Proposed Collection; Comment Request, 8814 [2016-03517]

Download as PDF 8814 Federal Register / Vol. 81, No. 34 / Monday, February 22, 2016 / Notices SECURITIES AND EXCHANGE COMMISSION 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 19d–1, SEC File No. 270– 242, OMB Control No. 3235–0206. 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 19d–1 (17 CFR 240.19d–1) under the Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget) (‘‘OMB’’) for extension and approval. Rule 19d–1 prescribes the form and content of notices to be filed with the Commission by self-regulatory organizations (‘‘SROs’’) for which the Commission is the appropriate regulatory agency concerning the following final SRO actions: (1) Disciplinary actions with respect to any person; (2) denial, bar, prohibition, or limitation of membership, participation or association with a member or of access to services offered by an SRO or member thereof; (3) summarily suspending a member, participant, or person associated with a member, or summarily limiting or prohibiting any persons with respect to access to or services offered by the SRO or a member thereof; and (4) delisting a security. The Rule enables the Commission to obtain reports from the SROs containing information regarding SRO determinations to delist a security, discipline members or associated persons of members, deny membership or participation or association with a member, and similar adjudicated findings. The Rule requires that such actions be promptly reported to the Commission. The Rule also requires that the reports and notices supply sufficient information regarding the background, factual basis and issues involved in the proceeding to enable the Commission: (1) To determine whether the matter should be called up for review on the Commission’s own motion; and (2) to ascertain generally whether the SRO has adequately carried out its responsibilities under the Exchange Act. It is estimated that approximately eighteen respondents will utilize this VerDate Sep<11>2014 19:03 Feb 19, 2016 Jkt 238001 application procedure annually, with a total burden of approximately 2,250 hours, based upon past submissions. This figure is based on eighteen respondents, spending approximately 125 hours each per year. It is estimated that each respondent will submit approximately 250 responses. The staff estimates that the average number of hours necessary to comply with the requirements of Rule 19d–1 for each submission is 0.5 hours. The average cost per hour, per each submission is approximately $101. Therefore, it is estimated that the internal labor cost of compliance for all respondents is approximately $227,250 (18 respondents × 250 responses per respondent × 0.5 hours per response × $101 per hour). 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 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, 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. Please direct your written comments to: Pamela C. Dyson, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE., Washington, DC 20549 or send an email to: PRA_ Mailbox@sec.gov. Dated: February 16, 2016. Brent J. Fields, Secretary. [FR Doc. 2016–03517 Filed 2–19–16; 8:45 am] BILLING CODE 8011–01–P PO 00000 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–77143; File No. SR–Phlx– 2016–09] Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Policy for Amending Billing Information and a Research Fee February 16, 2016. 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 February 3, 2016, NASDAQ PHLX LLC (‘‘Phlx’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘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 adopt a new policy entitled, ‘‘Policy for Amending Billing Information.’’ The Exchange also proposes to adopt a Research Fee. 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. 1 15 2 17 Frm 00134 Fmt 4703 Sfmt 4703 E:\FR\FM\22FEN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 22FEN1

Agencies

[Federal Register Volume 81, Number 34 (Monday, February 22, 2016)]
[Notices]
[Page 8814]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-03517]



[[Page 8814]]

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SECURITIES AND EXCHANGE COMMISSION


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 19d-1, SEC File No. 270-242, OMB Control No. 3235-
0206.

    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 19d-1 (17 CFR 240.19d-1) 
under the Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) 
(``Exchange Act''). The Commission plans to submit this existing 
collection of information to the Office of Management and Budget) 
(``OMB'') for extension and approval.
    Rule 19d-1 prescribes the form and content of notices to be filed 
with the Commission by self-regulatory organizations (``SROs'') for 
which the Commission is the appropriate regulatory agency concerning 
the following final SRO actions: (1) Disciplinary actions with respect 
to any person; (2) denial, bar, prohibition, or limitation of 
membership, participation or association with a member or of access to 
services offered by an SRO or member thereof; (3) summarily suspending 
a member, participant, or person associated with a member, or summarily 
limiting or prohibiting any persons with respect to access to or 
services offered by the SRO or a member thereof; and (4) delisting a 
security.
    The Rule enables the Commission to obtain reports from the SROs 
containing information regarding SRO determinations to delist a 
security, discipline members or associated persons of members, deny 
membership or participation or association with a member, and similar 
adjudicated findings. The Rule requires that such actions be promptly 
reported to the Commission. The Rule also requires that the reports and 
notices supply sufficient information regarding the background, factual 
basis and issues involved in the proceeding to enable the Commission: 
(1) To determine whether the matter should be called up for review on 
the Commission's own motion; and (2) to ascertain generally whether the 
SRO has adequately carried out its responsibilities under the Exchange 
Act.
    It is estimated that approximately eighteen respondents will 
utilize this application procedure annually, with a total burden of 
approximately 2,250 hours, based upon past submissions. This figure is 
based on eighteen respondents, spending approximately 125 hours each 
per year. It is estimated that each respondent will submit 
approximately 250 responses. The staff estimates that the average 
number of hours necessary to comply with the requirements of Rule 19d-1 
for each submission is 0.5 hours. The average cost per hour, per each 
submission is approximately $101. Therefore, it is estimated that the 
internal labor cost of compliance for all respondents is approximately 
$227,250 (18 respondents x 250 responses per respondent x 0.5 hours per 
response x $101 per hour).
    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 
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, 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.
    Please direct your written comments to: Pamela C. 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: February 16, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-03517 Filed 2-19-16; 8:45 am]
 BILLING CODE 8011-01-P
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