Proposed Collection; Comment Request, 42180-42181 [2017-18860]
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Federal Register / Vol. 82, No. 171 / Wednesday, September 6, 2017 / Notices
that retirement could not be permitted
to occur until it is confirmed that (1)
there are no material issues in CAT that
have not been corrected, (2) the CAT
includes all data necessary to allow the
SROs to continue to meet their
surveillance obligations, and (3) the
Plan Processor is sufficiently meeting all
of its obligations under the CAT NMS
Plan? Why or why not? What are the
costs and benefits of the proposed
approach versus an alternative
approach, which may include not
having any additional qualitative
considerations?
14. To what extent should the SROs
consider CAT performance regarding
functions and data elements not present
within existing audit trail systems when
determining when to allow retirement of
those existing systems? What are the
costs and benefits of the proposed
approach versus any alternative
approach that you would recommend?
Do you believe that the Systems
Retirement Proposals will promote
efficiency, competition, and capital
formation? Please submit any data or
information that would assist the
Commission in considering these issues.
15. Do you agree with the length of
the assessment period proposed by the
SROs? Why or why not? If not, what
alternative do you believe would be
more appropriate and why? What are
the costs and benefits of the proposed
approach versus any alternative
approach that you would recommend?
To the extent possible, please provide
specific data, analyses, or studies for
support.
Comments may be submitted by any
of the following methods:
asabaliauskas on DSKBBXCHB2PROD with NOTICES
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include any of File
Numbers SR–BatsBZX–2017–37, SR–
BatsEDGX–2017–23, SR–BOX–2017–17,
SR–BX–2017–027, SR–C2–2017–018,
SR–CBOE–2017–041, SR–FINRA–2017–
013, SR–IEX–2017–18, SR–ISE–2017–
46, SR–MIAX–2017–20, SR–NASDAQ–
2017–055, SR–PEARL–2017–23, SR–
NYSE–2017–23, SR–NYSEArca–2017–
57, SR–NYSEArca–2017–59, SR–
NYSEMKT–2017–29, SR–NYSEMKT–
2017–30, or SR–Phlx–2017–43, as
appropriate, on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE.,
Washington, DC 20549–1090.
VerDate Sep<11>2014
17:37 Sep 05, 2017
Jkt 241001
All submissions should refer to any
of: File Numbers SR–BatsBZX–2017–37,
SR–BatsEDGX–2017–23, SR–BOX–
2017–17, SR–BX–2017–027, SR–C2–
2017–018, SR–CBOE–2017–041, SR–
FINRA–2017–013, SR–IEX–2017–18,
SR–ISE–2017–46, SR–MIAX–2017–20,
SR–NASDAQ–2017–055, SR–PEARL–
2017–23, SR–NYSE–2017–23, SR–
NYSEArca–2017–57, SR–NYSEArca–
2017–59, SR–NYSEMKT–2017–29, SR–
NYSEMKT–2017–30, or SR–Phlx–2017–
43, as appropriate. The file number
should be included on the subject line
if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
Internet Web site (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
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 SRO. 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 any of
File Numbers SR–BatsBZX–2017–37,
SR–BatsEDGX–2017–23, SR–BOX–
2017–17, SR–BX–2017–027, SR–C2–
2017–018, SR–CBOE–2017–041, SR–
FINRA–2017–013, SR–IEX–2017–18,
SR–ISE–2017–46, SR–MIAX–2017–20,
SR–NASDAQ–2017–055, SR–PEARL–
2017–23, SR–NYSE–2017–23, SR–
NYSEArca–2017–57, SR–NYSEArca–
2017–59, SR–NYSEMKT–2017–29, SR–
NYSEMKT–2017–30, or SR–Phlx–2017–
43, as appropriate, and should be
submitted by September 27, 2017.
Rebuttal comments should be submitted
by October 11, 2017.
150 17 CFR 200.30–3(a)(12); 17 CFR 200.30–
3(a)(57).
PO 00000
Frm 00125
Fmt 4703
Sfmt 4703
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.150
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–18793 Filed 9–5–17; 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 N–54C, SEC File No. 270–184, OMB
Control No. 3235–0236.
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 (the
‘‘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.
