Proposed Collection; Comment Request, 32221-32222 [2017-14567]
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Federal Register / Vol. 82, No. 132 / Wednesday, July 12, 2017 / Notices
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–CBOE–
2017–051 and should be submitted on
or before August 2, 2017.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.14
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–14555 Filed 7–11–17; 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.
asabaliauskas on DSKBBXCHB2PROD with NOTICES
Extension:
Rule 173, SEC File No. 270–557, OMB
Control No. 3235–0618.
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
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Securities Act Rule 173 (17 CFR
230.173) provides a notice of
registration to investors who purchased
securities in a registered offering under
the Securities Act of 1933 (15 U.S.C. 77a
et seq.). A Rule 173 notice must be
provided by underwriter or dealer to
each investor who purchased securities
from the underwriter or dealer. The
Rule 173 notice is not publicly
available. We estimate that it takes
approximately 0.0167 hour per response
to provide the information required
under Rule 173 and that the information
is filed by approximately 5,338
14 17
CFR 200.30–3(a)(12).
VerDate Sep<11>2014
17:54 Jul 11, 2017
Jkt 241001
respondents approximately 43,546 times
a year for a total of 232,448,548
responses. We estimate that the total
annual reporting burden for Rule 173 is
3,881,891 hours (0.0167 hours per
response × 232,448,548 responses).
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the
collections 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
unless it displays a currently valid
control number.
Please direct your written comment 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: July 7, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–14572 Filed 7–11–17; 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
Extension: Rule 15g–9
SEC File No. 270–325, OMB Control No.
3235–0385
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 comment
on the collection of information
described below. The Commission plans
to submit this existing collection of
information to the Office of
PO 00000
Frm 00062
Fmt 4703
Sfmt 4703
32221
Management and Budget (OMB) for
extension and approval.
Section 15(c)(2) of the Securities
Exchange Act of 1934 (15 U.S. C. 78a et
seq.) (the ‘‘Exchange Act’’) authorizes
the Commission to promulgate rules
that prescribe means reasonably
designed to prevent fraudulent,
deceptive, or manipulative practices in
connection with over-the-counter
(‘‘OTC’’) securities transactions.
Pursuant to this authority, the
Commission in 1989 adopted Rule 15a–
6, which was subsequently redesignated
as Rule 15g–9, 17 CFR 240.15g–9 (the
‘‘Rule’’). The Rule requires brokerdealers to produce a written suitability
determination for, and to obtain a
written customer agreement to, certain
recommended transactions in penny
stocks that are not registered on a
national securities exchange, and whose
issuers do not meet certain minimum
financial standards. The Rule is
intended to prevent the indiscriminate
use by broker-dealers of fraudulent, high
pressure telephone sales campaigns to
sell penny stocks to unsophisticated
customers.
The Commission staff estimates that
there are approximately 198 brokerdealers subject to the Rule. The burden
of the Rule on a respondent varies
widely depending on the frequency
with which new customers are solicited.
On the average for all respondents, the
staff has estimated that respondents
process three new customers per week,
or approximately 156 new customer
suitability determinations per year. We
also estimate that a broker-dealer would
expend approximately one-half hour per
new customer in obtaining, reviewing,
and processing (including transmitting
to the customer) the information
required by Rule 15g–9, and each
respondent would consequently spend
78 hours annually (156 customers × .5
hours) obtaining the information
required in the rule. We determined,
based on the estimate of 198 brokerdealer respondents, that the current
annual burden of Rule 15g–9 is 15,444
hours (198 respondents × 78 hours).
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
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information on respondents; and
(d) ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
E:\FR\FM\12JYN1.SGM
12JYN1
32222
Federal Register / Vol. 82, No. 132 / Wednesday, July 12, 2017 / Notices
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 comments may be sent by
email to: PRA_Mailbox@sec.gov.
Dated: July 6, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–14567 Filed 7–11–17; 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
asabaliauskas on DSKBBXCHB2PROD with NOTICES
Extension: Form F–3
SEC File No. 270–251, OMB Control No.
