 19b- Reference Room, 100 F Street NE,
Auction process, to the benefit of all 4(f)(6) thereunder. Washington, DC 20549 on official
At any time within 60 days of the business days between the hours of
market participants, by providing
filing of the proposed rule change, the 10:00 a.m. and 3:00 p.m. Copies of such
information about Imbalance Shares and
Commission summarily may filing also will be available for
Paired Shares at a price that better
temporarily suspend such rule change if inspection and copying at the principal
reflects where the underwriter believes
it appears to the Commission that such office of the Exchange. All comments
the IPO Auction match is anticipated to
action is necessary or appropriate in the received will be posted without change.
occur, and thus inviting offsetting
public interest, for the protection of Persons submitting comments are
interest within such range. Moreover,
investors, or otherwise in furtherance of cautioned that we do not redact or edit
the Exchange notes that the proposed
the purposes of the Act. If the personal identifying information from
IPO Price Band will be disseminated via
Commission takes such action, the comment submissions. You should
IEX Auction Information, which is
Commission shall institute proceedings submit only information that you wish
available free of charge through the
under Section 19(b)(2)(B) 51 of the Act to to make available publicly. All
Exchange’s existing proprietary data
determine whether the proposed rule submissions should refer to File
feeds.45 Moreover, the proposed IPO
change should be approved or Number SR–IEX–2018–13, and should
Price Band will be disseminated via the
disapproved. be submitted on or before July 30, 2018.
SIP,46 which is a widely consumed data
product.47 Accordingly, the proposed IV. Solicitation of Comments For the Commission, by the Division of
changes would apply to all Members on Interested persons are invited to Trading and Markets, pursuant to delegated
a fair and equal basis, in that all market submit written data, views, and authority.52
participants have an equal opportunity arguments concerning the foregoing, Eduardo A. Aleman,
to consume IEX Auction Information including whether the proposed rule Assistant Secretary.
and/or SIP data. Accordingly, the change is consistent with the Act. [FR Doc. 2018–14546 Filed 7–6–18; 8:45 am]
Exchange believes there are no intra- Comments may be submitted by any of BILLING CODE P
market competitive burdens imposed as the following methods:
a result of the proposed rule changes.
Lastly, the Exchange believes that Electronic Comments SECURITIES AND EXCHANGE
proposed Supplemental Material .01 to • Use the Commission’s internet COMMISSION
Rule 11.280(h)(8) does not result in any comment form (http://www.sec.gov/
sradovich on DSK3GMQ082PROD with NOTICES

undue burden on competition, as any rules/sro.shtml); or Proposed Collection; Comment
qualified market participant may Request
48 See the IEX Fee Schedule, which currently
44 See supra notes 11, 27–30. provides for free Membership on the Exchange,
Upon Written Request Copies Available
45 See Rule 11.330. available at https://iextrading.com/trading/fees/. From: Securities and Exchange
46 See supra note 9 [sic]. 49 15 U.S.C. 78s(b)(3)(A). Commission, Office of FOIA Services,
47 See, e.g., CTA SIP Tape A & B subscriber/ 50 17 CFR 240.19b–4(f)(6).

household metrics. 51 15 U.S.C. 78s(b)(2)(B). 52 17 CFR 200.30–3(a)(12).

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Federal Register / Vol. 83, No. 131 / Monday, July 9, 2018 / Notices 31823