Certain investment companies can
elect to be regulated as business
development companies, as defined in
section 2(a)(48) of the Investment
Company Act of 1940 (‘‘Investment
Company Act’’), under sections 55
through 65 of the Investment Company
Act. Under section 54(a) of the
Investment Company Act,1 any
company defined in section 2(a)(48)(A)
and (B) of the Investment Company Act
may, if it meets certain enumerated
eligibility requirements, elect to be
subject to the provisions of Sections 55
through 65 of the Investment Company
Act by filing with the Commission a
notification of election. Under section
54(c) of the Investment Company Act,2
any business development company
may voluntarily withdraw its election
under section 54(a) of the Investment
Company Act by filing a notice of
withdrawal of election with the
Commission. The Commission has
adopted Form N–54C as the form for the
notification of withdrawal of election to
be subject to Sections 55 through 65 of
the Investment Company Act. The
purpose of Form N–54C is to notify the
Commission that the business
development company withdraws its
election to be subject to Sections 55
1 15
2 15
E:\FR\FM\06SEN1.SGM
U.S.C. 80a–53(a).
U.S.C. 80a–53(c).
06SEN1
Federal Register / Vol. 82, No. 171 / Wednesday, September 6, 2017 / Notices
asabaliauskas on DSKBBXCHB2PROD with NOTICES
through 65 of the Investment Company
Act.
The Commission estimates that on
average approximately four business
development companies file
notifications on Form N–54C each year.
Each of those business development
companies need only make a single
filing of Form N–54C. The Commission
further estimates that this information
collection imposes a burden of one
hour, resulting in a total annual burden
of four hours. Based on the estimated
wage rate, the total cost to the business
development company industry of the
hour burden for complying with Form
N–54C would be approximately $1,380.3
The collection of information under
Form N–54C is mandatory. The
information provided by the form is not
kept confidential. 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 OMB control number.
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 will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of 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.
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.
3 The industry burden is calculated by
multiplying the total annual hour burden to prepare
Form N–54C (four) by the estimated hourly wage
rate of $345 for a compliance attorney or other
similarly situated business development company
employee. The estimated wage figure is based on
published rates for compliance attorneys from the
Securities Industry and Financial Markets
Association’s Report on Management & Professional
Earnings in the Securities Industry 2013, modified
by Commission staff to account for an 1800 hour
work-year and inflation, and multiplied by 5.35 to
account for bonuses, firm size, employee benefits
and overhead, yielding an effective hourly rate of
$1,380.
VerDate Sep<11>2014
17:37 Sep 05, 2017
Jkt 241001
42181
Dated: August 31, 2017.
Eduardo A. Aleman,
Assistant Secretary.
forth in Sections A, B, and C below, of
the most significant parts of such
statements.
[FR Doc. 2017–18860 Filed 9–5–17; 8:45 am]
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–81497; File No. SR–
BatsBZX–2017–55]
Self-Regulatory Organizations; Bats
BZX Exchange, Inc.; Notice of Filing of
a Proposed Rule Change, as Modified
by Amendment No. 1, To Harmonize
the Corporate Governance Framework
With That of Chicago Board Options
Exchange, Incorporated and C2
Options Exchange Incorporated
August 30, 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 August
23, 2017, Bats BZX Exchange, Inc.
(‘‘Exchange’’ or ‘‘BZX’’) 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. On August 25, 2017,
the Exchange filed Amendment No. 1 to
the proposed rule change. The
Commission is publishing this notice to
solicit comments on the proposed rule
change, as modified by Amendment No.
1, 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 and restate its certificate of
incorporation and bylaws, as well as
amend its Rules.
The text of the proposed rule change
is available at the Exchange’s Web site
at www.bats.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
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
1 15
2 17
PO 00000
U.S.C. 78s(b)(1).
CFR 240.19b–4.
Frm 00126
Fmt 4703
Sfmt 4703
1. Purpose
BZX submits this rule filing to the
Securities and Exchange Commission
(the ‘‘Commission’’) in connection with
a corporate transaction (the
‘‘Transaction’’) involving, among other
things, the recent acquisition of BZX,
along with Bats BYX Exchange, Inc.
(‘‘Bats BYX’’), Bats EDGX Exchange, Inc.
(‘‘Bats EDGX’’), and Bats EDGA
Exchange, Inc. (‘‘Bats EDGA’’ and,
together with Bats BZX, Bats BYX, and
Bats EDGX, the ‘‘Bats Exchanges’’) by
CBOE Holdings, Inc. (‘‘CBOE
Holdings’’). CBOE Holdings is also the
parent of Chicago Board Options
Exchange, Incorporated (‘‘CBOE’’) and
C2 Options Exchange, Incorporated
(‘‘C2’’). This filing proposes to amend
and restate the bylaws (and amend the
rules, accordingly) and the certificate of
incorporation of the Exchange based on
the bylaws and certificates of
incorporation of CBOE and C2.
