83 FR 60526 - Proposed Collection; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 227 (November 26, 2018)
Federal Register Volume 83, Issue 227 (November 26, 2018)
| Page Range | 60526-60527 | |
| FR Document | 2018-25689 |
[Federal Register Volume 83, Number 227 (Monday, November 26, 2018)] [Notices] [Pages 60526-60527] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-25689] ----------------------------------------------------------------------- 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: Form T-2 SEC File No. 270-122, OMB Control No. 3235-0111 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 T-2 (17 CFR 269.2) is a statement of eligibility of an individual trustee under the Trust Indenture Act of 1939. The information is used to determine whether the individual is qualified to serve as a trustee under the indenture. Form T-2 takes approximately 9 hours per response to prepare and is filed by 9 respondents. We estimate that 25% of the 9 burden hours (2 hours per responses) is prepared by the filer for a total reporting burden of 18 hours (2 hours per response x 9 responses). Written comments are invited on: (a) Whether this proposed collection of information is necessary for the 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 Charles Riddle, Acting Director/Chief Information Officer, Securities and Exchange Commission, c/o Candace Kenner, 100 F Street NE, Washington, [[Page 60527]] DC 20549 or send an email to: PRA_Mailbox@sec.gov. Dated: November 20, 2018. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-25689 Filed 11-23-18; 8:45 am] BILLING CODE 8011-01-P
![60526 Federal Register / Vol. 83, No. 227 / Monday, November 26, 2018 / Notices
Paper Comments Extension: Form 18 SEC File No. 270–105, SECURITIES AND EXCHANGE
OMB Control No. 3235–0121. COMMISSION
• Send paper comments in triplicate
to Brent J. Fields, Secretary, Securities Notice is hereby given that, pursuant Proposed Collection; Comment
and Exchange Commission, 100 F Street to the Paperwork Reduction Act of 1995 Request
NE, Washington, DC 20549–1090. (44 U.S.C. 3501 et seq.), the Securities
All submissions should refer to File and Exchange Commission Upon Written Request Copies Available
Number SR–NASDAQ–2018–092. This (‘‘Commission’’) is soliciting comments From: Securities and Exchange
file number should be included on the on the collection of information Commission, Office of FOIA Services,
subject line if email is used. To help the summarized below. The Commission 100 F Street NE, Washington, DC
Commission process and review your plans to submit this existing collection 20549–2736
comments more efficiently, please use of information to the Office of Extension:
only one method. The Commission will Management and Budget for extension Form T–2 SEC File No. 270–122, OMB
post all comments on the Commission’s and approval. Control No. 3235–0111
internet website (http://www.sec.gov/
Form 18 (17 CFR 249.218) is a Notice is hereby given that, pursuant
rules/sro.shtml). Copies of the
registration form used by a foreign to the Paperwork Reduction Act of 1995
submission, all subsequent
government or political subdivision to (44 U.S.C. 3501 et seq.), the Securities
amendments, all written statements
register securities for listing on a U.S. and Exchange Commission
with respect to the proposed rule
exchange. The information collected is (‘‘Commission’’) is soliciting comments
change that are filed with the
intended to ensure that the information on the collection of information
Commission, and all written
required by the Commission to be filed summarized below. The Commission
communications relating to the
permits verification of compliance with plans to submit this existing collection
proposed rule change between the
securities law requirements and assures of information to the Office of
Commission and any person, other than
the public availability of the Management and Budget for extension
those that may be withheld from the
information. Form 18 takes and approval.
public in accordance with the
provisions of 5 U.S.C. 552, will be approximately 8 hours per response and Form T–2 (17 CFR 269.2) is a
available for website viewing and statement of eligibility of an individual
is filed by approximately 5 respondents
printing in the Commission’s Public trustee under the Trust Indenture Act of
for a total of 40 annual burden hours (8
Reference Room, 100 F Street NE, 1939. The information is used to
hours per response x 5 responses).
Washington, DC 20549 on official determine whether the individual is
Written comments are invited on: (a) qualified to serve as a trustee under the
business days between the hours of Whether this proposed collection of
10:00 a.m. and 3:00 p.m. Copies of such indenture. Form T–2 takes
information is necessary for the proper approximately 9 hours per response to
filing also will be available for
performance of the functions of the prepare and is filed by 9 respondents.
inspection and copying at the principal
agency, including whether the We estimate that 25% of the 9 burden
office of the Exchange. All comments
information will have practical utility; hours (2 hours per responses) is
received will be posted without change.
