Submission for OMB Review; Comment Request, 23884 [2017-10620]
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Federal Register / Vol. 82, No. 99 / Wednesday, May 24, 2017 / Notices
amount per share of common stock, any
of which may be adjusted from time to
time (a ‘‘Distribution Policy’’).
3. Applicants request an order under
section 6(c) of the Act granting an
exemption from section 19(b) of the Act
and rule 19b–1 to permit the Fund to
distribute periodic capital gain
dividends (as defined in section
852(b)(3)(C) of the Code) as frequently
as twelve times in any one taxable year
in respect of its common stock and as
often as specified by, or determined in
accordance with the terms of, any
preferred stock issued by the Fund.
Section 6(c) of the Act provides, in
relevant part, that the Commission may
exempt any person or transaction from
any provision of the Act to the extent
that such exemption is necessary or
appropriate in the public interest and
consistent with the protection of
investors and the purposes fairly
intended by the policy and provisions of
the Act.
4. Applicants state that any order
granting the requested relief will be
subject to the terms and conditions
stated in the application, which
generally are designed to address the
concerns underlying section 19(b) and
rule 19b–1, including concerns about
proper disclosures and shareholders’
understanding of the source(s) of a
Fund’s distributions and concerns about
improper sales practices. Among other
things, such terms and conditions
require that (1) the board of directors or
trustees of the Fund (the ‘‘Board’’)
review such information as is
reasonably necessary to make an
informed determination of whether to
adopt the proposed Distribution Policy
and that the Board periodically review
the amount of the distributions in light
of the investment experience of the
Fund, and (2) that the Fund’s
shareholders receive appropriate
disclosures concerning the
distributions.
For the Commission, by the Division of
Investment Management, under delegated
authority.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–10578 Filed 5–23–17; 8:45 am]
asabaliauskas on DSK3SPTVN1PROD with NOTICES
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–197, OMB Control No.
3235–0200]
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Office of FOIA Services, 100 F
VerDate Sep<11>2014
19:43 May 23, 2017
Jkt 241001
Street NE., Washington, DC 20549–
2736.
Extension:
Rule 15c3–1.
Dated: May 19, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–10620 Filed 5–23–17; 8:45 am]
BILLING CODE 8011–01–P
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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 15c3–1 (17 CFR 240.15c3–1) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
Rule 15c3–1 requires brokers-dealers
to have at all times sufficient liquid
assets to meet their current liabilities,
particularly the claims of customers.
The rule facilitates the monitoring of the
financial condition of broker-dealers by
the Commission and the various selfregulatory organizations. It is estimated
that broker-dealer respondents
registered with the Commission and
subject to the collection of information
requirements of Rule 15c3–1 incur an
aggregate annual burden of 65,915.31
hours to comply with this rule and an
aggregate annual external cost of
$160,000.
Rule 15c3–1 does not contain record
retention requirements. Compliance
with the rule is mandatory. The
required records are available only to
the examination staff of the Commission
and the self-regulatory organization of
which the broker-dealer is a member.
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.
The public may view 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.
PO 00000
Frm 00113
Fmt 4703
Sfmt 4703
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–80723; File No. SR–
NYSEMKT–2017–27]
Self-Regulatory Organizations; NYSE
MKT LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend Rule 103B—
Equities
May 18, 2017.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that on May 4,
2017, NYSE MKT LLC (the ‘‘Exchange’’
or ‘‘NYSE MKT’’) filed with the
Securities and Exchange Commission
(the ‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which Items have been prepared
by the self-regulatory organization. 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 proposes to amend
Rule 103B—Equities, which governs the
allocation of securities to Designated
Market Makers (‘‘DMMs’’). The
proposed rule change is available on the
Exchange’s Web site at www.nyse.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
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 those 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.
1 15
U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
2 15
E:\FR\FM\24MYN1.SGM
24MYN1
]]>Agencies
[Federal Register Volume 82, Number 99 (Wednesday, May 24, 2017)]
[Notices]
[Page 23884]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-10620]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-197, OMB Control No. 3235-0200]
Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: Office of FOIA Services,
100 F Street NE., Washington, DC 20549-2736.
Extension:
Rule 15c3-1.
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'') has submitted to the Office of Management
and Budget (``OMB'') a request for approval of extension of the
previously approved collection of information provided for in Rule
15c3-1 (17 CFR 240.15c3-1) under the Securities Exchange Act of 1934
(15 U.S.C. 78a et seq.) (``Exchange Act'').
Rule 15c3-1 requires brokers-dealers to have at all times
sufficient liquid assets to meet their current liabilities,
particularly the claims of customers. The rule facilitates the
monitoring of the financial condition of broker-dealers by the
Commission and the various self-regulatory organizations. It is
estimated that broker-dealer respondents registered with the Commission
and subject to the collection of information requirements of Rule 15c3-
1 incur an aggregate annual burden of 65,915.31 hours to comply with
this rule and an aggregate annual external cost of $160,000.
Rule 15c3-1 does not contain record retention requirements.
Compliance with the rule is mandatory. The required records are
available only to the examination staff of the Commission and the self-
regulatory organization of which the broker-dealer is a member.
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.
The public may view 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: May 19, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-10620 Filed 5-23-17; 8:45 am]
BILLING CODE 8011-01-P
