Submission for OMB Review; Comment Request, 61056 [2017-27740]

Download as PDF 61056 Federal Register / Vol. 82, No. 246 / Tuesday, December 26, 2017 / Notices 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. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–NYSEAMER–2017–38 and should be submitted on or before January 16, 2018. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.15 Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–27698 Filed 12–22–17; 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 ethrower on DSK3G9T082PROD with NOTICES Extension: Form TCR and Form WB–APPImplementing the Whistleblower Provisions of Section 21 F of the Securities Exchange Act of 1934; SEC File No. 270–625, OMB Control No. 3235–0686 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’’) is soliciting comments on the collection of information summarized below. The Commission plans to submit an extension for this current collection of information to the Office of Management and Budget for approval. In Release No. 34–64545,1 the Commission adopted rules (‘‘Rules’’) and forms to implement Section 21F of the Securities Exchange Act of 1934 entitled ‘‘Securities Whistleblower Incentives and Protection,’’ which was created by Section 922 of the Dodd15 17 CFR 200.30–3(a)(12). of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934, Release No. 34–64545; File No. S7–33–10 (adopted May 25, 2011). 1 Implementation VerDate Sep<11>2014 20:21 Dec 22, 2017 Jkt 244001 Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’).2 The Rules describe the whistleblower program that the Commission has established pursuant to the Dodd-Frank Act which requires the Commission to pay an award, subject to certain limitations and conditions, to whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or of a related action. The Rules define certain terms critical to the operation of the whistleblower program, outline the procedures for applying for awards and the Commission’s procedures for making decisions on claims, and generally explain the scope of the whistleblower program to the public and to potential whistleblowers. Form TCR is a form submitted by whistleblowers who wish to provide information to the Commission and its staff regarding potential violations of the securities laws. Form TCR is required for submission of information under the Rules. The Commission estimates that it takes a whistleblower, on average, one and one-half hours to complete Form TCR. Based on the receipt of an average of approximately 700 annual Form TCR submissions for the past three fiscal years, the Commission estimates that the annual reporting burden of Form TCR is 1,050 hours. Form WB–APP is a form that is submitted by whistleblowers filing a claim for a whistleblower award. Form WB–APP is required for application for an award under the Rules. The Commission estimates that it takes a whistleblower, on average, one hour to complete Form WB–APP. The completion time depends largely on the complexity of the alleged violation and the amount of information the whistleblower possesses in support of his or her application for an award. Based on the receipt of an average of approximately 110 3 annual Form WB– APP submissions for the past six fiscal years, the Commission estimates that the annual reporting burden of Form WB–APP is 110 hours. Estimated annual reporting burden = 1,160 hours. Written comments are invited on: (a) Whether this collection of information 2 Public Law 111–203, § 922(a), 124 Stat 1841 (2010). 3 This figure does not include Form WB–APP submissions which were facially deficient, subsequently withdrawn, or submitted by individuals who have been barred by the Commission from participation in the whistleblower program. PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 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 30 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 St. NE, Washington, DC 20549; or send an email to: PRA_Mailbox@sec.gov. Dated: December 20, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017–27740 Filed 12–22–17; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–82364; File No. SR–MRX– 2017–28] Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program December 19, 2017. Pursuant to 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 December 11, 2017, Nasdaq MRX, LLC (‘‘MRX’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I and II, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend its rules to extend a pilot program to quote and to trade certain options classes in penny increments (‘‘Penny Pilot Program’’). 1 15 2 17 E:\FR\FM\26DEN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 26DEN1

Agencies

[Federal Register Volume 82, Number 246 (Tuesday, December 26, 2017)]
[Notices]
[Page 61056]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-27740]


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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:
    Form TCR and Form WB-APP-Implementing the Whistleblower 
Provisions of Section 21 F of the Securities Exchange Act of 1934; 
SEC File No. 270-625, OMB Control No. 3235-0686

    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'') is soliciting comments on the 
collection of information summarized below. The Commission plans to 
submit an extension for this current collection of information to the 
Office of Management and Budget for approval.
    In Release No. 34-64545,\1\ the Commission adopted rules 
(``Rules'') and forms to implement Section 21F of the Securities 
Exchange Act of 1934 entitled ``Securities Whistleblower Incentives and 
Protection,'' which was created by Section 922 of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act (``Dodd-Frank Act'').\2\ The 
Rules describe the whistleblower program that the Commission has 
established pursuant to the Dodd-Frank Act which requires the 
Commission to pay an award, subject to certain limitations and 
conditions, to whistleblowers who voluntarily provide the Commission 
with original information about a violation of the federal securities 
laws that leads to the successful enforcement of a covered judicial or 
administrative action, or of a related action. The Rules define certain 
terms critical to the operation of the whistleblower program, outline 
the procedures for applying for awards and the Commission's procedures 
for making decisions on claims, and generally explain the scope of the 
whistleblower program to the public and to potential whistleblowers.
---------------------------------------------------------------------------

    \1\ Implementation of the Whistleblower Provisions of Section 
21F of the Securities Exchange Act of 1934, Release No. 34-64545; 
File No. S7-33-10 (adopted May 25, 2011).
    \2\ Public Law 111-203, Sec.  922(a), 124 Stat 1841 (2010).
---------------------------------------------------------------------------

    Form TCR is a form submitted by whistleblowers who wish to provide 
information to the Commission and its staff regarding potential 
violations of the securities laws. Form TCR is required for submission 
of information under the Rules. The Commission estimates that it takes 
a whistleblower, on average, one and one-half hours to complete Form 
TCR. Based on the receipt of an average of approximately 700 annual 
Form TCR submissions for the past three fiscal years, the Commission 
estimates that the annual reporting burden of Form TCR is 1,050 hours.
    Form WB-APP is a form that is submitted by whistleblowers filing a 
claim for a whistleblower award. Form WB-APP is required for 
application for an award under the Rules. The Commission estimates that 
it takes a whistleblower, on average, one hour to complete Form WB-APP. 
The completion time depends largely on the complexity of the alleged 
violation and the amount of information the whistleblower possesses in 
support of his or her application for an award. Based on the receipt of 
an average of approximately 110 \3\ annual Form WB-APP submissions for 
the past six fiscal years, the Commission estimates that the annual 
reporting burden of Form WB-APP is 110 hours.
---------------------------------------------------------------------------

    \3\ This figure does not include Form WB-APP submissions which 
were facially deficient, subsequently withdrawn, or submitted by 
individuals who have been barred by the Commission from 
participation in the whistleblower program.
---------------------------------------------------------------------------

    Estimated annual reporting burden = 1,160 hours.
    Written comments are invited on: (a) Whether this 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 30 
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 St. NE, Washington, DC 20549; 
or send an email to: [email protected].

    Dated: December 20, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-27740 Filed 12-22-17; 8:45 am]
BILLING CODE 8011-01-P
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