Submission for OMB Review; Comment Request, 69713-69714 [2013-27762]

Download as PDF tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 224 / Wednesday, November 20, 2013 / Notices Details of these changes may be found in the attachment to Governors’ Decision No. 13–02 which is included as part of the Notice and contains proposed changes to the Mail Classification Schedule in legislative format. The Notice also includes three additional attachments: • A redacted table showing FY 2014 projected volumes, revenues, attributable costs, contribution, and cost coverage for each product, assuming implementation of the new prices on January 26, 2014. • A redacted table showing FY 2014 projected volumes, revenues, attributable costs, contribution, and cost coverage for each product, assuming a hypothetical implementation of the new prices on October 1, 2013. • An application for non-public treatment of the attributable costs, contribution, and cost coverage data in the unredacted version of the annex to Governors’ Decision No. 13–02, as well as the supporting materials for the data. The table referenced above shows that the share of institutional cost generated by competitive products, assuming implementation of new prices on January 26, 2014, is expected to be 15.9 percent. Notice. The Commission establishes Docket No. CP2014–5 to consider the Postal Service’s Notice. Interested persons may express views and offer comments on whether the planned changes are consistent with 39 U.S.C. 3632, 3633, 3642, 39 CFR part 3015, and 39 CFR 3020 subparts B and E. Comments are due no later than November 29, 2013. For specific details of the planned price and classification changes, interested persons are encouraged to review the Notice, which is available on the Commission’s Web site, www.prc.gov. Pursuant to 39 U.S.C. 505, Tracy N. Ferguson is appointed to serve as Public Representative to represent the interests of the general public in this docket. It is ordered: 1. The Commission establishes Docket No. CP2014–5 to provide interested persons an opportunity to express views and offer comments on whether the planned changes are consistent with 39 U.S.C. 3632, 3633, 3642, 39 CFR part 3015, and 39 CFR part 3020 subparts B and E. 2. Comments on the Notice are due no later than November 29, 2013. 3. The Commission appoints Tracy N. Ferguson to serve as Public Representative to represent the interests of the general public in this proceeding. VerDate Mar<15>2010 16:04 Nov 19, 2013 Jkt 232001 4. The Secretary shall arrange for publication of this order in the Federal Register. By the Commission. Ruth Ann Abrams, Acting Secretary. [FR Doc. 2013–27767 Filed 11–19–13; 8:45 am] BILLING CODE 7710–FW–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Rules 201 and 200(g) of Regulation SHO; SEC File No. 270–606, OMB Control No. 3235–0670. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of extension of the previously approved collection of information provided for in Rule 201 (17 CFR 242.201) and Rule 200(g) (17 CFR 242.200(g)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 201 is a short sale-related circuit breaker rule that, if triggered, imposes a restriction on the prices at which securities may be sold short. Rule 200(g) provides that a broker-dealer may mark certain qualifying sell orders ‘‘short exempt.’’ The information collected under Rule 201’s written policies and procedure requirement applicable to trading centers, the written policies and procedures requirement of the brokerdealer provision of Rule 201(c), the written policies and procedures requirement of the riskless principal provision of Rule 201(d)(6), and the ‘‘short exempt’’ marking requirement of Rule 200(g) enable the Commission and SROs to examine and monitor for compliance with the requirements of Rule 201 and Rule 200(g). In addition, the information collected under Rule 201’s written policies and procedure requirement applicable to trading centers help ensure that trading centers do not execute or display any impermissibly priced short sale orders, unless an order is marked ‘‘short exempt,’’ in accordance with the Rule’s requirements. Similarly, the information collected under the written policies and PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 69713 procedures requirement of the brokerdealer provision of Rule 201(c) and the riskless principal provision of Rule 201(d)(6) help to ensure that brokerdealers comply with the requirements of these provisions. The information collected pursuant to the new ‘‘short exempt’’ marking requirement of Rule 200(g) also provide an indication to a trading center when it must execute or display a short sale order without regard to whether the short sale order is at a price that is less than or equal to the current national best bid. It is estimated that SRO and non-SRO respondents registered with the Commission and subject to the collection of information requirements of Rules 201 and 200(g) incur an aggregate annual burden of 2,029,276 hours to comply with the Rules and an aggregate annual external cost of $65,928,700. Any records generated in connection with Rule 201’s requirements that trading centers and broker-dealers (with respect to the broker-dealer and riskless principal provisions) establish written policies and procedures must be preserved in accordance with, and for the periods specified in, Exchange Act Rules 17a–1 for SRO trading centers and 17a–4(e)(7) for non-SRO trading centers and registered broker-dealers. The amendments to Rule 200(g) and Rule 200(g)(2) do not contain any new record retention requirements. All registered broker-dealers that are subject to the amendments are currently required to retain records in accordance with Rule 17a–4(e)(7) under the Exchange Act. Compliance with Rule 201 and Rule 200(g) is mandatory. We expect that the information collected pursuant to Rule 201’s required policies and procedures for trading centers will be