Submission for OMB Review; Comment Request, 53509 [2016-19182]

Download as PDF Federal Register / Vol. 81, No. 156 / Friday, August 12, 2016 / Notices available for public inspection all submissions from organizations or businesses and from persons identifying themselves as representatives or officials of organizations and businesses. Time: The meeting will be held from 10:00 a.m. to 11:30 a.m. on Monday, September 12, 2016. Location: The meeting will be held at 1202 Ralston Avenue, San Francisco, CA 94129. FOR FURTHER INFORMATION CONTACT: Additional information is available online at https://www.presidio.gov/ institute/about/Pages/advisorycouncil.aspx Dated: August 8, 2016. Andrea M. Andersen, Acting General Counsel. [FR Doc. 2016–19200 Filed 8–11–16; 8:45 am] BILLING CODE 4310–4R–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–72, OMB Control No. 3235–0076] Submission for OMB Review; 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 DSK3G9T082PROD with NOTICES Extension: Form D and Regulation D. 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’’) has submitted to the Office of Management and Budget this request for extension of the previously approved collection of information discussed below. Form D (17 CFR 239.500) is a notice of sales filed by issuers making an offering of securities in reliance on an exemption under Regulation D (17 CFR 230.501 et seq.) or Section 4(a)(5) of the Securities Act of 1933 (15 U.S.C. 77d(a)(5)). Regulation D sets forth rules governing the limited offer and sale of securities without Securities Act registration. The purpose of Form D is to collect empirical data, which provides a continuing basis for action by the Commission either in terms of amending existing rules and regulations or proposing new ones. In addition, the Form D allows the Commission to elicit information necessary in assessing the effectiveness of Regulation D (17 CFR 230.501 et seq.) and Section 4(6) of the VerDate Sep<11>2014 18:42 Aug 11, 2016 Jkt 238001 Securities Act of 1933 (15 U.S.C. 77d(6)) as capital-raising devices for all businesses. Form D information is required to obtain or retain benefits under Regulation D. Approximately 21,686 issuers file Form D and it takes approximately 4 hours per response. We estimate that 25% of the 4 hours per response (1 hour per response) is prepared by the issuer for an annual reporting burden of 21,686 hours (1 hour per response × 21,686 responses). An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid 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) 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: August 5, 2016. Robert W. Errett, Deputy Secretary. [FR Doc. 2016–19182 Filed 8–11–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–78502; File No. SR–IEX– 2016–10] Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 9.218 To Specify the List of Violations Eligible for Disposition Under IEX’s Minor Rule Violation Plan August 8, 2016. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that, on August 4, 2016, the Investors Exchange LLC (‘‘IEX’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 53509 (‘‘Commission’’) the proposed rule change as described in Items I and II 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 Pursuant to the provisions of Section 19(b)(1) under the Securities Exchange Act of 1934 (‘‘Act’’) [sic],4 and Rule 19b–4 thereunder,5 Investors Exchange LLC (‘‘IEX’’ or ‘‘Exchange’’) [sic] is filing with the Securities and Exchange Commission (‘‘Commission’’) [sic] a proposed rule change to amend IEX Rule 9.218 (Violations Appropriate for Disposition Under Plan Pursuant to Exchange Act Rule 19d–1(c)(2)) to specify the list of violations eligible for disposition under IEX Rule 9.216(b), (Procedure for Violation Under Plan Pursuant to Exchange Act Rule 19d– 1(c)(2)) pursuant to IEX’s Minor Rule Violation Plan (‘‘MRVP’’).6 The Exchange has designated this proposal as non-controversial and provided the Commission with the notice required by Rule 19b–4(f)(6)(iii) under the Act.7 The text of the proposed rule change is available at the Exchange’s Web site at www.iextrading.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 the Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization 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 statement [sic] may be examined at the places specified in Item IV below. The self-regulatory organization has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. 4 15 U.S.C. 78s(b)(1). CRF 240.19b–4. 6 IEX’s MRVP was declared effective by the Commission on August 3, 2016. See, Securities Exchange Act Release No. 78474 (August 3, 2016). 7 17 CFR 240.19b–4(f)(6)(iii). 5 17 E:\FR\FM\12AUN1.SGM 12AUN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 81, Number 156 (Friday, August 12, 2016)]
[Notices]
[Page 53509]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-19182]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-72, OMB Control No. 3235-0076]


Submission for OMB Review; 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:
    Form D and Regulation D.

    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'') has submitted to the Office of Management 
and Budget this request for extension of the previously approved 
collection of information discussed below.
    Form D (17 CFR 239.500) is a notice of sales filed by issuers 
making an offering of securities in reliance on an exemption under 
Regulation D (17 CFR 230.501 et seq.) or Section 4(a)(5) of the 
Securities Act of 1933 (15 U.S.C. 77d(a)(5)). Regulation D sets forth 
rules governing the limited offer and sale of securities without 
Securities Act registration. The purpose of Form D is to collect 
empirical data, which provides a continuing basis for action by the 
Commission either in terms of amending existing rules and regulations 
or proposing new ones. In addition, the Form D allows the Commission to 
elicit information necessary in assessing the effectiveness of 
Regulation D (17 CFR 230.501 et seq.) and Section 4(6) of the 
Securities Act of 1933 (15 U.S.C. 77d(6)) as capital-raising devices 
for all businesses. Form D information is required to obtain or retain 
benefits under Regulation D. Approximately 21,686 issuers file Form D 
and it takes approximately 4 hours per response. We estimate that 25% 
of the 4 hours per response (1 hour per response) is prepared by the 
issuer for an annual reporting burden of 21,686 hours (1 hour per 
response x 21,686 responses).
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid 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) 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: August 5, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-19182 Filed 8-11-16; 8:45 am]
 BILLING CODE 8011-01-P

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