Proposed Collection; Comment Request, 541 [2015-33210]
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Federal Register / Vol. 81, No. 3 / Wednesday, January 6, 2016 / Notices
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) 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 must be submitted to
OMB within 30 days of this notice.
Dated: December 30, 2015.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015–33211 Filed 1–5–16; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0585, SEC File No.
270–523]
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.
mstockstill on DSK4VPTVN1PROD with NOTICES
Extension: Rule 206(4)–7.
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.
The title for the collection of
information is ‘‘Investment Advisers Act
rule 206(4)–7 (17 CFR 275.206(4)–7),
Compliance procedures and practices.’’
Rule 206(4)–7 requires each investment
adviser registered with the Commission
to (i) adopt and implement internal
compliance policies and procedures, (ii)
review those policies and procedures
annually, (iii) designate a chief
compliance officer, and (iv) maintain
certain compliance records. The rule is
designed to protect investors by
fostering better compliance with the
securities laws. The collection of
information under rule 206(4)–7 is
necessary to assure that investment
advisers maintain comprehensive
internal programs that promote the
advisers’ compliance with the
Investment Advisers Act of 1940. The
information collected under this rule
VerDate Sep<11>2014
17:32 Jan 05, 2016
Jkt 238001
may also assist Commission staff in
assessing investment advisers’
compliance programs.
This collection of information is
mandatory. The information collected
pursuant to the rule 206(4)–7 is
reviewed by the Commission’s
examination staff; it will be accorded
the same level of confidentiality
accorded to other responses provided to
the Commission in the context of its
examination and oversight program.
The respondents to this information
collection are investment advisers
registered with the Commission. Our
latest data indicate that there were
12,026 advisers registered with the
Commission as of November 1, 2015.
The Commission has estimated that
compliance with rule 206(4)–7 imposes
an annual burden of approximately 87
hours per respondent. Based on this
figure, the Commission estimates a total
annual burden of 1,046,262 hours for
this collection of information.
Written comments are invited on: (a)
Whether the 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 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. An agency may not conduct
or sponsor a collection of information
unless it displays a currently valid OMB
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.
Please direct your written comments
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.
Dated: December 30, 2015.
Jill M. Peterson,
Assistant Secretary.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–76801; File No. SR–Phlx–
2015–99]
Self-Regulatory Organizations;
NASDAQ OMX PHLX LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change Regarding
Order Exposure
December 30, 2015.
Pursuant to section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on December
15, 2015, NASDAQ OMX PHLX LLC
(‘‘Phlx’’ or ‘‘Exchange’’) filed with the
Securities and Exchange Commission
(‘‘SEC’’ or ‘‘Commission’’) the proposed
rule change as described in Items I, II,
and III, below, which Items have been
prepared by the Exchange. 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 Exchange proposes to amend
Phlx Rule 1080, entitled ‘‘Phlx XL and
Phlx XL II,’’ to account for potential
internal conflicts with other Exchange
Rules, which are exceptions to the order
exposure rule regarding principle orders
the Order Entry Firm represents as agent
from being exposed.
The text of the proposed rule change
is available on the Exchange’s Web site
at https://
nasdaqomxphlx.cchwallstreet.com, at
the principal office of the Exchange, and
at the Commission’s Public Reference
Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
the most significant aspects of such
statements.
[FR Doc. 2015–33210 Filed 1–5–16; 8:45 am]
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U.S.C. 78s(b)(1).
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]]>Agencies
[Federal Register Volume 81, Number 3 (Wednesday, January 6, 2016)]
[Notices]
[Page 541]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-33210]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0585, SEC File No. 270-523]
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: Rule 206(4)-7.
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.
The title for the collection of information is ``Investment
Advisers Act rule 206(4)-7 (17 CFR 275.206(4)-7), Compliance procedures
and practices.'' Rule 206(4)-7 requires each investment adviser
registered with the Commission to (i) adopt and implement internal
compliance policies and procedures, (ii) review those policies and
procedures annually, (iii) designate a chief compliance officer, and
(iv) maintain certain compliance records. The rule is designed to
protect investors by fostering better compliance with the securities
laws. The collection of information under rule 206(4)-7 is necessary to
assure that investment advisers maintain comprehensive internal
programs that promote the advisers' compliance with the Investment
Advisers Act of 1940. The information collected under this rule may
also assist Commission staff in assessing investment advisers'
compliance programs.
This collection of information is mandatory. The information
collected pursuant to the rule 206(4)-7 is reviewed by the Commission's
examination staff; it will be accorded the same level of
confidentiality accorded to other responses provided to the Commission
in the context of its examination and oversight program.
The respondents to this information collection are investment
advisers registered with the Commission. Our latest data indicate that
there were 12,026 advisers registered with the Commission as of
November 1, 2015. The Commission has estimated that compliance with
rule 206(4)-7 imposes an annual burden of approximately 87 hours per
respondent. Based on this figure, the Commission estimates a total
annual burden of 1,046,262 hours for this collection of information.
Written comments are invited on: (a) Whether the 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 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. An
agency may not conduct or sponsor a collection of information unless it
displays a currently valid OMB 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.
Please direct your written comments 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.
Dated: December 30, 2015.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-33210 Filed 1-5-16; 8:45 am]
BILLING CODE 8011-01-P