communicated to the members, subscribers, and employees (as applicable) of all trading centers. In addition, the information collected pursuant to Rule 201’s required policies and procedures for trading centers will be retained by the trading centers and will be available to the Commission and SRO examiners upon request, but not subject to public availability. The information collected pursuant to Rule 201’s broker-dealer provision and the riskless principal exception will be retained by the broker-dealers and will be available to the Commission and SRO examiners upon request, but not subject to public availability. The information collected pursuant to the ‘‘short exempt’’ marking requirements in Rule 200(g) and Rule 200(g)(2) will be submitted to trading centers and will be available to the Commission and SRO examiners upon request. The E:\FR\FM\20NON1.SGM 20NON1 69714 Federal Register / Vol. 78, No. 224 / Wednesday, November 20, 2013 / Notices information collected pursuant to the ‘‘short exempt’’ marking requirement may be publicly available because it may be published, in a form that would not identify individual broker-dealers, by SROs that publish on their Internet Web sites aggregate short selling volume data in each individual equity security for that day and, on a one-month delayed basis, information regarding individual short sale transactions in all exchange-listed equity securities. 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 OMB control number. The public may view background documentation for this information collection at the following Web site, 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: Shagufta_ Ahmed@omb.eop.gov; and (ii) Thomas Bayer, 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: PRA_Mailbox@ sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: November 14, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–27762 Filed 11–19–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, 100 F Street NE., Washington, DC 20549–0213. tkelley on DSK3SPTVN1PROD with NOTICES Extension: Regulation S–AM, SEC File No. 270–548, OMB Control No. 3235–0609. 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’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of extension of the previously approved collection of information provided for in Regulation S–AM (17 CFR Part 248, Subpart B), under the Fair Credit VerDate Mar<15>2010 16:04 Nov 19, 2013 Jkt 232001 Reporting Act (15 U.S.C. 1681 et seq.) (‘‘FCRA’’), the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.), the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.), and the Investment Advisers Act of 1940 (15 U.S.C. 80b–1 et seq.). Regulation S–AM implements the requirements of Section 624 of the FCRA (15 U.S.C. 1681s–3) as applied to brokers, dealers, and investment companies, as well as investment advisers and transfer agents that are registered with the Commission (collectively, ‘‘Covered Persons’’). Under Section 624 and the regulation, before a receiving affiliate may make marketing solicitations based on the communication of certain consumer financial information from a Covered Person, the Covered Person must provide a notice to each affected individual informing the individual of his or her right to prohibit such marketing. The regulation potentially applies to all of the approximately 19,856 Covered Persons registered with the Commission, although only approximately 11,119 of them have one or more corporate affiliates, and the regulation requires only approximately 1,986 to provide consumers with an affiliate marketing notice and an opt-out opportunity. The Commission staff estimates that there are approximately 11,119 Covered Persons having one or more affiliates, and that they each spend an average of 0.20 hours per year to review affiliate marketing practices, for, collectively, an estimated annual time burden of 2,224 hours at an annual internal staff cost of approximately $980,784. The staff also estimates that approximately 1,986 Covered Persons provide notice and optout opportunities to consumers, and that they each spend an average of 7.6 hours per year creating notices, providing notices and opt-out opportunities, monitoring the opt-out notice process, making and updating records of opt-out elections, and addressing consumer questions and concerns about opt-out notices, for, collectively, an estimated annual time burden of 15,094 hours at an annual internal staff cost of approximately $2,705,054. Thus, the staff estimates that the collection of information requires a total of approximately 11,119 respondents to incur an estimated annual time burden of a total of 17,318 hours at a total annual internal cost of compliance of approximately $3,339,438. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 under the PRA unless it displays a currently valid OMB control number. The public may view background documentation for this information collection at the following Web site: 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: Shagufta_ Ahmed@omb.eop.gov; and (ii) Thomas Bayer, 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: PRA_ Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: November 14, 2013. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–27763 Filed 11–19–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–70873; File No. SR–ISE– 2013–56] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees November 14, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on November 1, 2013, the International Securities Exchange, LLC (the ‘‘Exchange’’ or the ‘‘ISE’’) filed with the Securities and Exchange Commission the proposed rule change, as described in Items I and II below, which items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The ISE proposes to amend its Schedule of Fees. The text of the proposed rule change is available on the Exchange’s Web site (http:// 1 15 2 17 E:\FR\FM\20NON1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 20NON1

