Proposed Collection; Comment Request, 18377 [2013-06885]
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Federal Register / Vol. 78, No. 58 / Tuesday, March 26, 2013 / Notices
furnished appropriate notice to the
Commission. Information concerning
eligibility for the promotional rates is
available on the Postal Regulatory
Commission’s Web site, www.prc.gov by
following the links to Docket No.
CP2013–54.
Stanley F. Mires,
Attorney, Legal Policy & Legislative Advice.
[FR Doc. 2013–06906 Filed 3–25–13; 8:45 am]
BILLING CODE 7710–12–P
SECURITIES AND EXCHANGE
COMMISSION
srobinson on DSK4SPTVN1PROD with NOTICES
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Rule 19b–4(e) and Form 19b–4(e),
SEC File No. 270–447, OMB Control
No. 3235–0504.
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 existing collection of information
provided for in Rule 19b–4(e) (17 CFR
240.19b–4(e)) under the Securities
Exchange Act of 1934 (15 U.S.C 78a et
seq.) (the ‘‘Act’’). The Commission plans
to submit this existing collection of
information to the Office of
Management and Budget for extension
and approval.
Rule 19b–4(e) permits a selfregulatory organization (‘‘SRO’’) to list
and trade a new derivative securities
product without submitting a proposed
rule change pursuant to Section 19(b) of
the Act (15 U.S.C. 78s(b)), so long as
such product meets the criteria of Rule
19b–4(e) under the Act. However, in
order for the Commission to maintain an
accurate record of all new derivative
securities products traded on the SROs,
Rule 19b–4(e) requires an SRO to file a
summary form, Form 19b–4(e), to notify
the Commission when the SRO begins
trading a new derivative securities
product that is not required to be
submitted as a proposed rule change to
the Commission. Form 19b–4(e) should
be submitted within five business days
after an SRO begins trading a new
derivative securities product that is not
required to be submitted as a proposed
rule change. In addition, Rule 19b–4(e)
requires an SRO to maintain, on-site, a
copy of Form 19b–4(e) for a prescribed
period of time.
VerDate Mar<15>2010
19:07 Mar 25, 2013
Jkt 229001
This collection of information is
designed to allow the Commission to
maintain an accurate record of all new
derivative securities products traded on
the SROs that are not deemed to be
proposed rule changes and to determine
whether an SRO has properly availed
itself of the permission granted by Rule
19b–4(e). The Commission reviews SRO
compliance with Rule 19b–4(e) through
its routine inspections of the SROs.
The respondents to the collection of
information are SROs (as defined by the
Act), all of which are national securities
exchanges. As of March 2013, there are
seventeen entities registered as national
securities exchanges with the
Commission. The Commission receives
an average total of 3,879 responses per
year, which corresponds to an estimated
annual response burden of 3,879 hours.
At an average hourly cost of $63, the
aggregate related cost of compliance
with Rule 19b–4(e) is $244,377 (3,879
burden hours multiplied by $63/hour).
Compliance with Rule 19b–4(e) is
mandatory. Information received in
response to Rule 19b–4(e) shall not be
kept confidential; the information
collected is public information.
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 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.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid Office of Management and
Budget (OMB) control number.
Please direct your written comments
to: Thomas Bayer, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way,
Alexandria, Virginia 22312 or send an
email to: PRA_Mailbox@sec.gov.
PO 00000
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Fmt 4703
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18377
Dated: March 21, 2013.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–06885 Filed 3–25–13; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–69183; File No. SR–NSX–
2013–02]
Self-Regulatory Organizations;
National Stock Exchange, Inc.; Notice
of Designation of a Longer Period for
Commission Action on Proposed Rule
Change To Adopt a New Order Type
Called the ‘‘Auto-Ex Only’’ Order
March 19, 2013.
