Proposed Collection; Comment Request, 16637-16638 [2017-06695]

Download as PDF Federal Register / Vol. 82, No. 64 / Wednesday, April 5, 2017 / Notices • Email comments to: Hearingdocket@nrc.gov. If you do not receive an automatic email reply confirming receipt, then contact the Office of the Secretary at 301–415–1677. • Fax comments to: Secretary, U.S. Nuclear Regulatory Commission at 301– 415–1101. • Mail comments to: Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001, ATTN: Rulemakings and Adjudications Staff. • Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland 20852, between 7:30 a.m. and 4:15 p.m. (Eastern Time) Federal workdays; telephone: 301–415–1677. For additional direction on obtaining information and submitting comments, see ‘‘Obtaining Information and Submitting Comments’’ in the SUPPLEMENTARY INFORMATION section of this document. FOR FURTHER INFORMATION CONTACT: Andrea Jones, Office of International Programs, U.S. Nuclear Regulatory Commission, Washington, DC 20555– 0001; telephone: 301–287–9072, email: Andrea.Jones2@nrc.gov. SUPPLEMENTARY INFORMATION: I. Obtaining Information and Submitting Comments jstallworth on DSK7TPTVN1PROD with NOTICES A. Obtaining Information Please refer to Docket ID NRC–2017– 0054, when contacting the NRC about the availability of information for this action. You may obtain publiclyavailable information related to this action by any of the following methods: • Federal rulemaking Web site: Go to https://www.regulations.gov and search for NRC–2017–0054. • NRC’s Agencywide Documents Access and Management System (ADAMS): You may obtain publiclyavailable documents online in the ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/ adams.html. To begin the search, select ‘‘ADAMS Public Documents’’ and then select ‘‘Begin Web-based ADAMS Search.’’ For problems with ADAMS, please contact the NRC’s Public Document Room (PDR) reference staff at 1–800–397–4209, 301–415–4737, or by email to pdr.resource@nrc.gov. The ADAMS accession number for each document referenced in this document (if that document is available in ADAMS) is provided the first time that a document is referenced. • NRC’s PDR: You may examine and purchase copies of public documents at the NRC’s PDR, Room O1–F21, One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852. VerDate Sep<11>2014 15:11 Apr 04, 2017 Jkt 241001 B. Submitting Comments Please include Docket ID NRC–2017– 0054, in your comment submission. The NRC cautions you not to include identifying or contact information that you do not want to be publicly disclosed in your comment submission. The NRC will post all comment submissions at https:// www.regulations.gov as well as enter the comment submissions into ADAMS. The NRC does not routinely edit comment submissions to remove identifying or contact information. If you are requesting or aggregating comments from other persons for submission to the NRC, then you should inform those persons not to include identifying or contact information that they do not want to be publicly disclosed in their comment submission. Your request should state that the NRC does not routinely edit comment submissions to remove such information before making the comment submissions available to the public or entering the comment into ADAMS. II. Discussion On October 27, 2016, the NRC received an application for a specific import license (IW034) from UniTech to import 10,000 metric tons of byproduct material in the form of radioactivecontaminated tools, metals, and other solid materials, along with incremental amounts of special nuclear material (less than fifteen grams per shipment). On October 27, 2016, the NRC also received an associated application for a specific export license (XW023) from UniTech to export 10,000 metric tons of byproduct material, along with incremental amounts of special nuclear material (less than fifteen grams per shipment). As further explained in the March 30, 2017, letter from David Skeen (ADAMS Accession No. ML17086A272), Deputy Director, Office of International Programs, NRC, to Glenn Roberts, Corporate Health Physicist, UniTech, the NRC has returned UniTech’s application for a specific import license without action because the requested import activities are authorized under an NRC general import license. Therefore, the only regulatory action pending before the NRC is UniTech’s application for a specific export license (XW023) to export low-level radioactive waste to Canada. The NRC is reopening both the public comment period and the opportunity to file a request for a hearing or petition for leave to intervene on XW023 for an additional 30 days after publication of this notice in the Federal Register (FR). Any request for hearing or petition for leave to intervene PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 16637 shall be served by the requestor or petitioner upon the applicant, the office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555; the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555; and the Executive Secretary, U.S. Department of State, Washington, DC 20520. A request for a hearing or petition for leave to intervene may be filed with the NRC electronically in accordance with NRC’s E-Filing rule promulgated in August 2007 (72 FR 49139; August 28, 2007). Information about filing electronically is available on the NRC’s public Web site at https://www.nrc.gov/ site-help/e-submittals.html. To ensure timely electronic filing, at least 5 days prior to the filing deadline, the petitioner/requestor should contact the Office of the Secretary by email at hearingdocket@nrc.gov, or by calling 301–415–1677, to request a digital ID certificate and allow for the creation of an electronic docket. In addition to a request for hearing or petition for leave to intervene, written comments, in accordance with 10 CFR 110.81, should be submitted within thirty days after publication of this notice in the Federal Register to Office of the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention: Rulemaking and Adjudications. Dated at Rockville, Maryland, this 30th day of March 2017. For the Nuclear Regulatory Commission. David L. Skeen, Deputy Director, Office of International Programs. [FR Doc. 2017–06725 Filed 4–4–17; 8:45 am] BILLING CODE 7590–01–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. Extension: Rule 17a–5; SEC File No. 270–155, OMB Control No. 3235–0123. 