Persons submitting comments are (b) the accuracy of the agency’s estimate prepared by the filer for a total reporting
cautioned that we do not redact or edit of the burden imposed by the collection burden of 18 hours (2 hours per
personal identifying information from of information; (c) ways to enhance the response × 9 responses).
comment submissions. You should quality, utility, and clarity of the Written comments are invited on: (a)
submit only information that you wish information collected; and (d) ways to Whether this proposed collection of
to make available publicly. All minimize the burden of the collections information is necessary for the
submissions should refer to File of information on respondents, performance of the functions of the
Number SR–NASDAQ–2018–092, and including through the use of automated agency, including whether the
should be submitted on or before collection techniques or other forms of information will have practical utility;
December 17, 2018. information technology. Consideration (b) the accuracy of the agency’s estimate
will be given to comments and of the burden imposed by the collection
For the Commission, by the Division of of information; (c) ways to enhance the
Trading and Markets, pursuant to delegated
suggestions submitted in writing within
60 days of this publication. quality, utility, and clarity of the
authority.20
information collected; and (d) ways to
Eduardo A. Aleman, An agency may not conduct or
minimize the burden of the collection of
Assistant Secretary. sponsor, and a person is not required to
information on respondents, including
[FR Doc. 2018–25736 Filed 11–23–18; 8:45 am] respond to, a collection of information
through the use of automated collection
BILLING CODE 8011–01–P
unless it displays a currently valid techniques or other forms of information
control number. technology. Consideration will be given
Please direct your written comments to comments and suggestions submitted
SECURITIES AND EXCHANGE to Charles Riddle, Acting Director/Chief in writing within 60 days of this
COMMISSION Information Officer, Securities and publication.
Exchange Commission, c/o Candace An agency may not conduct or
Proposed Collection; Comment
Kenner, 100 F Street, NE, Washington, sponsor, and a person is not required to
Request
DC 20549 or send an email to: PRA_ respond to, a collection of information
Upon Written Request Copies Available Mailbox@sec.gov. unless it displays a currently valid
From: Securities and Exchange Dated: November 20, 2018. control number.
Commission, Office of FOIA Services, Please direct your written comment to
Eduardo A. Aleman,
100 F Street NE, Washington, DC Charles Riddle, Acting Director/Chief
20549–2736 Assistant Secretary. Information Officer, Securities and
[FR Doc. 2018–25682 Filed 11–23–18; 8:45 am] Exchange Commission, c/o Candace
20 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P Kenner, 100 F Street NE, Washington,
VerDate Sep<11>2014 17:28 Nov 23, 2018 Jkt 247001 PO 00000 Frm 00136 Fmt 4703 Sfmt 4703 E:\FR\FM\26NON1.SGM 26NON1](https://thefederalregister.org/doc/83_FR_60753/page/1.svg)
![Federal Register / Vol. 83, No. 227 / Monday, November 26, 2018 / Notices 60527
DC 20549 or send an email to: PRA_ the most significant aspects of such At this time, the Exchange proposes to
Mailbox@sec.gov. statements. define an ‘‘account number’’ within
Dated: November 20, 2018. Chapter XV, Section 3 to mean a
A. Self-Regulatory Organization’s
Eduardo A. Aleman, number assigned to a Participant.
Statement of the Purpose of, and
Participants may have more than one
Assistant Secretary. Statutory Basis for, the Proposed Rule
account number. The term ‘‘mnemonic’’
[FR Doc. 2018–25689 Filed 11–23–18; 8:45 am] Change
has been used frequently throughout
BILLING CODE 8011–01–P
1. Purpose Chapter XV without being defined. The
Exchange proposes to remove the term
The purpose of the proposed rule
SECURITIES AND EXCHANGE ‘‘mnemonic’’ from Chapter XV, Section
change is to define ‘‘account number’’
COMMISSION 3 and replace the term with the defined
and utilize that term within Chapter XV,
term ‘‘account number’’ for FIX and the
[Release No. 34–84633; File No. SR– Sections 3 and 9. Each change will be
OTTO protocols. The Exchange notes
NASDAQ–2018–091] described in more detail below.
that the terms mnemonic and account
New Defined Term ‘‘Account’’ number were being used
Self-Regulatory Organizations; The
interchangeably. The Exchange recently
Nasdaq Stock Market LLC; Notice of The Exchange proposes to adopt a
defined both terms in its rules.4 The
Filing and Immediate Effectiveness of new definition within Chapter XV,
term account number is appropriate to
Proposed Rule Change To Amend The Section 3 and apply this definition
describe these fees. The Exchange is not
Nasdaq Options Market LLC (‘‘NOM’’) within Chapter XV, Sections 3 and 9.
amending the manner in which it
Fees The purpose of this defined new term
assesses those port fees, rather the
‘‘account number’’ is to conform the
November 20, 2018. Exchange simply proposes to utilize the
Exchange’s use of certain terms within
Pursuant to Section 19(b)(1) of the new term to better describe its current
NOM Rules. This term would be
Securities Exchange Act of 1934 pricing.
utilized in Chapter XV to describe the
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 Also, the Exchange proposes to
manner in which pricing is calculated.
