Proposed Collection; Comment Request, 71778 [2016-25089]

Download as PDF 71778 Federal Register / Vol. 81, No. 201 / Tuesday, October 18, 2016 / Notices Dated: October 11, 2016. Robert W. Errett, Deputy Secretary. [FR Doc. 2016–25088 Filed 10–17–16; 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. Lhorne on DSK30JT082PROD with NOTICES Extension: Rule 6a–4, Form 1–N; SEC File No. 270– 496, OMB Control No. 3235–0554. 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 provided for in Rule 6a–4 and Form 1– N, summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. The Code of Federal Regulation citation to this collection of information is 17 CFR 240.6a–4 and 17 CFR 249.10 under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ‘‘Act’’). Section 6 of the Act 1 sets out a framework for the registration and regulation of national securities exchanges. Under the Commodity Futures Modernization Act of 2000, a futures market may trade security futures products by registering as a national securities exchange. Rule 6a– 4 2 sets forth these registration procedures and directs futures markets to submit a notice registration on Form 1–N.3 Form 1–N calls for information regarding how the futures market operates, its rules and procedures, corporate governance, its criteria for membership, its subsidiaries and affiliates, and the security futures products it intends to trade. Rule 6a–4 also requires entities that have submitted an initial Form 1–N to file: (1) Amendments to Form 1–N in the event of material changes to the information provided in the initial Form 1–N; (2) periodic updates of certain information provided in the initial Form 1–N; (3) certain information that is provided to the futures market’s members; and (4) a 1 15 U.S.C. 78f. CFR 240.6a–4. 3 17 CFR 249.10. 2 17 VerDate Sep<11>2014 13:19 Oct 17, 2016 Jkt 241001 monthly report summarizing the futures market’s trading of security futures products. The information required to be filed with the Commission pursuant to Rule 6a–4 is designed to enable the Commission to carry out its statutorily mandated oversight functions and to ensure that registered and exempt exchanges continue to be in compliance with the Act. The respondents to the collection of information are futures markets. The Commission estimates that the total annual burden for all respondents to provide ad hoc amendments 4 to keep the Form 1–N accurate and up to date as required under Rule 6a–4 would be 60 hours (15 hours/respondent per year × 4 respondents 5) and $400 of miscellaneous clerical expenses. The Commission estimates that the total annual burden for all respondents to provide annual and three-year amendments 6 under Rule 6a–4 would be 88 hours (22 hours/respondent per year × 4 respondents) and $576 ($144 per year × 4 respondents 7). The Commission estimates that the total annual burden for the filing of the supplemental information 8 and the monthly reports required under Rule 6a–4 would be 24 hours (6 hours/ respondent per year × 4 respondents 9) and $240 of miscellaneous clerical expenses. Thus, the Commission estimates the total annual burden for complying with Rule 6a–4 is 172 hours and $1216 in miscellaneous clerical expenses. Compliance with Rule 6a–4 is mandatory. Information received in response to Rule 6a–4 shall not be kept confidential; the information collected is public information. Written comments are invited on: (a) Whether the proposed 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 agency’s estimate of the burden of the proposed 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 4 17 CFR 240.6a–4(b)(1). Commission estimates that four exchanges will file amendments with the Commission in order to keep their Form 1–N current. 6 17 CFR 240.6a–4(b)(3) and (4). 7 The Commission notes that while there are currently five Security Futures Product Exchanges, one of those exchanges, NQLX, is dormant. 8 17 CFR 240.6a–4(c). 9 See supra footnote 7. 5 The PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 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: October 12, 2016. Robert W. Errett, Deputy Secretary. [FR Doc. 2016–25089 Filed 10–17–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–79084; File No. SR– BatsBZX–2016–30] Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust October 12, 2016. On June 30, 2016, Bats BZX Exchange, Inc. (‘‘BZX’’ 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 change to list and trade Winklevoss Bitcoin Shares (‘‘Shares’’) issued by the Winklevoss Bitcoin Trust (‘‘Trust’’) under BZX Rule 14.11(e)(4). The proposed rule change was published for comment in the Federal Register on July 14, 2016.3 The Commission has received six comment letters on the proposed rule change.4 On August 23, 2016, pursuant 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 78262 (Jul. 8, 2016), 81 FR 45554 (‘‘Notice’’). 4 See Letters from Robert D. Miller, VP Technical Services, RKL eSolutions (July 11, 2016) (‘‘Miller Letter’’); Jorge Stolfi, Full Professor, Institute of Computing UNICAMP (July 13, 2016) (‘‘Stolfi Letter’’); Guillaume Lethuillier (July 26, 2016) (‘‘Lethuillier Letter’’); Michael B. Casey (July 31, 2016) (‘‘Casey Letter’’); Erik A. Aronesty, Sr. Software Engineer, Bloomberg LP (Aug. 2, 2016) 2 17 E:\FR\FM\18OCN1.SGM 18OCN1