Specifically, the Exchange proposes to
replace the certificate of incorporation
of Bats BZX Exchange, Inc., (the
‘‘current Certificate’’) in its entirety with
the Amended and Restated Certificate of
Incorporation of Bats BZX Exchange,
Inc. (the ‘‘proposed Certificate’’).
Additionally, the Exchange proposes to
replace the Fifth Amended and Restated
Bylaws of Bats BZX Exchange, Inc. (the
‘‘current Bylaws’’) in its entirety with
the Sixth Amended and Restated
Bylaws of Bats BZX Exchange, Inc. (the
‘‘proposed Bylaws’’). The Exchange
believes that it is important for each of
CBOE Holdings’ six U.S. securities
exchanges to have a consistent, uniform
approach to corporate governance.
Therefore, to simplify and unify the
governance and corporate practices of
these six exchanges, the Exchange
proposes to revise the current Certificate
and current Bylaws to conform them to
the certificates of incorporation and
bylaws of the CBOE and C2 exchanges
(i.e., the Third Amended and Restated
Certificate of Incorporation of Chicago
Board Options Exchange, Incorporated
and the Fourth Amended and Restated
Certificate of C2 Options Exchange,
Incorporated (collectively referred to
herein as the ‘‘CBOE Certificate’’) and
the Eighth Amended and Restated
Bylaws of Chicago Board Options
Exchange, Incorporated and the Eighth
Amended and Restated Bylaws of C2
E:\FR\FM\06SEN1.SGM
06SEN1
]]>Agencies
[Federal Register Volume 82, Number 171 (Wednesday, September 6, 2017)]
[Notices]
[Pages 42180-42181]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-18860]
-----------------------------------------------------------------------
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 N-54C, SEC File No. 270-184, OMB Control No. 3235-0236.
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 (the ``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.
Certain investment companies can elect to be regulated as business
development companies, as defined in section 2(a)(48) of the Investment
Company Act of 1940 (``Investment Company Act''), under sections 55
through 65 of the Investment Company Act. Under section 54(a) of the
Investment Company Act,\1\ any company defined in section 2(a)(48)(A)
and (B) of the Investment Company Act may, if it meets certain
enumerated eligibility requirements, elect to be subject to the
provisions of Sections 55 through 65 of the Investment Company Act by
filing with the Commission a notification of election. Under section
54(c) of the Investment Company Act,\2\ any business development
company may voluntarily withdraw its election under section 54(a) of
the Investment Company Act by filing a notice of withdrawal of election
with the Commission. The Commission has adopted Form N-54C as the form
for the notification of withdrawal of election to be subject to
Sections 55 through 65 of the Investment Company Act. The purpose of
Form N-54C is to notify the Commission that the business development
company withdraws its election to be subject to Sections 55
[[Page 42181]]
through 65 of the Investment Company Act.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 80a-53(a).
\2\ 15 U.S.C. 80a-53(c).
---------------------------------------------------------------------------
The Commission estimates that on average approximately four
business development companies file notifications on Form N-54C each
year. Each of those business development companies need only make a
single filing of Form N-54C. The Commission further estimates that this
information collection imposes a burden of one hour, resulting in a
total annual burden of four hours. Based on the estimated wage rate,
the total cost to the business development company industry of the hour
burden for complying with Form N-54C would be approximately $1,380.\3\
---------------------------------------------------------------------------
\3\ The industry burden is calculated by multiplying the total
annual hour burden to prepare Form N-54C (four) by the estimated
hourly wage rate of $345 for a compliance attorney or other
similarly situated business development company employee. The
estimated wage figure is based on published rates for compliance
attorneys from the Securities Industry and Financial Markets
Association's Report on Management & Professional Earnings in the
Securities Industry 2013, modified by Commission staff to account
for an 1800 hour work-year and inflation, and multiplied by 5.35 to
account for bonuses, firm size, employee benefits and overhead,
yielding an effective hourly rate of $1,380.
---------------------------------------------------------------------------
The collection of information under Form N-54C is mandatory. The
information provided by the form is not kept confidential. 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 OMB
control number.
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 will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of 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.
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: August 31, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-18860 Filed 9-5-17; 8:45 am]
BILLING CODE 8011-01-P
