Submission for OMB Review; Comment Request, 39143 [2017-17407]

Download as PDF Federal Register / Vol. 82, No. 158 / Thursday, August 17, 2017 / Notices sradovich on DSK3GMQ082PROD with NOTICES multiplied by an average hourly rate of $207 6). The total resulting internal cost of compliance for a respondent is $14,283 per year (3 responses × $4,761 per response). In addition to filing its proposed rule changes, and any amendments thereto, with the Commission, a respondent is also required to post each of its proposals and any amendments thereto, on its Web site. This process takes approximately 0.5 hours to complete per proposal and 0.5 hours per amendment. Thus, for the approximately 3 responses and 0 amendments,7 the total annual reporting burden on a respondent to post these on its Web site is 1.5 hours ((3 proposals per year × 0.5 hours per filing) + (0 amendments × 0.5 hours)). Further, a respondent is required to update its rulebook, which it maintains on its Web site, to reflect the changes that it makes in each proposal and any amendment thereto. Thus, for all filings that were not withdrawn by a respondent (0 withdrawn filings in calendar years 2014–2016) or disapproved by the Commission (0 disapproved filings in calendar years 2014–2016), a respondent was required to update its online rulebook to reflect the effectiveness of 3 filings on average, each of which takes approximately 4 hours to complete per proposal. Thus, the total annual reporting burden for updating an online rulebook is 12 hours ((3 filings per year—0 withdrawn filings—0 disapproved filings) × 4 hours). Compliance with Rule 19b–7 is mandatory. Information received in response to Rule 19b–7 is not kept confidential; the information collected is public information. 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 PavlikSimon, 100 F Street NE., Washington, DC 20549, or by sending an email to: PRA_ Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Commission staff to account for inflation and an 1800-hour work-year and then multiplied by 5.35 to account for bonuses, firm size, employee benefits, and overhead. 6 The $207 per hour figure for a Paralegal is from SIFMA’s Management & Professional Earnings in the Securities Industry 2013, modified by Commission staff to account for inflation and an 1800-hour work-year and then multiplied by 5.35 to account for bonuses, firm size, employee benefits, and overhead. 7 See supra note 4. VerDate Sep<11>2014 19:44 Aug 16, 2017 Jkt 241001 Dated: August 14, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–17405 Filed 8–16–17; 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 Extension: Rule 17a–10, SEC File No. 270–154, OMB Control No. 3235–0122 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 17a–10 (17 CFR 240.17a–10) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The primary purpose of Rule 17a–10 is to obtain the economic and statistical data necessary for an ongoing analysis of the securities industry. Paragraph (a)(1) of Rule 17a–10 generally requires broker-dealers that are exempted from the requirement to file monthly and quarterly reports pursuant to paragraph (a) of Exchange Act Rule 17a–5 (17 CFR 240.17a–5) to file with the Commission the Facing Page, a Statement of Income (Loss), and balance sheet from Part IIA of Form X–17A–5 1 (17 CFR 249.617), and Schedule I of Form X–17A–5 not later than 17 business days after the end of each calendar year. Paragraph (a)(2) of Rule 17a–10 requires a broker-dealer subject to Rule 17a–5(a) to submit Schedule I of Form X–17A–5 with its Form X–17A–5 for the calendar quarter ending December 31 of each year. The burden associated with filing Schedule I of Form X–17A–5 is accounted for in the PRA filing associated with Rule 17a–5. Paragraph (b) of Rule 17a–10 provides that the provisions of paragraph (a) do not apply to members of national securities exchanges or registered national securities associations that maintain records containing the 1 Form X–17A–5 is the Financial and Operational Combined Uniform Single Report (‘‘FOCUS Report’’), which is used by broker-dealers to provide certain required information to the Commission. PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 39143 information required by Form X–17A–5 and which transmit to the Commission copies of the records pursuant to a plan which has been declared effective by the Commission. The Commission estimates that approximately 38 broker-dealers will spend an average of 12 hours per year complying with Rule 17a–10. Thus, the total compliance burden is estimated to be approximately 456 burden-hours per year. 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 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 by sending an email to: PRA_ Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: August 14, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–17407 Filed 8–16–17; 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. Extension: Rule 17f–2(e); SEC File No. 270– 037; OMB Control No. 3235–0031. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (‘‘PRA’’) (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 for approval of extension of the previously approved collection of information provided for in Rule 17f–2(e) (17 CFR 240.17f–2(e)) E:\FR\FM\17AUN1.SGM 17AUN1

Agencies

[Federal Register Volume 82, Number 158 (Thursday, August 17, 2017)]
[Notices]
[Page 39143]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-17407]


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

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:
    Rule 17a-10, SEC File No. 270-154, OMB Control No. 3235-0122

    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 17a-
10 (17 CFR 240.17a-10) under the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.) (``Exchange Act'').
    The primary purpose of Rule 17a-10 is to obtain the economic and 
statistical data necessary for an ongoing analysis of the securities 
industry. Paragraph (a)(1) of Rule 17a-10 generally requires broker-
dealers that are exempted from the requirement to file monthly and 
quarterly reports pursuant to paragraph (a) of Exchange Act Rule 17a-5 
(17 CFR 240.17a-5) to file with the Commission the Facing Page, a 
Statement of Income (Loss), and balance sheet from Part IIA of Form X-
17A-5 \1\ (17 CFR 249.617), and Schedule I of Form X-17A-5 not later 
than 17 business days after the end of each calendar year.
---------------------------------------------------------------------------

    \1\ Form X-17A-5 is the Financial and Operational Combined 
Uniform Single Report (``FOCUS Report''), which is used by broker-
dealers to provide certain required information to the Commission.
---------------------------------------------------------------------------

    Paragraph (a)(2) of Rule 17a-10 requires a broker-dealer subject to 
Rule 17a-5(a) to submit Schedule I of Form X-17A-5 with its Form X-17A-
5 for the calendar quarter ending December 31 of each year. The burden 
associated with filing Schedule I of Form X-17A-5 is accounted for in 
the PRA filing associated with Rule 17a-5.
    Paragraph (b) of Rule 17a-10 provides that the provisions of 
paragraph (a) do not apply to members of national securities exchanges 
or registered national securities associations that maintain records 
containing the information required by Form X-17A-5 and which transmit 
to the Commission copies of the records pursuant to a plan which has 
been declared effective by the Commission.
    The Commission estimates that approximately 38 broker-dealers will 
spend an average of 12 hours per year complying with Rule 17a-10. Thus, 
the total compliance burden is estimated to be approximately 456 
burden-hours per year.
    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 
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 by 
sending an email to: PRA_Mailbox@sec.gov. Comments must be submitted to 
OMB within 30 days of this notice.

     Dated: August 14, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-17407 Filed 8-16-17; 8:45 am]
BILLING CODE 8011-01-P
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