Agencies

[Federal Register Volume 81, Number 201 (Tuesday, October 18, 2016)]
[Notices]
[Page 71778]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-25089]


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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 6a-4, Form 1-N; SEC File No. 270-496, OMB Control No. 3235-
0554.

    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 provided for in Rule 6a-4 and Form 1-N, summarized below. 
The Commission plans to submit this existing collection of information 
to the Office of Management and Budget for extension and approval. The 
Code of Federal Regulation citation to this collection of information 
is 17 CFR 240.6a-4 and 17 CFR 249.10 under the Securities Exchange Act 
of 1934 (15 U.S.C. 78a et seq.) (the ``Act'').
    Section 6 of the Act \1\ sets out a framework for the registration 
and regulation of national securities exchanges. Under the Commodity 
Futures Modernization Act of 2000, a futures market may trade security 
futures products by registering as a national securities exchange. Rule 
6a-4 \2\ sets forth these registration procedures and directs futures 
markets to submit a notice registration on Form 1-N.\3\ Form 1-N calls 
for information regarding how the futures market operates, its rules 
and procedures, corporate governance, its criteria for membership, its 
subsidiaries and affiliates, and the security futures products it 
intends to trade. Rule 6a-4 also requires entities that have submitted 
an initial Form 1-N to file: (1) Amendments to Form 1-N in the event of 
material changes to the information provided in the initial Form 1-N; 
(2) periodic updates of certain information provided in the initial 
Form 1-N; (3) certain information that is provided to the futures 
market's members; and (4) a monthly report summarizing the futures 
market's trading of security futures products. The information required 
to be filed with the Commission pursuant to Rule 6a-4 is designed to 
enable the Commission to carry out its statutorily mandated oversight 
functions and to ensure that registered and exempt exchanges continue 
to be in compliance with the Act.
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    \1\ 15 U.S.C. 78f.
    \2\ 17 CFR 240.6a-4.
    \3\ 17 CFR 249.10.
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    The respondents to the collection of information are futures 
markets.
    The Commission estimates that the total annual burden for all 
respondents to provide ad hoc amendments \4\ to keep the Form 1-N 
accurate and up to date as required under Rule 6a-4 would be 60 hours 
(15 hours/respondent per year x 4 respondents \5\) and $400 of 
miscellaneous clerical expenses. The Commission estimates that the 
total annual burden for all respondents to provide annual and three-
year amendments \6\ under Rule 6a-4 would be 88 hours (22 hours/
respondent per year x 4 respondents) and $576 ($144 per year x 4 
respondents \7\). The Commission estimates that the total annual burden 
for the filing of the supplemental information \8\ and the monthly 
reports required under Rule 6a-4 would be 24 hours (6 hours/respondent 
per year x 4 respondents \9\) and $240 of miscellaneous clerical 
expenses. Thus, the Commission estimates the total annual burden for 
complying with Rule 6a-4 is 172 hours and $1216 in miscellaneous 
clerical expenses.
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    \4\ 17 CFR 240.6a-4(b)(1).
    \5\ The Commission estimates that four exchanges will file 
amendments with the Commission in order to keep their Form 1-N 
current.
    \6\ 17 CFR 240.6a-4(b)(3) and (4).
    \7\ The Commission notes that while there are currently five 
Security Futures Product Exchanges, one of those exchanges, NQLX, is 
dormant.
    \8\ 17 CFR 240.6a-4(c).
    \9\ See supra footnote 7.
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    Compliance with Rule 6a-4 is mandatory. Information received in 
response to Rule 6a-4 shall not be kept confidential; the information 
collected is public information.
    Written comments are invited on: (a) Whether the proposed 
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 agency's estimate of 
the burden of the proposed 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: October 12, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-25089 Filed 10-17-16; 8:45 am]
 BILLING CODE 8011-01-P
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