Proposed Collection; Comment Request, 8248-8249 [2017-01566]

Download as PDF 8248 Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Notices competition for the reasons explained herein. The Exchange’s proposal does not place on undue burden on inter-market competition because the QCC order type is similar on other options exchanges and these exchanges may also file to eliminate the distinction between Priority Customers and Professionals for the QCC order type.35 The Exchange notes that the Commission recently approved a similar proposal by Phlx to eliminate both its QCC transactions fees and its rebates for its professional customers.36 C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act, 20 and subparagraph (f)(2) of Rule 19b–4 thereunder,21 [sic] because it establishes a due, fee, or other charge imposed by ISE. At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: sradovich on DSK3GMQ082PROD with NOTICES Electronic Comments • Use the Commission’s Internet comment form (http://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– ISE–2017–01 on the subject line. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange supra note 12. 36 See supra note 30. Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File Number SR–ISE–2017–01. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet Web site (http://www.sec.gov/ rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–ISE– 2017–01 and should be submitted by February 14, 2017. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.37 Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–01466 Filed 1–23–17; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–664, OMB Control No. 3235–0740] Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Revision: 35 See VerDate Sep<11>2014 19:36 Jan 23, 2017 37 17 Jkt 241001 PO 00000 CFR 200.30–3(a)(12). Frm 00075 Fmt 4703 Sfmt 4703 Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies. ACTION: Notice. The SEC, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on a revised information collection, as required by the PRA. The SEC may not conduct or sponsor, and a respondent is not required to respond to, an information collection unless it displays a currently valid OMB control number. The SEC previously received OMB approval for a voluntary information collection in the Joint Standards. The SEC now is soliciting comments on a revised information collection which adds a Diversity Assessment Report as an instrument to facilitate completion of the selfassessment described in the Joint Standards. DATES: Comments must be submitted on or before March 27, 2017. ADDRESSES: Please direct your written comments to Pamela Dyson, 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, and include ‘‘SEC File No. 270–664—OMWI Diversity Assessment Report’’ in the subject line of the message. FOR FURTHER INFORMATION CONTACT: For further information about the information collection discussed in this revised notice, please contact Pamela A. Gibbs, Director, Office of Minority and Women Inclusion, (202) 551–6046, or Audrey B. Little, Senior Counsel, Office of Minority and Women Inclusion, (202) 551–6086, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501–3520), certain Federal agencies must obtain approval from OMB for each collection of information that they conduct or sponsor. ‘‘Collection of information’’ is defined in 44 U.S.C. 3502(3) (and 5 CFR 1320.3(c) of the PRA implementing regulations) to include agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. The PRA (44 U.S.C. 3506(c)(2)(A)) directs these Federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information before submitting the collection to OMB for approval. To comply with this requirement, the SEC SUMMARY: E:\FR\FM\24JAN1.SGM 24JAN1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Notices is publishing this notice of a proposed revision to the previously approved collection of information. Description: The SEC previously received OMB approval for a voluntary information collection with respect to the Joint Standards, pursuant to which entities regulated by the SEC voluntarily self-assess their diversity policies and practices.1 This proposed revision to the previously approved collection would add a form entitled ‘‘Diversity Assessment Report for Entities Regulated by the SEC’’ (Diversity Assessment Report) to assist with collection of information regarding regulated entities’ policies and practices relating to diversity and inclusion. The Diversity Assessment Report (1) asks for general information about a respondent; (2) includes a checklist and questions relating to the standards set forth in the Joint Standards; (3) seeks data related to workforce diversity and supplier diversity; and (4) provides an