100 F Street NE, Washington, DC Dated: July 3, 2018. A. Self-Regulatory Organization’s
20549–2736 Eduardo A. Aleman, Statement of the Purpose of, and
Extension: Assistant Secretary. Statutory Basis for, the Proposed Rule
Form 40–F, SEC File No. 270–335, OMB [FR Doc. 2018–14653 Filed 7–6–18; 8:45 am] Change
Control No. 3235–0381 BILLING CODE 8011–01–P
1. Purpose
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995 The Exchange proposes to amend its
SECURITIES AND EXCHANGE Fees Schedule, effective July 2, 2018.
(44 U.S.C. 3501 et seq.), the Securities COMMISSION
and Exchange Commission Particularly, the Exchange is proposing
(‘‘Commission’’) is soliciting comments [Release No. 34–83584; File No. SR–CBOE– to adopt a customer transaction fee for
on the collection of information 2018–049] MSCI EAFE Index (MXEA) options and
summarized below. The Commission MSCI Emerging Markets Index (MXEF)
Self-Regulatory Organizations; Cboe options (‘‘MSCI Options’’). Currently,
plans to submit this existing collection
Exchange, Inc.; Notice of Filing and the Exchange does not assess any
of information to the Office of
Immediate Effectiveness of a Proposed customer transaction fees for MSCI
Management and Budget for extension
Rule Change To Amend Its Fees options. The Exchange is proposing to
and approval.
Schedule Concerning MSCI EAFE adopt a $0.25 per contract fee for
Form 40–F (17 CFR 249.240f) is used Index Options and MSCI Emerging
by certain Canadian issuers to register a customer transaction fees for
Markets Index Options transactions in MSCI Options. The
class of securities under Section 12 of
the Securities Exchange Act of 1934 July 2, 2018. Exchange notes that the proposed fee
(‘‘Exchange Act’’) (15 U.S.C. 78l) or as Pursuant to Section 19(b)(1) of the amount is in line with customer
an annual report pursuant to Section Securities Exchange Act of 1934 (the transaction fees assessed on other index
13(a) or 15 (d) of the Exchange Act (15 ‘‘Act’’),1 and Rule 19b–4 thereunder,2 products.3
U.S.C. 78m(a) or 78o(d)). The notice is hereby given that on July 2, 2. Statutory Basis
information required in the Form 40–F 2018, Cboe Exchange, Inc. (the
is used by investors in making ‘‘Exchange’’ or ‘‘Cboe Options’’) filed The Exchange believes the proposed
investment decisions with respect to the with the Securities and Exchange rule change is consistent with the
securities of such Canadian companies. Commission (the ‘‘Commission’’) the Securities Exchange Act of 1934 (the
We estimate that Form 40–F takes proposed rule change as described in ‘‘Act’’) and the rules and regulations
approximately 429.93 hours per Items I, II, and III below, which Items thereunder applicable to the Exchange
response and is filed by approximately have been prepared by the Exchange. and, in particular, the requirements of
132 respondents. We estimate that 25% The Commission is publishing this Section 6(b) of the Act.4 Specifically,
of the 429.93 hours per response (107.48 notice to solicit comments on the the Exchange believes the proposed rule
hours) is prepared by the issuer for a proposed rule change from interested change is consistent with Section 6(b)(4)
total reporting burden of 14,187 (107.48 persons. of the Act,5 which provides that
hours per response × 132 responses). Exchange rules may provide for the
I. Self-Regulatory Organization’s
Written comments are invited on: (a) Statement of the Terms of Substance of equitable allocation of reasonable dues,
Whether the proposed collection of the Proposed Rule Change fees, and other charges among its
information is necessary for the proper Trading Permit Holders and other
performance of the functions of the The Exchange proposes to amend its persons using its facilities.
agency, including whether the Fees Schedule. The text of the proposed
rule change is available on the In particular, the proposed change is
information will have practical utility; reasonable because the proposed fee
(b) the accuracy of the agency’s estimate Exchange’s website (http://
www.cboe.com/AboutCBOE/CBOELegal amount is within the range of amounts
of the burden imposed by the collection assessed on other index products (e.g.,
of information; (c) ways to enhance the RegulatoryHome.aspx), at the
Exchange’s Office of the Secretary, and OEX Weeklys, XEO Weeklys and Sector
quality, utility, and clarity of the Indexes).6 The proposed change to the
information collected; and (d) ways to at the Commission’s Public Reference
Room. customer MSCI options transaction fees
minimize the burden of the collection of is equitable and not unfairly
information on respondents, including II. Self-Regulatory Organization’s discriminatory because it applies
through the use of automated collection Statement of the Purpose of, and uniformly to all customer transactions
techniques or other forms of information Statutory Basis for, the Proposed Rule in MSCI options. The Exchange also
technology. Consideration will be given Change believes it’s reasonable, equitable and
to comments and suggestions submitted In its filing with the Commission, the not unfairly discriminatory that the
in writing within 60 days of this Exchange included statements proposed fee amount is still less than
publication. concerning the purpose of and basis for the amount assessed for MSCI options
An agency may not conduct or the proposed rule change and discussed for other market participants because
sponsor, and a person is not required to any comments it received on the Customer order flow enhances liquidity
respond to, a collection of information proposed rule change. The text of these on the Exchange for the benefit of all
unless it displays a currently valid statements may be examined at the market participants.
control number.
sradovich on DSK3GMQ082PROD with NOTICES

places specified in Item IV below. The
Please direct your written comment to Exchange has prepared summaries, set 3 See Cboe Options Fees Schedule, Index Options

Pamela Dyson, Director/Chief forth in Sections A, B, and C below, of Rate Table and Specified Proprietary Index Options
Information Officer, Securities and Rate Table.
the most significant aspects of such 4 15 U.S.C. 78f(b).
Exchange Commission, c/o Candace statements. 5 15 U.S.C. 78f(b)(4).
Kenner, 100 F Street NE, Washington, 6 See Cboe Options Fees Schedule, Specified
DC 20549 or send an email to: PRA_ 1 15 U.S.C. 78s(b)(1). Proprietary Index Options Rate Table—Underlying
Mailbox@sec.gov. 2 17 CFR 240.19b–4. Symbol List A and Sector Indexes.

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Document Created: 2018-07-07 00:42:50
Document Modified: 2018-07-07 00:42:50

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 31822