Submission for OMB Review; Comment Request, 3427 [2014-00989]

Download as PDF Federal Register / Vol. 79, No. 13 / Tuesday, January 21, 2014 / Notices SECURITIES AND EXCHANGE COMMISSION sec.gov. Comments must be submitted within 30 days of this notice. Submission for OMB Review; Comment Request Dated: January 14, 2014. Kevin M. O’Neill, Deputy Secretary. Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. tkelley on DSK3SPTVN1PROD with NOTICES Extension: Rule 103; SEC File No. 270–410, OMB Control No. 3235–0466 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 Rule 103 of Regulation M (17 CFR 242.103), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 103 permits passive marketmaking in Nasdaq securities during a distribution. A distribution participant that seeks use of this exception would be required to disclose to third parties its intention to engage in passive market making. There are approximately 255 respondents per year that require an aggregate total of 255 hours to comply with this rule. Each respondent makes an estimated 1 response annually. Each response takes approximately 1 hour to complete. Thus, the total hourly burden per year is 255 hours. The total estimated internal labor cost of compliance for the respondents is approximately $16,065.00, resulting in an estimated internal labor cost of compliance per response of approximately $63.00 (i.e., $16,065.00/ 255 responses). An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information 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, c/o Remi Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or by sending an email to: PRA_Mailbox@ VerDate Mar<15>2010 16:42 Jan 17, 2014 Jkt 232001 [FR Doc. 2014–00989 Filed 1–17–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–408, OMB Control No. 3235–0464] 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: Rule 101. 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 Rule 101 of Regulation M (17 CFR 242.101), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 101 prohibits distribution participants from purchasing activities at specified times during a distribution of securities. Persons otherwise covered by this rule may seek to use several applicable exceptions such as a calculation of the average daily trading volume of the securities in distribution, the maintenance of policies regarding information barriers between their affiliates, and the maintenance of a written policy regarding general compliance with Regulation M for de minimus transactions. There are approximately 1762 respondents per year that require an aggregate total of 34,525 hours to comply with this rule. Each respondent makes an estimated 1 annual response. Each response takes on average approximately 19.594 hours to complete. Thus, the total compliance burden per year is 34,525 burden hours. The total estimated internal labor compliance cost for the respondents is approximately $2,175,075.00, resulting in a cost of compliance for each respondent per response of approximately $1234.435 (i.e., $2,175,075.00/1762 responses). An agency may not conduct or sponsor, and a person is not required to PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 3427 respond to, a collection of information under the PRA unless it displays a currently valid OMB control number. The public may view the 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, c/o Remi Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or by sending an email to: PRA_Mailbox@ sec.gov. Comments must be submitted within 30 days of this notice. Dated: January 14, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–00987 Filed 1–17–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–71296; File No. SR–Topaz– 2014–02] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Billing Dispute Practice January 14, 2014. 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 January 8, 2014, the Topaz Exchange, LLC (d/b/ a ISE Gemini) (the ‘‘Exchange’’ or ‘‘Topaz’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which items have been prepared by the selfregulatory 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 Topaz is proposing to amend its Schedule of Fees to establish a billing practice with respect to billing disputes. The text of the proposed rule change is available on the Exchange’s Web site at https://www.ise.com, at the principal 1 15 2 17 E:\FR\FM\21JAN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 21JAN1

Agencies

[Federal Register Volume 79, Number 13 (Tuesday, January 21, 2014)]
[Notices]
[Page 3427]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-00989]



[[Page 3427]]

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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: Rule 103; SEC File No. 270-410, OMB Control No. 3235-0466

    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 Rule 103 
of Regulation M (17 CFR 242.103), under the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.).
    Rule 103 permits passive market-making in Nasdaq securities during 
a distribution. A distribution participant that seeks use of this 
exception would be required to disclose to third parties its intention 
to engage in passive market making.
    There are approximately 255 respondents per year that require an 
aggregate total of 255 hours to comply with this rule. Each respondent 
makes an estimated 1 response annually. Each response takes 
approximately 1 hour to complete. Thus, the total hourly burden per 
year is 255 hours. The total estimated internal labor cost of 
compliance for the respondents is approximately $16,065.00, resulting 
in an estimated internal labor cost of compliance per response of 
approximately $63.00 (i.e., $16,065.00/255 responses).
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information 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, c/o Remi Pavlik-Simon, 100 F Street NE., Washington, DC 20549 
or by sending an email to: PRA_Mailbox@sec.gov. Comments must be 
submitted within 30 days of this notice.

    Dated: January 14, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-00989 Filed 1-17-14; 8:45 am]
BILLING CODE 8011-01-P
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