opportunity for comments. The SEC estimates that use of the Diversity Assessment Report would reduce the average response time for this collection per respondent from 12 hours to 10 hours. A draft of this Diversity Assessment Report can be viewed at https://www.sec.gov/omwi/sec-entitydiversity-assessment-report-draft.pdf. The SEC may use the information submitted by the entities it regulates to monitor progress and trends in the financial services industry with regard to diversity and inclusion in employment and contracting activities and to identify and highlight those policies and practices that have been successful. The SEC will continue to reach out to the regulated entities and other interested parties to discuss diversity and inclusion in the financial services industry and share leading practices. The SEC may also publish information disclosed by the entity, such as any identified leading practices, in any form that does not identify a particular institution or disclose confidential business information. The SEC will not publish diversity and inclusion information that identifies any particular regulated entity unless the regulated entity consents in writing to such use. Type of Review: Revision. Frequency of Response: Annually. Burden Estimates: Revised Number of Respondents: 1,300.2 1 80 FR 33016 (June 10, 2015). number has been modified to account for the ever changing number of entities regulated by the SEC. It still, however, represents about 5% of regulated entities, as set forth in the original PRA notice for the Joint Standards. 2 This VerDate Sep<11>2014 19:36 Jan 23, 2017 Jkt 241001 Revised Annual Burden Per Respondent for the Diversity Assessment Report and Joint Standards: 10 hours. Revised Total Annual Burden: 13,000 hours. Obligation to Respond: Voluntary. Request for Comments: The comments submitted in response to this notice will be summarized and included in the request for OMB approval. All comments will become a matter of public record. Comments are invited on: (a) Whether the collection of information is necessary for the proper performance of the functions of the SEC, including whether the information has practical utility; (b) The accuracy of the SEC’s estimate of the information collection burden, including the validity of the methods and the assumptions used; (c) Ways to enhance the quality, utility, and clarity of the information proposed to be collected; (d) Ways to minimize the burden of the collection on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) Estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information. Dated: January 18, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–01566 Filed 1–23–17; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–79806; File No. SR–NSX– 2017–01] Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program January 17, 2017 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on January 6, 2017, National Stock Exchange, Inc. (‘‘NSX’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) a proposed rule change, as described in 1 15 2 17 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00076 Fmt 4703 Sfmt 4703 8249 Items I, and II below, which Items have been substantially prepared by the Exchange. The Exchange has designated this proposal as a non-controversial proposed rule change pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b–4(f)(6)(iii) 4 thereunder, which renders it effective upon filing with the Commission. 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 the Substance of the Proposed Rule Change The Exchange proposes to amend NSX Rule 11.26(b) and Rule 11.26, Interpretations and Policies .08 to modify certain data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program (the ‘‘Plan’’). The proposed rule change is the same as proposed rule changes recently approved or published by the Commission for Bats BZX Exchange f/k/a BATS Exchange, Inc. (‘‘BZX’’) to amend BZX Rule 11.27 which also sets forth amendments to the requirements for the Web site data publication requirements pursuant to Appendices B and C of the Plan.5 The text of the proposed rule change is available on the Exchange’s Web site at www.nsx.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 Exchange included statements concerning the purpose of and statutory 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 parts of such statements. A. Self -Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose On August 25, 2014, NYSE Group, Inc., on behalf of BZX, Bats BYX Exchange, Inc., f/k/a BATS–Y Exchange, 3 15 U.S.C. 78s(b)(3)(A). CFR 240.19b–4(f)(6)(iii). 5 See Securities Exchange Act Release No. 79533 (December 13, 2016), 81 FR 91990 (December 19, 2016) (SR–BatsBZX–2016–82). 4 17 E:\FR\FM\24JAN1.SGM 24JAN1