notice is hereby given that on November remove the term ‘‘mnemonic’’ from the
Recently, the Nasdaq affiliated
9, 2018, The Nasdaq Stock Market LLC CTI Port Fee, FIX DROP Port Fee, OTTO
exchanges filed rule changes to conform
(‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the DROP Fee, ITTO Port Fee and Bono Port
the usage of various terms across its 6
Securities and Exchange Commission Fee. Today, these ports are assessed
affiliated options markets within the
(‘‘Commission’’) the proposed rule only one fee per port, per month and
various rulebooks.3 The Exchange
change as described in Items I, II, and therefore adding the term ‘‘per account
believes that utilizing the same defined
III, below, which Items have been number’’ would be redundant and
terms, where possible, across its 6
prepared by the Exchange. The unnecessary. These ports are associated
affiliated options markets will avoid
Commission is publishing this notice to with one account number. The
solicit comments on the proposed rule confusion for certain rules and pricing
Exchange is not proposing to amend the
change from interested persons. purposes. The term ‘‘account number’’
manner in which these ports are
can be defined identically across
I. Self-Regulatory Organization’s assessed, rather the Exchange proposes
Nasdaq’s 6 affiliated options markets for
Statement of the Terms of Substance of to eliminate the ‘‘per mnemonic’’
purposes of pricing ports. The Exchange
the Proposed Rule Change description. The Exchange believes that
is not amending the manner in which
the billing is clearly defined as ‘‘per
The Exchange proposes to amend The pricing will be applied with respect to
port, per month.’’
Nasdaq Options Market LLC (‘‘NOM’’) this particular change. The Exchange
Account number is also being defined
fees within Chapter XV, Section 3, titled proposes to utilize the defined term
in Section 9, ‘‘Account Fee—Options.’’
‘‘Nasdaq Options Market—Ports and ‘‘account number’’ in place of the term
The Exchange is not amending the
Other Services.’’ ‘‘mnemonic,’’ which was not defined in
manner in which this fee is billed,
The text of the proposed rule change the pricing rules. The insertion of the
rather the Exchange is defining the term
is available on the Exchange’s website at new defined term is intended to add
account number within Section 9. The
http://nasdaq.cchwallstreet.com/, at the more specificity and clarity to the
defined term account number will be
principal office of the Exchange, and at current pricing.
utilized consistently throughout the
the Commission’s Public Reference NOM pricing, where applicable.
Room. 3 NOM has filed to define the terms ‘‘account
number,’’ ‘‘badge’’ and ‘‘mnemonic’’ at Chapter I, 2. Statutory Basis
II. Self-Regulatory Organization’s Section 1(a)(69), (70) and (71) respectively. See SR–
Statement of the Purpose of, and NASDAQ–2018–085 (not yet published) [published The Exchange believes that its
Statutory Basis for, the Proposed Rule on November 16, 2018]. Nasdaq Phlx LLC has filed proposal is consistent with Section 6(b)
to define the terms ‘‘account number,’’ ‘‘badge’’ and of the Act,5 in general, and furthers the
Change ‘‘mnemonic’’ at Rule 1000(b)(51), (52) and (53)
In its filing with the Commission, the respectively. See SR–Phlx–2018–69 (not yet objectives of Sections 6(b)(4) and 6(b)(5)
Exchange included statements published). Nasdaq BX, Inc. has filed to define the of the Act,6 in particular, in that it
concerning the purpose of and basis for
terms ‘‘account number,’’ ‘‘badge’’ and ‘‘mnemonic’’ provides for the equitable allocation of
at Chapter I, Section 1(a)(70), (71) and (72) reasonable dues, fees and other charges
the proposed rule change and discussed respectively. See Securities Exchange Act Release
any comments it received on the No. 84520 (November 1, 2018) (SR–BX–2018–050)
4 A ‘‘mnemonic’’ is defined as an acronym
(not yet published) [published on November 7,
proposed rule change. The text of these 2018]. See also ISE Rule 100(a)(1), (5) and (34) comprised of letters and/or numbers assigned to
statements may be examined at the which defines the terms ‘‘account number,’’ Participants. A Participant account may be
places specified in Item IV below. The ‘‘badge’’ and ‘‘mnemonic,’’ respectively. See also associated with multiple mnemonics. See SR–
GEMX Rule 100(a)(1), (5) and (35) which defines NASDAQ–2018–085 (not yet published) [published
Exchange has prepared summaries, set on November 16, 2018]. Mnemonics are issued to
the terms ‘‘account number,’’ ‘‘badge’’ and
forth in sections A, B, and C below, of ‘‘mnemonic,’’ respectively. See also MRX Rule Participants to identify associated persons of
100(a)(1), (5) and (36) which defines the terms Participants.
1 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78f(b).
‘‘account number,’’ ‘‘badge’’ and ‘‘mnemonic,’’
2 17 CFR 240.19b 4. respectively. 6 15 U.S.C. 78f(b)(4) and (5).
VerDate Sep<11>2014 17:28 Nov 23, 2018 Jkt 247001 PO 00000 Frm 00137 Fmt 4703 Sfmt 4703 E:\FR\FM\26NON1.SGM 26NON1](https://thefederalregister.org/doc/83_FR_60753/page/2.svg)
Document Created: 2018-11-24 00:51:45
Document Modified: 2018-11-24 00:51:45
| 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 60526 |
2024 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR