Submission for OMB Review; Comment Request, 67826-67827 [2015-27906]

Download as PDF 67826 Federal Register / Vol. 80, No. 212 / Tuesday, November 3, 2015 / Notices filing also will be available for inspection and copying at the principal offices of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–NYSE– 2015–49, and should be submitted on or before November 24, 2015. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.23 Robert W. Errett, Deputy Secretary. [FR Doc. 2015–27911 Filed 11–2–15; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request Copies Available From: U.S. Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549–2736. Reinstatement: Rule 19h–1; SEC File No. 270–247; OMB Control No. 3235–0259. Notice by a Self-Regulatory Organization of Proposed Admission to or Continuance in Membership or Participation or Association With a Member of Any Person Subject to a Statutory Disqualification, and Applications to the Commission for Relief Therefrom 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 proposed request for reinstatement, with change, of a previously approved collection for which approval has expired—Rule 19h– 1, Notice by a Self-Regulatory Organization of Proposed Admission to or Continuance in Membership or Participation or Association With a Member of Any Person Subject to a Statutory Disqualification, and Applications to the Commission for Relief Therefrom (17 CFR 240.19h–1). The Commission plans to submit this request for reinstatement to the Office of Management and Budget (‘‘OMB’’) for approval. Rule 19h–1 (‘‘Rule’’) under the Securities Exchange Act of 1934 (the ‘‘Exchange Act’’) prescribes the form and content of notices and applications by self-regulatory organizations (‘‘SROs’’) regarding proposed admissions to, or continuances in, membership, participation or association with a member of any person subject to a statutory disqualification. The Commission uses the information provided in the submissions filed pursuant to Rule 19h–1 to review decisions of SROs to permit the entry into or continuance in the securities business of persons who have committed serious misconduct. The filings submitted pursuant to the Rule also permit inclusion of an application to the Commission for consent to associate with a member of an SRO notwithstanding a Commission order barring such association. The Commission reviews filings made pursuant to the Rule to ascertain whether it is in the public interest to permit the employment in the securities business of persons subject to a statutory disqualification. The filings contain information that is essential to the staff’s review and ultimate determination on whether an association or employment is in the public interest and consistent with investor protection. Without these filings, persons subject to a statutory disqualification could reenter or continue employment in the securities business without the Commission’s critical review of their character, ability to act as a fiduciary, and their employer’s plan of supervision. The failure to collect and review this information could result in significant harm to the investing public. The Commission estimates the annual burden of responding to this collection of information is as follows. BURDEN HOURS 19h–1(a)—Notice of admission or continuance notwithstanding a statutory disqualification Estimated number of respondents = .......... Estimated number of annual responses per respondent =. Estimated annual reporting burden per response =. mstockstill on DSK4VPTVN1PROD with NOTICES Estimated total annual reporting burden =. 19h–1(a)(4)—Notification of proposed admission or continuance pursuant to an exception from the notice requirements 19h–1(b)—Preliminary notifications 20 ........................................ 11 ........................................ 20 ........................................ 9 .......................................... 20 ........................................ 28 ........................................ 20. 5. 80 ........................................ 80 ........................................ 13 ........................................ 80. 17,600 (20 respondents × 11 annual responses per respondent × 80 hours per respondent). 14,400 (20 respondents × 9 annual responses per respondent × 80 hours per respondent). 7,280 (20 respondents × 28 annual responses per respondent × 13 hours per respondent). 8,000 (20 respondents × 5 annual responses per respondent × 80 hours per respondent). Written comments are invited on: (a) Whether this 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 23 17 collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. 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 OMB control number. Persons submitting comments on the collection of information requirements should direct them to Pamela Dyson, 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 should reference SEC File CFR 200.30–3(a)(12). VerDate Sep<11>2014 18:04 Nov 02, 2015 Jkt 238001 PO 00000 Frm 00129 Fmt 4703 Sfmt 4703 19h–1(d)—Application to the Commission for relief from certain statutory disqualifications E:\FR\FM\03NON1.SGM 03NON1 Federal Register / Vol. 80, No. 212 / Tuesday, November 3, 2015 / Notices No. 270–247. Requests for materials submitted to OMB by the Commission with regard to this collection of information should be in writing, with reference to SEC File No. 270–247. Comments must be submitted to the SEC within 60 days of this notice. Dated: October 28, 2015. Robert W. Errett, Deputy Secretary. [FR Doc. 2015–27906 Filed 11–2–15; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–76156; File No. SR–BYX– 2015–43] Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.22, Concerning Gifts and Gratuities in Relation to the Business of the Employer of the Recipient, and Renaming the Rule ‘‘Influencing or Rewarding Employees of Others’’ October 15, 2015. Correction In notice document 2015–26577, appearing on pages 63624–63626 in the issue of Tuesday, October 20, 2015, make the following correction: On page 63626, in the third column, in the twenty-eighth line from the top, ‘‘October 23, 2015’’ should read ‘‘November 10, 2015’’. [FR Doc. C1–2015–26577 Filed 11–2–15; 8:45 am] BILLING CODE 1505–01–D change to list and trade shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201. The proposed rule change was published for comment in the Federal Register on September 16, 2015.3 On September 29, 2015, the Exchange filed Amendment No. 1 to the proposed rule change.4 Section 19(b)(2) of the Act 5 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 Commission is extending this 45-day time period. The Commission finds that it is appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposed rule change. Accordingly, the Commission, pursuant to Section 19(b)(2) of the Act,6 designates December 15, 2015, as the date by which the Commission shall either approve or disapprove or institute proceedings to determine whether to disapprove the proposed rule change (File Number SR–NYSEArca–2015–76). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.7 Robert W. Errett, Deputy Secretary. [FR Doc. 2015–27910 Filed 11–2–15; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION [Release No. 34–76291; File No. SR– NYSEArca–2015–76] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201 mstockstill on DSK4VPTVN1PROD with NOTICES October 28, 2015. On August 28, 2015, NYSE Arca, Inc. (the ‘‘NYSE Arca’’ 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 1 15 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Sep<11>2014 18:04 Nov 02, 2015 Jkt 238001 Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 3 See Securities Exchange Act Release No. 75900 (September 11, 2015), 80 FR 55674 (SR–NYSEArca– 2015–76). 4 In Amendment No. 1, the Exchange: (1) identified weightings of each currency referenced in the Index; (2) supplemented its description of the method of calculation for the Spot Rate; (3) clarified when the Fund may suspend the right of redemption or postpone the redemption settlement date. Amendment No. 1 is available at: https:// www.sec.gov/rules/sro/nysearca/2015/34-75900amendment1.pdf. 5 15 U.S.C. 78s(b)(2). 6 Id. 7 17 CFR 200.30–3(a)(31). PO 00000 Frm 00130 Fmt 4703 Sfmt 4703 67827 100 F Street NE., Washington, DC 20549–2736. Extension: Rule 17Ad–2(c), (d), and (h); SEC File No. 270–149, OMB Control No. 3235–0130. 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’’) is soliciting comments on the existing collection of information provided for in Rule 17Ad–2(c), (d), and (h), (17 CFR 240.17Ad–2(c), (d), and (h)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 17Ad–2(c), (d), and (h) enumerates the requirements with which registered transfer agents must comply to inform the Commission or the appropriate regulator of a transfer agent’s failure to meet the minimum performance standards set by the Commission rule by filing a notice. The Commission receives approximately 3 notices a year pursuant to Rule 17Ad–2(c), (d), and (h). The estimated annual time burden of these filings on respondents is minimal in view of: (a) The readily available nature of most of the information required to be included in the notice (since that information must be compiled and retained pursuant to other Commission rules); and (b) the summary fashion in which such information must be presented in the notice (most notices are one page or less in length). In light of the above, and based on the experience of the staff regarding the notices, the Commission staff estimates that, on average, most notices require approximately one-half hour to prepare. Thus, the Commission staff estimates that the industry-wide total time burden is approximately 1.5 hours. 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 estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information on respondents; 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 E:\FR\FM\03NON1.SGM 03NON1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 80, Number 212 (Tuesday, November 3, 2015)]
[Notices]
[Pages 67826-67827]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-27906]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: U.S. Securities and
Exchange Commission, Office of FOIA Services, 100 F Street NE.,
Washington, DC 20549-2736.

Reinstatement: Rule 19h-1;
SEC File No. 270-247; OMB Control No. 3235-0259.

Notice by a Self-Regulatory Organization of Proposed Admission to
or Continuance in Membership or Participation or Association With a
Member of Any Person Subject to a Statutory Disqualification, and
Applications to the Commission for Relief Therefrom
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 proposed
request for reinstatement, with change, of a previously approved
collection for which approval has expired--Rule 19h-1, Notice by a
Self-Regulatory Organization of Proposed Admission to or Continuance in
Membership or Participation or Association With a Member of Any Person
Subject to a Statutory Disqualification, and Applications to the
Commission for Relief Therefrom (17 CFR 240.19h-1). The Commission
plans to submit this request for reinstatement to the Office of
Management and Budget (``OMB'') for approval.
Rule 19h-1 (``Rule'') under the Securities Exchange Act of 1934
(the ``Exchange Act'') prescribes the form and content of notices and
applications by self-regulatory organizations (``SROs'') regarding
proposed admissions to, or continuances in, membership, participation
or association with a member of any person subject to a statutory
disqualification.
The Commission uses the information provided in the submissions
filed pursuant to Rule 19h-1 to review decisions of SROs to permit the
entry into or continuance in the securities business of persons who
have committed serious misconduct. The filings submitted pursuant to
the Rule also permit inclusion of an application to the Commission for
consent to associate with a member of an SRO notwithstanding a
Commission order barring such association.
The Commission reviews filings made pursuant to the Rule to
ascertain whether it is in the public interest to permit the employment
in the securities business of persons subject to a statutory
disqualification. The filings contain information that is essential to
the staff's review and ultimate determination on whether an association
or employment is in the public interest and consistent with investor
protection. Without these filings, persons subject to a statutory
disqualification could reenter or continue employment in the securities
business without the Commission's critical review of their character,
ability to act as a fiduciary, and their employer's plan of
supervision. The failure to collect and review this information could
result in significant harm to the investing public.
The Commission estimates the annual burden of responding to this
collection of information is as follows.

Burden Hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
19h-1(a)--Notice of
admission or 19h-1(a)(4)--Notification of 19h-1(d)--Application to
continuance proposed admission or 19h-1(b)--Preliminary the Commission for relief
notwithstanding a continuance pursuant to an notifications from certain statutory
statutory exception from the notice disqualifications
disqualification requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated number of respondents =... 20..................... 20............................. 20......................... 20.
Estimated number of annual responses 11..................... 9.............................. 28......................... 5.
per respondent =.
Estimated annual reporting burden 80..................... 80............................. 13......................... 80.
per response =.
-------------------------------------------------------------------------------------------------------------------
Estimated total annual reporting 17,600 (20 respondents 14,400 (20 respondents x 9 7,280 (20 respondents x 28 8,000 (20 respondents x 5
burden =. x 11 annual responses annual responses per annual responses per annual responses per
per respondent x 80 respondent x 80 hours per respondent x 13 hours per respondent x 80 hours per
hours per respondent). respondent). respondent). respondent).
--------------------------------------------------------------------------------------------------------------------------------------------------------

Written comments are invited on: (a) Whether this 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.
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 OMB control number.
Persons submitting comments on the collection of information
requirements should direct them to Pamela Dyson, 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 should reference SEC File

[[Page 67827]]

No. 270-247. Requests for materials submitted to OMB by the Commission
with regard to this collection of information should be in writing,
with reference to SEC File No. 270-247. Comments must be submitted to
the SEC within 60 days of this notice.

Dated: October 28, 2015.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-27906 Filed 11-2-15; 8:45 am]
BILLING CODE 8011-01-P

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