Submission for OMB Review; Comment Request, 44676-44677 [2017-20359]

Download as PDF 44676 Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices believes that its proposal would not burden intramarket competition because the proposed rate would apply uniformly to all Members. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange has not solicited, and does not intend to solicit, comments on this proposed rule change. The Exchange has not received any unsolicited written comments from Members or other interested parties. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act 21 and paragraph (f) of Rule 19b–4 thereunder.22 At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: 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 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– BatsBYX–2017–21, and should be submitted on or before October 16, 2017. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.23 Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–20364 Filed 9–22–17; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION 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 File Number SR– BatsBYX–2017–21 on the subject line. Submission for OMB Review; Comment Request Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File Number SR–BatsBYX–2017–21. This 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 Extension: Regulation S–X, SEC File No. 270–003, OMB Control No. 3235–0009. 21 15 22 17 U.S.C. 78s(b)(3)(A). CFR 240.19b–4(f). VerDate Sep<11>2014 19:45 Sep 22, 2017 Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549–2736 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 for extension of the previously approved collection of information discussed below. Information collected and information prepared pursuant to Regulation S–X focus on the form and content of, and requirements for, financial statements filed with periodic reports and in connection with the offer and sale of securities. Investors need reasonably 23 17 Jkt 241001 PO 00000 CFR 200.30–3(a)(12). Frm 00122 Fmt 4703 Sfmt 4703 current financial statements to make informed investment and voting decisions. The potential respondents include all entities that file registration statements or reports pursuant to the Securities Act of 1933 (15 U.S.C. 77a, et seq.), the Securities Exchange Act of 1934 (15 U.S.C. 78a, et seq.), or the Investment Company Act of 1940 (15 U.S.C. 80a–1, et seq.). Regulation S–X specifies the form and content of financial statements when those financial statements are required to be filed by other rules and forms under the federal securities laws. Compliance burdens associated with the financial statements are assigned to the rule or form that directly requires the financial statements to be filed, not to Regulation S–X. Instead, an estimated burden of one hour traditionally has been assigned to Regulation S–X for incidental reading of the regulation. The estimated average burden hours are solely for purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even a representative survey or study of the costs of SEC rules or forms. Recordkeeping retention periods are based on the disclosure required by various forms and rules other than Regulation S–X. In general, balance sheets for the preceding two fiscal years, income and cash flow statements for the preceding three fiscal years, and condensed quarterly financial statements must be filed with the Commission. Five year summary financial information is required to be disclosed by some larger registrants. Filing financial statements, when required by the governing rule or form, is mandatory. Because these statements are provided for the purpose of disseminating information to the securities markets, they are 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 control number. The public may view the information discussed in this notice at 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, Chief Information Officer, Securities and Exchange Commission, c/ o Remi Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email E:\FR\FM\25SEN1.SGM 25SEN1 Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 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. to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: September 19, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–20359 Filed 9–22–17; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change [Release No. 34–81652; File No. SR– NYSEARCA–2017–108] 1. Purpose Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules and the NYSE Arca Options Fees and Charges Schedule in Connection With the Name Change of Its Affiliate NYSE MKT LLC to NYSE American LLC September 19, 2017. 19(b)(1) 1 Pursuant to Section of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that, on September 8, 2017, NYSE Arca, Inc. (the ‘‘Exchange’’ or ‘‘NYSE Arca’’) 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. asabaliauskas on DSKBBXCHB2PROD with NOTICES I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes, in connection with the name change of its affiliate NYSE MKT LLC to NYSE American LLC, proposes [sic] to amend its rules and the NYSE Arca Options Fees and Charges schedule (the ‘‘Options Fee Schedule’’). 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 1 15 U.S.C.78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 VerDate Sep<11>2014 19:45 Sep 22, 2017 Jkt 241001 The Exchange, in connection with the name change of its affiliate NYSE MKT LLC (‘‘NYSE MKT’’) to NYSE American LLC (‘‘NYSE American’’), proposes to amend its rules and the Options Fee Schedule.4 Background On March 16, 2017, NYSE MKT filed rule changes with the Commission in connection with its name change to NYSE American.5 In addition, on May 19, 2017, NYSE MKT filed rule changes with the Commission associated with the rebranding of NYSE Amex Options, the Exchange’s facility for trading options, to NYSE American Options.6 The NYSE MKT name change to NYSE American became operative on July 24, 2017. Accordingly, the Exchange proposes to amend certain of its rules and the Options Fee Schedule as detailed below to reflect the new name of its affiliate NYSE American. Proposed Rule Changes • The Exchange proposes to replace ‘‘NYSE MKT’’ with ‘‘NYSE American’’ in Rule 5.25–O, Commentary .03 (Margins); Rule 6.96–O(b) (Operation of Routing Broker); 5.2–E(b) (General); 5.2– E(d) (Preferred Stock and Similar Issues); 5.2–E(e) (Bonds and Debentures); 5.5–E(a), Commentary .02 and .03 (Maintenance Requirements and Delisting Procedures); 7.31–E(f) (Orders and Modifiers); and 7.45–E(c) (Operation of Routing Broker). • Rule 7.31–E has a notice stating that an amended version of the rule has been 4 The Exchange originally filed the proposed changes on August 25, 2017 (SR–NYSEArca–2017– 95), withdrew such changes on September 6, 2017 and refiled on the same day (SR–NYSEArca–2017– 106). SR–NYSEArca– 2017–106 was subsequently withdrawn on September 8, 2017 and replaced by this filing. 5 See Securities Exchange Act Release No.80283 (March 21, 2017), 82 FR 15244 (March 27, 2017) (SR–NYSEMKT–2017–14). 6 See Securities Exchange Act Release No. 80748 (May 23, 2017), 82 FR 24764 (May 30, 2017) (SR– NYSEMKT–2017–20). PO 00000 Frm 00123 Fmt 4703 Sfmt 4703 44677 approved but is not yet operative.7 The notice includes a link to the amended version of the rule and the relevant approval order. The Exchange proposes to replace ‘‘NYSE MKT’’ with ‘‘NYSE American’’ in the text of the amended but not yet operative version of Rule 7.31–E. Exhibit 5B sets forth the proposed revised text. • The Exchange proposes to replace ‘‘NYSE MKT LLC’’ with ‘‘NYSE American LLC’’ in Rule 5.82–O(a) (Applicability; Definitions Related to ByRDs), Rule 6.96–O(b), Rule 7.37–E(d) (Order Execution and Routing), and Rule 7.45–E(c)(1). Proposed Changes to the Options Fee Schedule • Options Fee Schedule: Under ‘‘CoLocation Fees,’’ in General Notes 1 and 4, the Exchange proposes to replace ‘‘NYSE MKT LLC’’ with ‘‘NYSE American LLC’’ and replace ‘‘NYSE MKT’’ with ‘‘NYSE American.’’ In addition, the Exchange proposes to replace ‘‘NYSE Amex Options’’ with ‘‘NYSE American Options’’ in the table in General Note 4. None of the foregoing changes are substantive. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Exchange Act,8 in general, and with Section 6(b)(1) 9 in particular, in that it enables the Exchange to be so organized as to have the capacity to be able to carry out the purposes of the Exchange Act and to comply, and to enforce compliance by its exchange members and persons associated with its exchange members, with the provisions of the Exchange Act, the rules and regulations thereunder, and the rules of the Exchange. The proposed rule change is a nonsubstantive change and does not impact the governance or ownership of the Exchange. The Exchange believes that the proposed rule change would enable the Exchange to continue to be so organized as to have the capacity to carry out the purposes of the Exchange Act and comply and enforce compliance with the provisions of the Exchange Act by its members and persons associated with its members, because ensuring that the rules and Options Fee Schedule accurately reflect the name change of the Exchange’s affiliate from NYSE MKT to NYSE American and the rebranding of NYSE Amex Options to NYSE 7 The Exchange will announce by Trader Update when the amended version of Rule 7.31–E will become operative. 8 15 U.S.C. 78f(b). 9 15 U.S.C. 78f(b)(1). E:\FR\FM\25SEN1.SGM 25SEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 82, Number 184 (Monday, September 25, 2017)]
[Notices]
[Pages 44676-44677]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-20359]