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–5 (17 CFR 240.17a–5), under the Securities E:\FR\FM\05APN1.SGM 05APN1 jstallworth on DSK7TPTVN1PROD with NOTICES 16638 Federal Register / Vol. 82, No. 64 / Wednesday, April 5, 2017 / Notices Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 17a–5 is the basic financial reporting rule for brokers and dealers.1 The rule requires the filing of Form X– 17A–5, the Financial and Operational Combined Uniform Single Report (‘‘FOCUS Report’’), which was the result of years of study and comments by representatives of the securities industry through advisory committees and through the normal rule proposal methods. The FOCUS Report was designed to eliminate the overlapping regulatory reports required by various self-regulatory organizations and the Commission and to reduce reporting burdens as much as possible. The rule also requires the filing of an annual audited report of financial statements. The FOCUS Report consists of: (1) Part I, which is a monthly report that must be filed by brokers or dealers that clear transactions or carry customer securities; (2) one of three alternative quarterly reports: Part II, which must be filed by brokers or dealers that clear transactions or carry customer securities; Part IIA, which must be filed by brokers or dealers that do not clear transactions or carry customer securities; and Part IIB, which must be filed by specialized broker-dealers registered with the Commission as OTC derivatives dealers; 2 (3) supplemental schedules, which must be filed annually; and (4) a facing page, which must be filed with the annual audited report of financial statements. Under the rule, a broker or dealer that computes certain of its capital charges in accordance with Appendix E to Exchange Act Rule 15c3–1 must file additional monthly, quarterly, and annual reports with the Commission. The Commission estimates that the total hours burden under Rule 17a–5 is approximately 356,020 hours per year when annualized, and the total cost burden under Rule 17a–5 is approximately $45,133,148 per year. 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 1 Rule 17a–5(c) requires a broker or dealer to furnish certain of its financial information to customers and is subject to a separate PRA filing (OMB Control Number 3235–0199). 2 Part IIB of Form X–17A–5 must be filed by OTC derivatives dealers under Exchange Act Rule 17a– 12 and is subject to a separate PRA filing (OMB control number 3235–0498). VerDate Sep<11>2014 15:11 Apr 04, 2017 Jkt 241001 estimate 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 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: March 30, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–06695 Filed 4–4–17; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–80349; File No. SR–FICC– 2017–001] Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections March 30, 2017. I. Introduction Fixed Income Clearing Corporation (‘‘FICC’’) filed with the Securities and Exchange Commission (‘‘Commission’’) on February 2, 2017 the proposed rule change SR–FICC–2017–001 (‘‘Proposed Rule Change’’) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder.2 The Proposed Rule Change 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. FICC also filed this proposal as an advance notice pursuant to Section 802(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b–4(n)(1) under the Act. 15 U.S.C. 5465(e)(1) and 17 CFR 240.19b–4(n)(1). The advance notice was published for comment in the Federal Register on March 2, 2017. See Securities Exchange Act Release No. 80139 (March 2, 2017), 82 FR 80139 (March 8, 2017) (SR–FICC–2017–801) (‘‘Advance Notice’’). 2 17 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 was published for comment in the Federal Register on February 9, 2017.3 The Commission received three comment letters 4 to the Proposed Rule Change, including a response letter from FICC. II. Description of the Proposed Rule Change The Proposed Rule Change proposes several amendments to the FICC Government Securities Division (‘‘GSD’’) Rulebook (‘‘GSD Rules’’) 5 designed to provide FICC with a supplemental means to calculate the VaR Charge component of its GSD Netting Members’ (‘‘Netting Members’’) daily margin requirement, known as the ‘‘Required Fund Deposit.’’ Specifically, under the proposal, FICC would include a minimum volatility calculation for a Netting Member’s VaR Charge called the ‘‘Margin Proxy.’’ FICC represents that the Margin Proxy would enhance the risk-based model and parameters that FICC uses to establish Netting Members’ Required Fund Deposits by enabling FICC to better identify the risk posed by a Netting Member’s unsettled portfolio. A. Overview of the Required Fund Deposit According to FICC, a key tool it uses to manage market risk is the daily calculation and collection of Required Fund Deposits from its Netting Members. The Required Fund Deposit is intended to mitigate potential losses to FICC associated with liquidation of such Netting Member’s accounts at GSD that are used for margining purposes (‘‘Margin Portfolio’’) in the event that FICC ceases to act for such Netting Member (referred to as a Netting Member ‘‘Default’’). A Netting Member’s Required Fund Deposit consists of several components, including the VaR Charge and the Coverage Charge. The VaR Charge comprises the largest portion of a Netting Member’s Required Fund The Commission did not receive any comments on the Advance Notice. 3 Securities Exchange Act Release No. 79958 (February 3, 2017), 82 FR 10117 (February 9, 2017) (SR–FICC–2017–001)(‘‘Notice’’). 4 See letter from Robert E. Pooler, Chief Financial Officer, Ronin Capital LLC (‘‘Ronin’’), dated February 24, 2017, to Eduardo A. Aleman, Assistant Secretary, Commission (‘‘Ronin Letter’’); letter from Alan Levy, Managing Director, Industrial and Commercial Bank of China Financial Services LLC (‘‘ICBCFS’’), dated February 24, 2017, to Commission (‘‘ICBCFS Letter’’); and Timothy J. Cuddihy, Managing Director, FICC, dated March 8, 2017, to Eduardo A. Aleman, Assistant Secretary, Commission (‘‘FICC Letter’’) available at https:// www.sec.gov/comments/sr-ficc-2017–001/ ficc2017001.htm. 5 Available at https://www.dtcc.com/en/legal/ rules-and-procedures. E:\FR\FM\05APN1.SGM 05APN1

Agencies

[Federal Register Volume 82, Number 64 (Wednesday, April 5, 2017)]
[Notices]
[Pages 16637-16638]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-06695]


=======================================================================
-----------------------------------------------------------------------

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-5; SEC File No. 270-155, OMB Control No. 3235-0123.

    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-5 (17 CFR 240.17a-
5), under the Securities

[[Page 16638]]

Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to 
submit this existing collection of information to the Office of 
Management and Budget (``OMB'') for extension and approval.
    Rule 17a-5 is the basic financial reporting rule for brokers and 
dealers.\1\ The rule requires the filing of Form X-17A-5, the Financial 
and Operational Combined Uniform Single Report (``FOCUS Report''), 
which was the result of years of study and comments by representatives 
of the securities industry through advisory committees and through the 
normal rule proposal methods. The FOCUS Report was designed to 
eliminate the overlapping regulatory reports required by various self-
regulatory organizations and the Commission and to reduce reporting 
burdens as much as possible. The rule also requires the filing of an 
annual audited report of financial statements.
---------------------------------------------------------------------------

    \1\ Rule 17a-5(c) requires a broker or dealer to furnish certain 
of its financial information to customers and is subject to a 
separate PRA filing (OMB Control Number 3235-0199).
---------------------------------------------------------------------------

    The FOCUS Report consists of: (1) Part I, which is a monthly report 
that must be filed by brokers or dealers that clear transactions or 
carry customer securities; (2) one of three alternative quarterly 
reports: Part II, which must be filed by brokers or dealers that clear 
transactions or carry customer securities; Part IIA, which must be 
filed by brokers or dealers that do not clear transactions or carry 
customer securities; and Part IIB, which must be filed by specialized 
broker-dealers registered with the Commission as OTC derivatives 
dealers; \2\ (3) supplemental schedules, which must be filed annually; 
and (4) a facing page, which must be filed with the annual audited 
report of financial statements. Under the rule, a broker or dealer that 
computes certain of its capital charges in accordance with Appendix E 
to Exchange Act Rule 15c3-1 must file additional monthly, quarterly, 
and annual reports with the Commission.
---------------------------------------------------------------------------

    \2\ Part IIB of Form X-17A-5 must be filed by OTC derivatives 
dealers under Exchange Act Rule 17a-12 and is subject to a separate 
PRA filing (OMB control number 3235-0498).
---------------------------------------------------------------------------

    The Commission estimates that the total hours burden under Rule 
17a-5 is approximately 356,020 hours per year when annualized, and the 
total cost burden under Rule 17a-5 is approximately $45,133,148 per 
year.
    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 
estimate 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 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: March 30, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-06695 Filed 4-4-17; 8:45 am]
 BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.