3235–0256
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
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Form F–3 (17 CFR 239.33) is used by
foreign issuers to register securities
pursuant to the Securities Act of 1933
(15 U.S.C. 77a et seq.). The information
collected is intended to ensure that the
information required to be filed by the
Commission permits verification of
compliance with securities law
requirements and assures the public
availability of such information. Form
F–3 takes approximately 167 hours per
response and is filed by approximately
112 respondents. We estimate that 25%
of the 167 hours per response (41.757
hours) is prepared by the registrant for
a total annual reporting burden of 4,677
hours (41.757 hours per response × 112
responses).
VerDate Sep<11>2014
17:54 Jul 11, 2017
Jkt 241001
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the 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
unless it displays a currently valid
control number.
Please direct your written comment 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: July 7, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–14570 Filed 7–11–17; 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
Extension: Rule 236
SEC File No. 270–118, OMB Control No.
3235–0095
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
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Securities Act Rule 236 (17 CFR
230.236) provides an exemption from
registration under the Securities Act for
the offering of shares of stock or similar
securities to provide funds to be
PO 00000
Frm 00063
Fmt 4703
Sfmt 4703
distributed to security holders in lieu of
fractional shares, scrip certificates or
order forms, in connection with a stock
dividend, stock split, reverse stock split,
conversion, merger or similar
transaction. Issuers wishing to rely upon
the exemption are required to furnish
specified information to the
Commission at least 10 days prior to the
offering. The information is needed to
provide notice that the issuer is relying
on the exemption. Approximately 10
respondents file the information
required by Rule 236 at an estimated 1.5
hours per response for a total annual
reporting burden of 15 hours (1.5 hours
per response x 10 responses).
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the 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
unless it displays a currently valid
control number.
Please direct your written comment 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: July 7, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–14573 Filed 7–11–17; 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
Extension: Form CB
SEC File No. 270–457, OMB Control No.
3235–0518
E:\FR\FM\12JYN1.SGM
12JYN1
]]>Agencies
[Federal Register Volume 82, Number 132 (Wednesday, July 12, 2017)]
[Notices]
[Pages 32221-32222]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-14567]
-----------------------------------------------------------------------
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 15g-9
SEC File No. 270-325, OMB Control No. 3235-0385
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 comment on the collection of
information described below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget (OMB) for extension and approval.
Section 15(c)(2) of the Securities Exchange Act of 1934 (15 U.S. C.
78a et seq.) (the ``Exchange Act'') authorizes the Commission to
promulgate rules that prescribe means reasonably designed to prevent
fraudulent, deceptive, or manipulative practices in connection with
over-the-counter (``OTC'') securities transactions. Pursuant to this
authority, the Commission in 1989 adopted Rule 15a-6, which was
subsequently redesignated as Rule 15g-9, 17 CFR 240.15g-9 (the
``Rule''). The Rule requires broker-dealers to produce a written
suitability determination for, and to obtain a written customer
agreement to, certain recommended transactions in penny stocks that are
not registered on a national securities exchange, and whose issuers do
not meet certain minimum financial standards. The Rule is intended to
prevent the indiscriminate use by broker-dealers of fraudulent, high
pressure telephone sales campaigns to sell penny stocks to
unsophisticated customers.
The Commission staff estimates that there are approximately 198
broker-dealers subject to the Rule. The burden of the Rule on a
respondent varies widely depending on the frequency with which new
customers are solicited. On the average for all respondents, the staff
has estimated that respondents process three new customers per week, or
approximately 156 new customer suitability determinations per year. We
also estimate that a broker-dealer would expend approximately one-half
hour per new customer in obtaining, reviewing, and processing
(including transmitting to the customer) the information required by
Rule 15g-9, and each respondent would consequently spend 78 hours
annually (156 customers x .5 hours) obtaining the information required
in the rule. We determined, based on the estimate of 198 broker-dealer
respondents, that the current annual burden of Rule 15g-9 is 15,444
hours (198 respondents x 78 hours).
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 estimates of
the burden of the proposed collection of information; (c) ways to
enhance the quality, utility, and clarity of the information on
respondents; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or
[[Page 32222]]
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 comments may
be sent by email to: PRA_Mailbox@sec.gov.
Dated: July 6, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-14567 Filed 7-11-17; 8:45 am]
BILLING CODE 8011-01-P
