Submission for OMB Review; Comment Request, 22027 [2017-09582]

Download as PDF Federal Register / Vol. 82, No. 90 / Thursday, May 11, 2017 / Notices For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.21 Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–09528 Filed 5–10–17; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION 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. asabaliauskas on DSK3SPTVN1PROD with NOTICES Extension: ‘‘Investor Form’’, SEC File No. 270–485, OMB Control No. 3235–0547. 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 (‘‘OMB’’) a request to approve the collection of information discussed below. Each year the Commission receives several thousand contacts from investors who have complaints or questions on a wide range of investment-related issues. To make it easier for the public to contact the agency electronically, the Commission’s Office of Investor Education and Advocacy (‘‘OIEA’’) created an electronic form (the Investor Form) that provides drop down options to choose from in order to categorize the investor’s complaint or question, and may also provide the investor with automated information about their issue. The Investor Form asks investors to provide information concerning, among other things, their names, how they can be reached, the names of the individuals or entities involved, the nature of their complaint or tip, what documents they can provide, and what, if any, actions they have taken. Use of the Investor Form is voluntary. Absent the forms, the public still has several ways to contact the agency, including telephone, facsimile, letters, and email. Investors can access the Investor Form through the consolidated Investor Complaint and Question Web page. The dual purpose of the Investor Form is to make it easier for the public to contact the agency with complaints, questions, tips, or other feedback and to streamline the workflow of Commission staff that record, process, and respond to investor contacts. Investors who submit complaints, ask questions, or provide tips do so voluntarily. Although the Investor Form provides a structured format for incoming investor correspondence, the Commission does not require that investors use any particular form or format when contacting the agency. Investors who choose not to use the Investor Form will receive the same level of service as those who do. OIEA receives approximately 20,000 contacts each year through the Investor Form. Investors who choose not to use the Investor Form receive the same level of service as those who do. The Commission uses the information that investors supply on the Investor Form to review and process the contact (which may, in turn, involve responding to questions, processing complaints, or, as appropriate, initiating enforcement investigations), to maintain a record of contacts, to track the volume of investor complaints, and to analyze trends. The staff of the Commission estimates that the total reporting burden for using the Investor Form is 5,000 hours. The calculation of this estimate depends on the number of investors who use the forms each year and the estimated time it takes to complete the forms: 20,000 respondents × 15 minutes = 5,000 burden hours. Members of the public should be aware that an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless a currently valid OMB control number is displayed. Background documentation for this information collection may be viewed at the following link, https:// www.reginfo.gov. General comments regarding the above information should be directed to the following persons: (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 send an email to: Shagufta_Ahmed@ omb.eop.gov; and (ii) Pamela C. Dyson, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 F St 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: May 5, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–09582 Filed 5–10–17; 8:45 am] 21 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 16:52 May 10, 2017 BILLING CODE 8011–01–P Jkt 241001 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 22027 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–80607; File No. SR– BatsEDGX–2017–16] Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of Bats EDGX Exchange, Inc. To Authorize the Exchange To Share a User’s Risk Settings With the Clearing Firm That Clears Transactions on Behalf of the User May 5, 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 April 24, 2017, Bats EDGX Exchange, Inc. (the ‘‘Exchange’’ or ‘‘EDGX’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange has designated this proposal as a ‘‘noncontroversial’’ proposed rule change pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b–4(f)(6) thereunder,4 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 Substance of the Proposed Rule Change The Exchange filed a proposal to amend Rule 11.13, Clearance and Settlement; Anonymity, to authorize the Exchange to share a User’s 5 risk settings with the clearing firm that clears transactions on behalf of the User. The text of the proposed rule change is available at the Exchange’s Web site at www.batstrading.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 Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b–4(f)(6). 5 A User is defined as ‘‘any Member or Sponsored Participant who is authorized to obtain access to the System pursuant to Rule 11.3.’’ See Exchange Rule 1.5(ee). 2 17 E:\FR\FM\11MYN1.SGM 11MYN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 82, Number 90 (Thursday, May 11, 2017)]
[Notices]
[Page 22027]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-09582]


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

SECURITIES AND EXCHANGE COMMISSION


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:
    ``Investor Form'', SEC File No. 270-485, OMB Control No. 3235-
0547.

    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 (``OMB'') a request to approve the collection of information 
discussed below.
    Each year the Commission receives several thousand contacts from 
investors who have complaints or questions on a wide range of 
investment-related issues. To make it easier for the public to contact 
the agency electronically, the Commission's Office of Investor 
Education and Advocacy (``OIEA'') created an electronic form (the 
Investor Form) that provides drop down options to choose from in order 
to categorize the investor's complaint or question, and may also 
provide the investor with automated information about their issue. The 
Investor Form asks investors to provide information concerning, among 
other things, their names, how they can be reached, the names of the 
individuals or entities involved, the nature of their complaint or tip, 
what documents they can provide, and what, if any, actions they have 
taken. Use of the Investor Form is voluntary. Absent the forms, the 
public still has several ways to contact the agency, including 
telephone, facsimile, letters, and email. Investors can access the 
Investor Form through the consolidated Investor Complaint and Question 
Web page.
    The dual purpose of the Investor Form is to make it easier for the 
public to contact the agency with complaints, questions, tips, or other 
feedback and to streamline the workflow of Commission staff that 
record, process, and respond to investor contacts. Investors who submit 
complaints, ask questions, or provide tips do so voluntarily. Although 
the Investor Form provides a structured format for incoming investor 
correspondence, the Commission does not require that investors use any 
particular form or format when contacting the agency. Investors who 
choose not to use the Investor Form will receive the same level of 
service as those who do.
    OIEA receives approximately 20,000 contacts each year through the 
Investor Form. Investors who choose not to use the Investor Form 
receive the same level of service as those who do. The Commission uses 
the information that investors supply on the Investor Form to review 
and process the contact (which may, in turn, involve responding to 
questions, processing complaints, or, as appropriate, initiating 
enforcement investigations), to maintain a record of contacts, to track 
the volume of investor complaints, and to analyze trends.
    The staff of the Commission estimates that the total reporting 
burden for using the Investor Form is 5,000 hours. The calculation of 
this estimate depends on the number of investors who use the forms each 
year and the estimated time it takes to complete the forms: 20,000 
respondents x 15 minutes = 5,000 burden hours.
    Members of the public should be aware that an agency may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless a currently valid OMB control number 
is displayed. Background documentation for this information collection 
may be viewed at the following link, https://www.reginfo.gov. General 
comments regarding the above information should be directed to the 
following persons: (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 send an email to: Shagufta_Ahmed@omb.eop.gov; 
and (ii) Pamela C. Dyson, Director/Chief Information Officer, 
Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 F St 
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: May 5, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-09582 Filed 5-10-17; 8:45 am]
BILLING CODE 8011-01-P

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