Agencies

[Federal Register Volume 78, Number 224 (Wednesday, November 20, 2013)]
[Notices]
[Pages 69713-69714]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-27762]


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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 Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Rules 201 and 200(g) of Regulation SHO; SEC File No. 270-606, 
OMB Control No. 3235-0670.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the 
previously approved collection of information provided for in Rule 201 
(17 CFR 242.201) and Rule 200(g) (17 CFR 242.200(g)) under the 
Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
    Rule 201 is a short sale-related circuit breaker rule that, if 
triggered, imposes a restriction on the prices at which securities may 
be sold short. Rule 200(g) provides that a broker-dealer may mark 
certain qualifying sell orders ``short exempt.'' The information 
collected under Rule 201's written policies and procedure requirement 
applicable to trading centers, the written policies and procedures 
requirement of the broker-dealer provision of Rule 201(c), the written 
policies and procedures requirement of the riskless principal provision 
of Rule 201(d)(6), and the ``short exempt'' marking requirement of Rule 
200(g) enable the Commission and SROs to examine and monitor for 
compliance with the requirements of Rule 201 and Rule 200(g).
    In addition, the information collected under Rule 201's written 
policies and procedure requirement applicable to trading centers help 
ensure that trading centers do not execute or display any impermissibly 
priced short sale orders, unless an order is marked ``short exempt,'' 
in accordance with the Rule's requirements. Similarly, the information 
collected under the written policies and procedures requirement of the 
broker-dealer provision of Rule 201(c) and the riskless principal 
provision of Rule 201(d)(6) help to ensure that broker-dealers comply 
with the requirements of these provisions. The information collected 
pursuant to the new ``short exempt'' marking requirement of Rule 200(g) 
also provide an indication to a trading center when it must execute or 
display a short sale order without regard to whether the short sale 
order is at a price that is less than or equal to the current national 
best bid.
    It is estimated that SRO and non-SRO respondents registered with 
the Commission and subject to the collection of information 
requirements of Rules 201 and 200(g) incur an aggregate annual burden 
of 2,029,276 hours to comply with the Rules and an aggregate annual 
external cost of $65,928,700.
    Any records generated in connection with Rule 201's requirements 
that trading centers and broker-dealers (with respect to the broker-
dealer and riskless principal provisions) establish written policies 
and procedures must be preserved in accordance with, and for the 
periods specified in, Exchange Act Rules 17a-1 for SRO trading centers 
and 17a-4(e)(7) for non-SRO trading centers and registered broker-
dealers. The amendments to Rule 200(g) and Rule 200(g)(2) do not 
contain any new record retention requirements. All registered broker-
dealers that are subject to the amendments are currently required to 
retain records in accordance with Rule 17a-4(e)(7) under the Exchange 
Act.
    Compliance with Rule 201 and Rule 200(g) is mandatory. We expect 
that the information collected pursuant to Rule 201's required policies 
and procedures for trading centers will be communicated to the members, 
subscribers, and employees (as applicable) of all trading centers. In 
addition, the information collected pursuant to Rule 201's required 
policies and procedures for trading centers will be retained by the 
trading centers and will be available to the Commission and SRO 
examiners upon request, but not subject to public availability. The 
information collected pursuant to Rule 201's broker-dealer provision 
and the riskless principal exception will be retained by the broker-
dealers and will be available to the Commission and SRO examiners upon 
request, but not subject to public availability. The information 
collected pursuant to the ``short exempt'' marking requirements in Rule 
200(g) and Rule 200(g)(2) will be submitted to trading centers and will 
be available to the Commission and SRO examiners upon request. The

[[Page 69714]]

information collected pursuant to the ``short exempt'' marking 
requirement may be publicly available because it may be published, in a 
form that would not identify individual broker-dealers, by SROs that 
publish on their Internet Web sites aggregate short selling volume data 
in each individual equity security for that day and, on a one-month 
delayed basis, information regarding individual short sale transactions 
in all exchange-listed equity securities.
    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 OMB control number.
    The public may view background documentation for this information 
collection at the following Web site, 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: Shagufta_Ahmed@omb.eop.gov; and (ii) Thomas Bayer, 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: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of 
this notice.

    Dated: November 14, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-27762 Filed 11-19-13; 8:45 am]
BILLING CODE 8011-01-P