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

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:
    Regulation S-X, SEC File No. 270-003, OMB Control No. 3235-0009.

    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 for extension of the previously approved 
collection of information discussed below.
    Information collected and information prepared pursuant to 
Regulation S-X focus on the form and content of, and requirements for, 
financial statements filed with periodic reports and in connection with 
the offer and sale of securities. Investors need reasonably current 
financial statements to make informed investment and voting decisions.
    The potential respondents include all entities that file 
registration statements or reports pursuant to the Securities Act of 
1933 (15 U.S.C. 77a, et seq.), the Securities Exchange Act of 1934 (15 
U.S.C. 78a, et seq.), or the Investment Company Act of 1940 (15 U.S.C. 
80a-1, et seq.).
    Regulation S-X specifies the form and content of financial 
statements when those financial statements are required to be filed by 
other rules and forms under the federal securities laws. Compliance 
burdens associated with the financial statements are assigned to the 
rule or form that directly requires the financial statements to be 
filed, not to Regulation S-X. Instead, an estimated burden of one hour 
traditionally has been assigned to Regulation S-X for incidental 
reading of the regulation. The estimated average burden hours are 
solely for purposes of the Paperwork Reduction Act and are not derived 
from a comprehensive or even a representative survey or study of the 
costs of SEC rules or forms.
    Recordkeeping retention periods are based on the disclosure 
required by various forms and rules other than Regulation S-X. In 
general, balance sheets for the preceding two fiscal years, income and 
cash flow statements for the preceding three fiscal years, and 
condensed quarterly financial statements must be filed with the 
Commission. Five year summary financial information is required to be 
disclosed by some larger registrants.
    Filing financial statements, when required by the governing rule or 
form, is mandatory. Because these statements are provided for the 
purpose of disseminating information to the securities markets, they 
are 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 control number.
    The public may view the information discussed in this notice at 
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, Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email

[[Page 44677]]

to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: September 19, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-20359 Filed 9-22-17; 8:45 am]
 BILLING CODE 8011-01-P

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