Agencies

[Federal Register Volume 82, Number 14 (Tuesday, January 24, 2017)]
[Notices]
[Pages 8248-8249]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-01566]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-664, OMB Control No. 3235-0740]


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Revision:
    Joint Standards for Assessing the Diversity Policies and 
Practices of Entities Regulated by the Agencies.


ACTION: Notice.

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

SUMMARY: The SEC, as part of its continuing effort to reduce paperwork 
and respondent burden, invites the general public and other Federal 
agencies to take this opportunity to comment on a revised information 
collection, as required by the PRA. The SEC may not conduct or sponsor, 
and a respondent is not required to respond to, an information 
collection unless it displays a currently valid OMB control number. The 
SEC previously received OMB approval for a voluntary information 
collection in the Joint Standards. The SEC now is soliciting comments 
on a revised information collection which adds a Diversity Assessment 
Report as an instrument to facilitate completion of the self-assessment 
described in the Joint Standards.

DATES: Comments must be submitted on or before March 27, 2017.

ADDRESSES: Please direct your written comments to Pamela Dyson, 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, and include ``SEC File No. 270-664--OMWI 
Diversity Assessment Report'' in the subject line of the message.

FOR FURTHER INFORMATION CONTACT: For further information about the 
information collection discussed in this revised notice, please contact 
Pamela A. Gibbs, Director, Office of Minority and Women Inclusion, 
(202) 551-6046, or Audrey B. Little, Senior Counsel, Office of Minority 
and Women Inclusion, (202) 551-6086, Securities and Exchange 
Commission, 100 F Street NE., Washington, DC 20549.

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), certain 
Federal agencies must obtain approval from OMB for each collection of 
information that they conduct or sponsor. ``Collection of information'' 
is defined in 44 U.S.C. 3502(3) (and 5 CFR 1320.3(c) of the PRA 
implementing regulations) to include agency requests or requirements 
that members of the public submit reports, keep records, or provide 
information to a third party. The PRA (44 U.S.C. 3506(c)(2)(A)) directs 
these Federal agencies to provide a 60-day notice in the Federal 
Register concerning each proposed collection of information before 
submitting the collection to OMB for approval. To comply with this 
requirement, the SEC

[[Page 8249]]

is publishing this notice of a proposed revision to the previously 
approved collection of information.
    Description: The SEC previously received OMB approval for a 
voluntary information collection with respect to the Joint Standards, 
pursuant to which entities regulated by the SEC voluntarily self-assess 
their diversity policies and practices.\1\ This proposed revision to 
the previously approved collection would add a form entitled 
``Diversity Assessment Report for Entities Regulated by the SEC'' 
(Diversity Assessment Report) to assist with collection of information 
regarding regulated entities' policies and practices relating to 
diversity and inclusion. The Diversity Assessment Report (1) asks for 
general information about a respondent; (2) includes a checklist and 
questions relating to the standards set forth in the Joint Standards; 
(3) seeks data related to workforce diversity and supplier diversity; 
and (4) provides an opportunity for comments. The SEC estimates that 
use of the Diversity Assessment Report would reduce the average 
response time for this collection per respondent from 12 hours to 10 
hours. A draft of this Diversity Assessment Report can be viewed at 
https://www.sec.gov/omwi/sec-entity-diversity-assessment-report-draft.pdf.
---------------------------------------------------------------------------

    \1\ 80 FR 33016 (June 10, 2015).
---------------------------------------------------------------------------

    The SEC may use the information submitted by the entities it 
regulates to monitor progress and trends in the financial services 
industry with regard to diversity and inclusion in employment and 
contracting activities and to identify and highlight those policies and 
practices that have been successful. The SEC will continue to reach out 
to the regulated entities and other interested parties to discuss 
diversity and inclusion in the financial services industry and share 
leading practices. The SEC may also publish information disclosed by 
the entity, such as any identified leading practices, in any form that 
does not identify a particular institution or disclose confidential 
business information. The SEC will not publish diversity and inclusion 
information that identifies any particular regulated entity unless the 
regulated entity consents in writing to such use.
    Type of Review: Revision.
    Frequency of Response: Annually.
    Burden Estimates:
    Revised Number of Respondents: 1,300.\2\
---------------------------------------------------------------------------

    \2\ This number has been modified to account for the ever 
changing number of entities regulated by the SEC. It still, however, 
represents about 5% of regulated entities, as set forth in the 
original PRA notice for the Joint Standards.
---------------------------------------------------------------------------

    Revised Annual Burden Per Respondent for the Diversity Assessment 
Report and Joint Standards: 10 hours.
    Revised Total Annual Burden: 13,000 hours.
    Obligation to Respond: Voluntary.
    Request for Comments: The comments submitted in response to this 
notice will be summarized and included in the request for OMB approval. 
All comments will become a matter of public record. Comments are 
invited on:
    (a) Whether the collection of information is necessary for the 
proper performance of the functions of the SEC, including whether the 
information has practical utility;
    (b) The accuracy of the SEC's estimate of the information 
collection burden, including the validity of the methods and the 
assumptions used;
    (c) Ways to enhance the quality, utility, and clarity of the 
information proposed to be collected;
    (d) Ways to minimize the burden of the collection on respondents, 
including through the use of automated collection techniques or other 
forms of information technology; and
    (e) Estimates of capital or start-up costs and costs of operation, 
maintenance, and purchase of services to provide information.

    Dated: January 18, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-01566 Filed 1-23-17; 8:45 am]
 BILLING CODE 8011-01-P