On January 23, 2013, National Stock
Exchange, Inc. (‘‘NSX’’ or ‘‘Exchange’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’) 1 and Rule
19b–4 thereunder,2 a proposed rule
change to adopt a new order type called
the ‘‘Auto-Ex Only’’ Order. The
proposed rule change was published for
comment in the Federal Register on
February 7, 2013.3 The Commission
received two comment letters on this
proposal.4 On March 14, 2013, NSX
submitted a response to the comment
letters.5
Section 19(b)(2) of the Act 6 provides
that within 45 days of the publication of
notice of the filing of a proposed rule
change, or within such longer period up
to 90 days as the Commission may
designate if it finds such longer period
to be appropriate and publishes its
reasons for so finding or as to which the
self-regulatory organization consents,
the Commission shall either approve the
proposed rule change, disapprove the
proposed rule change, or institute
proceedings to determine whether the
proposed rule change should be
disapproved. The 45th day for this filing
is March 24, 2013. The Commission is
extending this 45-day time period.
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 68807
(February 1, 2013), 78 FR 9094.
4 See letters to Elizabeth M. Murphy, Secretary,
Commission, from Peter J. Driscoll, Investment
Professional, dated February 14, 2013; and
Theodore R. Lazo, Managing Director and Associate
General Counsel, Securities Industry and Financial
Markets Association, dated March 6, 2013
(collectively ‘‘Comment Letters’’).
5 See letter to Elizabeth M. Murphy, Secretary,
Commission, from Christopher Solgan, Senior
Regulatory Counsel, NSX, dated March 14, 2013
(‘‘Response’’).
6 15 U.S.C. 78s(b)(2).
2 17
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[Federal Register Volume 78, Number 58 (Tuesday, March 26, 2013)]
[Notices]
[Page 18377]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-06885]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Rule 19b-4(e) and Form 19b-4(e), SEC File No. 270-447, OMB Control
No. 3235-0504.
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 existing collection of
information provided for in Rule 19b-4(e) (17 CFR 240.19b-4(e)) under
the Securities Exchange Act of 1934 (15 U.S.C 78a et seq.) (the
``Act''). The Commission plans to submit this existing collection of
information to the Office of Management and Budget for extension and
approval.
Rule 19b-4(e) permits a self-regulatory organization (``SRO'') to
list and trade a new derivative securities product without submitting a
proposed rule change pursuant to Section 19(b) of the Act (15 U.S.C.
78s(b)), so long as such product meets the criteria of Rule 19b-4(e)
under the Act. However, in order for the Commission to maintain an
accurate record of all new derivative securities products traded on the
SROs, Rule 19b-4(e) requires an SRO to file a summary form, Form 19b-
4(e), to notify the Commission when the SRO begins trading a new
derivative securities product that is not required to be submitted as a
proposed rule change to the Commission. Form 19b-4(e) should be
submitted within five business days after an SRO begins trading a new
derivative securities product that is not required to be submitted as a
proposed rule change. In addition, Rule 19b-4(e) requires an SRO to
maintain, on-site, a copy of Form 19b-4(e) for a prescribed period of
time.
This collection of information is designed to allow the Commission
to maintain an accurate record of all new derivative securities
products traded on the SROs that are not deemed to be proposed rule
changes and to determine whether an SRO has properly availed itself of
the permission granted by Rule 19b-4(e). The Commission reviews SRO
compliance with Rule 19b-4(e) through its routine inspections of the
SROs.
The respondents to the collection of information are SROs (as
defined by the Act), all of which are national securities exchanges. As
of March 2013, there are seventeen entities registered as national
securities exchanges with the Commission. The Commission receives an
average total of 3,879 responses per year, which corresponds to an
estimated annual response burden of 3,879 hours. At an average hourly
cost of $63, the aggregate related cost of compliance with Rule 19b-
4(e) is $244,377 (3,879 burden hours multiplied by $63/hour).
Compliance with Rule 19b-4(e) is mandatory. Information received in
response to Rule 19b-4(e) shall not be kept confidential; the
information collected is public information.
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 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.
The Commission may not conduct or sponsor a collection of
information unless it displays a currently valid control number. No
person shall be subject to any penalty for failing to comply with a
collection of information subject to the PRA that does not display a
valid Office of Management and Budget (OMB) control number.
Please direct your written comments to: Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312 or
send an email to: PRA_Mailbox@sec.gov.
Dated: March 21, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-06885 Filed 3-25-13; 8:45 am]
BILLING CODE 8011-01-P
