Proposed Collection; Comment Request, 44903 [2016-16192]

Download as PDF Federal Register / Vol. 81, No. 132 / Monday, July 11, 2016 / Notices The Commission is extending this 45day 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,5 designates August 29, 2016, as the date by which the Commission should either approve or disapprove or institute proceedings to determine whether to disapprove the proposed rule change (File Number SR– NASDAQ–2016–072), as modified by Amendment No. 1 thereto. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.6 Brent J. Fields, Secretary. [FR Doc. 2016–16269 Filed 7–8–16; 8:45 am] reporting; a discussion regarding investment company reporting modernization; and a nonpublic administrative work session during lunch. Dated: July 6, 2016. Brent J. Fields, Secretary. [FR Doc. 2016–16311 Filed 7–8–16; 8:45 am] BILLING CODE 8011–01–P 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. BILLING CODE 8011–01–P Extension: Rule 17a–7, SEC File No. 270–147, OMB Control No. 3235–0131. SECURITIES AND EXCHANGE COMMISSION 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 17a–7 (17 CFR 240.17a–7) under the Securities Exchange Act of 1934 (15 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 17a–7 requires a non-resident broker-dealer (generally, a broker-dealer with its principal place of business in a place not subject to the jurisdiction of the United States) registered or applying for registration pursuant to section 15 of the Exchange Act to maintain—in the United States—complete and current copies of books and records required to be maintained under any rule adopted under the Exchange Act and furnish to the Commission a written notice specifying the address where the copies are located. Alternatively, Rule 17a–7 provides that non-resident brokerdealers may file with the Commission a written undertaking to furnish the requisite books and records to the Commission upon demand within 14 days of the demand. There are approximately 45 nonresident brokers and dealers. Based on the Commission’s experience, the Commission estimates that the average amount of time necessary to comply with Rule 17a–7 is one hour per year. Accordingly, the total industry-wide reporting burden is approximately 45 [Release Nos. 33–10102A; 34–78127A; File No. 265–28] Investor Advisory Committee Meeting Securities and Exchange Commission. ACTION: Notice of meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee; correction. AGENCY: The Securities and Exchange Commission published a document in the Federal Register on June 27, 2016, providing notice that the Securities and Exchange Commission Investor Advisory Committee would hold a public meeting on Thursday, July 14, 2016. The document contained an incorrect description of the agenda for the meeting. FOR FURTHER INFORMATION CONTACT: Marc Oorloff Sharma, Senior Special Counsel, Office of the Investor Advocate, at (202) 551–3302, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. sradovich on DSK3GDR082PROD with NOTICES SUMMARY: Correction In the Federal Register of June 27, 2016, in FR Doc. 2016–15109, on page 41629, in the first column, correct the description of the meeting agenda to read: The agenda for the meeting includes: Remarks from Commissioners; a discussion of the state of sustainability 5 15 6 17 U.S.C. 78s(b)(2). CFR 200.30–3(a)(31). VerDate Sep<11>2014 16:55 Jul 08, 2016 Jkt 238001 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 44903 hours per year. Assuming an average cost per hour of approximately $291 for a compliance manager, the total internal cost of compliance for the respondents is approximately $13,095 per year.1 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 shall have practical utility; (b) the accuracy of the Commission’s estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be 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 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: July 5, 2016. Brent J. Fields, Secretary. [FR Doc. 2016–16192 Filed 7–8–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–78226; File No. SR– BatsBZX–2016–31] Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .01 to Rule 16.1 To Specify the Calculation Methodology for Counting Professional Orders July 5, 2016. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (the 1 $291 per hour for a compliance manager is from SIFMA’s Management & Professional Earnings in the Securities Industry 2013, modified by Commission staff for an 1800-hour work-year, multiplied by 5.35 to account for bonuses, firm size, employee benefits, and overhead, and adjusted for inflation. E:\FR\FM\11JYN1.SGM 11JYN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 81, Number 132 (Monday, July 11, 2016)]
[Notices]
[Page 44903]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-16192]


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

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 17a-7, SEC File No. 270-147, OMB Control No. 3235-0131.

    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 17a-7 (17 CFR 240.17a-7) 
under the Securities Exchange Act of 1934 (15 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 17a-7 requires a non-resident broker-dealer (generally, a 
broker-dealer with its principal place of business in a place not 
subject to the jurisdiction of the United States) registered or 
applying for registration pursuant to section 15 of the Exchange Act to 
maintain--in the United States--complete and current copies of books 
and records required to be maintained under any rule adopted under the 
Exchange Act and furnish to the Commission a written notice specifying 
the address where the copies are located. Alternatively, Rule 17a-7 
provides that non-resident broker-dealers may file with the Commission 
a written undertaking to furnish the requisite books and records to the 
Commission upon demand within 14 days of the demand.
    There are approximately 45 non-resident brokers and dealers. Based 
on the Commission's experience, the Commission estimates that the 
average amount of time necessary to comply with Rule 17a-7 is one hour 
per year. Accordingly, the total industry-wide reporting burden is 
approximately 45 hours per year. Assuming an average cost per hour of 
approximately $291 for a compliance manager, the total internal cost of 
compliance for the respondents is approximately $13,095 per year.\1\
---------------------------------------------------------------------------

    \1\ $291 per hour for a compliance manager is from SIFMA's 
Management & Professional Earnings in the Securities Industry 2013, 
modified by Commission staff for an 1800-hour work-year, multiplied 
by 5.35 to account for bonuses, firm size, employee benefits, and 
overhead, and adjusted for inflation.
---------------------------------------------------------------------------

    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 shall have practical 
utility; (b) the accuracy of the Commission's estimate of the burden of 
the collection of information; (c) ways to enhance the quality, 
utility, and clarity of the information to be 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 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: July 5, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-16192 Filed 7-8-16; 8:45 am]
BILLING CODE 8011-01-P

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.