Proposed Collection; Comment Request, 56294 [2017-25710]
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56294
Federal Register / Vol. 82, No. 227 / Tuesday, November 28, 2017 / Notices
U.S.C. 78a et seq.). The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Rule 17a–19 requires every national
securities exchange and registered
national securities association to file a
Form X–17A–19 with the Commission
and the Securities Investor Protection
Corporation (‘‘SIPC’’) within 5 business
days of the initiation, suspension, or
termination of any member and, when
terminating the membership interest of
any member, to notify that member of
its obligation to file financial reports as
required by Exchange Act Rule 17a–5(b)
(17 CFR 240.17a–5(b)).
Commission staff anticipates that the
national securities exchanges and
registered national securities
associations collectively will make 800
total filings annually pursuant to Rule
17a-19 and that each filing will take
approximately 15 minutes. The total
reporting burden is estimated to be
approximately 200 total annual hours.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimates of the burden of the proposed
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
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 send an email to: PRA_
Mailbox@sec.gov.
Dated: November 22, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–25708 Filed 11–27–17; 8:45 am]
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Jkt 244001
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–305, OMB Control No.
3235–0346]
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 34b–1
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.
Rule 34b–1 under the Investment
Company Act (17 CFR 270.34b–1)
governs sales material that accompanies
or follows the delivery of a statutory
prospectus (‘‘sales literature’’). Rule
34b-1 deems to be materially misleading
any investment company (‘‘fund’’) sales
literature required to be filed with the
Securities and Exchange Commission
(‘‘Commission’’) by Section 24(b) of the
Investment Company Act (15 U.S.C.
80a–24(b)) that includes performance
data, unless the sales literature also
includes the appropriate uniformly
computed data and the legend
disclosure required in investment
company advertisements by rule 482
under the Securities Act of 1933 (17
CFR 230.482). Requiring the inclusion
of such standardized performance data
in sales literature is designed to prevent
misleading performance claims by funds
and to enable investors to make
meaningful comparisons among funds.
The Commission estimates that on
average approximately 208 respondents
file 13,004 1 responses that include the
information required by rule 34b–1 each
year. The burden resulting from the
collection of information requirements
of rule 34b–1 is estimated to be 2 hours
per response. The total hourly burden
for rule 34b–1 is approximately 26,008
hours per year in the aggregate.2
The collection of information under
rule 34b–1 is mandatory. The
1 The estimated number of responses to rule 34b–
1 is composed of 12,772 responses filed with
FINRA and 232 responses filed with the
Commission in 2016.
2 13,004 responses × 2 hours per response =
26,008 hours.
PO 00000
Frm 00087
Fmt 4703
Sfmt 4703
information provided under rule 34b–1
is not kept confidential. The
Commission 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
proposed performance of the functions
of the agency, including whether
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 PavlikSimon, 100 F Street NE., Washington,
DC 20549; or send an email to: PRA_
Mailbox@sec.gov.
November 22, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–25710 Filed 11–27–17; 8:45 am]
BILLING CODE P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–82137; File No. SR–MIAX–
2017–46]
Self-Regulatory Organizations; Miami
International Securities Exchange LLC;
Notice of Filing and Immediate
Effectiveness of a Proposed Rule
Change To Amend the MIAX Order
Feed (‘‘MOR’’)
November 21, 2017.
Pursuant to the provisions of Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Act’’) 1 and Rule 19b–4
thereunder,2 notice is hereby given that
on November 17, 2017, Miami
International Securities Exchange, LLC
(‘‘MIAX Options’’ or the ‘‘Exchange’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’) a
proposed rule change as described in
Items I and II below, which Items have
been prepared by the Exchange. The
1 15
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
E:\FR\FM\28NON1.SGM
28NON1
]]>Agencies
[Federal Register Volume 82, Number 227 (Tuesday, November 28, 2017)]
[Notices]
[Page 56294]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-25710]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-305, OMB Control No. 3235-0346]
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 34b-1
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.
Rule 34b-1 under the Investment Company Act (17 CFR 270.34b-1)
governs sales material that accompanies or follows the delivery of a
statutory prospectus (``sales literature''). Rule 34b-1 deems to be
materially misleading any investment company (``fund'') sales
literature required to be filed with the Securities and Exchange
Commission (``Commission'') by Section 24(b) of the Investment Company
Act (15 U.S.C. 80a-24(b)) that includes performance data, unless the
sales literature also includes the appropriate uniformly computed data
and the legend disclosure required in investment company advertisements
by rule 482 under the Securities Act of 1933 (17 CFR 230.482).
Requiring the inclusion of such standardized performance data in sales
literature is designed to prevent misleading performance claims by
funds and to enable investors to make meaningful comparisons among
funds.
The Commission estimates that on average approximately 208
respondents file 13,004 \1\ responses that include the information
required by rule 34b-1 each year. The burden resulting from the
collection of information requirements of rule 34b-1 is estimated to be
2 hours per response. The total hourly burden for rule 34b-1 is
approximately 26,008 hours per year in the aggregate.\2\
---------------------------------------------------------------------------
\1\ The estimated number of responses to rule 34b-1 is composed
of 12,772 responses filed with FINRA and 232 responses filed with
the Commission in 2016.
\2\ 13,004 responses x 2 hours per response = 26,008 hours.
---------------------------------------------------------------------------
The collection of information under rule 34b-1 is mandatory. The
information provided under rule 34b-1 is not kept confidential. The
Commission 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 proposed performance of
the functions of the agency, including whether 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.
November 22, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-25710 Filed 11-27-17; 8:45 am]
BILLING CODE P
