Submission for OMB Review; Comment Request, 19386-19387 [2018-09278]

Download as PDF 19386 Federal Register / Vol. 83, No. 85 / Wednesday, May 2, 2018 / Notices subparagraph (f)(6) of Rule 19b–4 thereunder.8 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: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. 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: Electronic Comments Paper Comments daltland on DSKBBV9HB2PROD with NOTICES • 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–NASDAQ–2018–030. 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 website (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 website viewing and printing in the Commission’s Public 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement. 22:14 May 01, 2018 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018–09260 Filed 5–1–18; 8:45 am] BILLING CODE 8011–01–P • 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– NASDAQ–2018–030 on the subject line. VerDate Sep<11>2014 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–NASDAQ–2018–030, and should be submitted on or before May 23, 2018. Jkt 244001 SECURITIES AND EXCHANGE COMMISSION BILLING CODE 8011–01–P Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 Extension: Rule 17g–10 Form ABS Due Diligence—15; SEC File No.270–597, OMB Control No. 3235–0694 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 approval of extension of the previously approved collection of information provided for in Rule 17g–10 and Form ABS Due Diligence—15E under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).1 Rule 17g–10 contains certain certification requirements for thirdparty due diligence service providers that are employed by an NRSRO, an issuer, or an underwriter, which must be made on Form ABS Due Diligence— 15E. The Commission estimates that the total burden for respondents to comply with Rule 17g–10 is 238 hours. The Commission may not conduct or sponsor a collection of information CFR 200.30–3(a)(12). 17 CFR 240.17g–1 and 17 CFR 249b.300. 1 See PO 00000 Frm 00176 Fmt 4703 Sfmt 4703 Dated: April 26, 2018. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018–09270 Filed 5–1–18; 8:45 am] Submission for OMB Review; Comment Request 9 17 unless it displays a currently valid OMB control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the PRA that does not display a valid Office of Management and Budget (OMB) control number. Background documentation for this information collection may be viewed at the following website: 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 St NE, Washington, DC 20549 or send an email to: PRA_Mailbox@ sec.gov. Comments must be submitted to OMB within 30 days of this notice. 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 12f–1, SEC File No. 270–139, OMB Control No. 3235–0128 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 12f–1 (17 CFR 240.12f–1) under the Securities Exchange Act of 1934 (‘‘Act’’) (15 U.S.C. 78a et seq.). Rule 12f–1 (‘‘Rule’’), originally adopted in 1979 pursuant to Sections 12(f) and 23(a) of the Act, and as further modified in 1995 and 2005, sets forth the requirements for filing an exchange application to reinstate unlisted trading privileges (‘‘UTP’’) in a security in which UTP has been suspended by the Commission pursuant to Section E:\FR\FM\02MYN1.SGM 02MYN1 daltland on DSKBBV9HB2PROD with NOTICES Federal Register / Vol. 83, No. 85 / Wednesday, May 2, 2018 / Notices 12(f)(2)(A) of the Act. Under Rule 12f– 1, an exchange must submit one copy of an application for reinstatement of UTP to the Commission that contains specified information, as set forth in the Rule. The application for reinstatement, pursuant to the Rule, must provide the name of the issuer, the title of the security, the name of each national securities exchange, if any, on which the security is listed or admitted to unlisted trading privileges, whether transaction information concerning the security is reported pursuant to an effective transaction reporting plan contemplated by Rule 601 of Regulation NMS, the date of the Commission’s suspension of unlisted trading privileges in the security on the exchange, and any other pertinent information related to whether the reinstatement of UTP in the subject security is consistent with the maintenance of fair and orderly markets and the protection of investors. Rule 12f–1 further requires a national securities exchange seeking to reinstate its ability to extend unlisted trading privileges in a security to indicate that it has provided a copy of such application to the issuer of the security, as well as to any other national securities exchange on which the security is listed or admitted to unlisted trading privileges. The information required by Rule 12f–1 enables the Commission to make the necessary findings under the Act prior to granting applications to reinstate unlisted trading privileges. This information is also made available to members of the public who may wish to comment upon the applications. Without the Rule, the Commission would be unable to fulfill these statutory responsibilities. There are currently 21 national securities exchanges subject to Rule 12f–1. The burden of complying with Rule 12f–1 arises when a potential respondent seeks to reinstate its ability to extend unlisted trading privileges to any security for which unlisted trading privileges have been suspended by the Commission, pursuant to Section 12(f)(2)(A) of the Act. The staff estimates that each application would require approximately one hour to complete. Thus each potential respondent would incur on average one burden hour in complying with the Rule. The Commission staff estimates that there could be as many as 21 responses annually for an aggregate hour burden for all respondents of 21 hours (21 responses × 1 hour per response). Each respondent’s related internal cost of compliance for Rule 12f–1 would be $221.00, or, the cost of one hour of VerDate Sep<11>2014 22:14 May 01, 2018 Jkt 244001 professional work of a paralegal needed to complete the application. The total annual cost of compliance for all potential respondents, therefore, is $4,641 (21 responses × $221.00 per response). Compliance with Rule 12f–1 is mandatory. Rule 12f–1 does not have a record retention requirement per se. However, responses made pursuant to Rule 12f–1 are subject to the recordkeeping requirements of Rules 17a–3 and 17a–4 of the Act. Information received in response to Rule 12f–1 shall not be 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 website: 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 send an email to: PRA_Mailbox@ sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: April 27, 2018. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018–09278 Filed 5–1–18; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–83114; File No. SR– CboeBZX–2018–005] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(4) April 26, 2018. I. Introduction On January 10, 2018, Cboe BZX Exchange, Inc. (‘‘Exchange’’ or ‘‘BZX’’) filed with the Securities and Exchange PO 00000 Frm 00177 Fmt 4703 Sfmt 4703 19387 Commission (‘‘Commission’’), pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 a proposed rule change to list and trade shares of the Cboe Vest S&P 500® Premium Income ETF, a series of ETF Series Solutions (the ‘‘Trust’’). The proposed rule change was published for comment in the Federal Register on January 26, 2018.4 On March 8, 2018, the Commission extended the time period within which to approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to approve or disapprove the proposed rule change.5 On April 18, 2018, the Exchange filed Amendment No. 1 to the proposed rule change, which replaced and superseded the proposed rule change as originally filed.6 The Commission received no comments on the proposed rule change. The Commission is publishing this notice to solicit comments on Amendment No. 1 from interested persons and is approving the proposed rule change, as modified by Amendment No. 1, on an accelerated basis. II. The Exchange’s Description of the Proposed Rule Change, as Modified by Amendment No. 1 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 forth in Sections A, B, and C below, of the most significant parts of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to list and trade shares (‘‘Shares’’) of Cboe Vest S&P 500® Premium Income ETF (the ‘‘Fund’’) under Rule 14.11(c)(4), which governs the listing and trading of Index Fund Shares based on fixed income 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 4 See Securities Exchange Act Release No. 82538 (January 19, 2018), 83 FR 3807. 5 See Securities Exchange Act Release No. 82832, 82 FR 11269 (March 14, 2018) (extending the time period to April 26, 2018). 6 Amendment No. 1 to the proposed rule change is available at: https://www.sec.gov/comments/srcboebzx-2017-005/cboebzx2017005-3458514162203.pdf. 2 15 E:\FR\FM\02MYN1.SGM 02MYN1

Agencies

[Federal Register Volume 83, Number 85 (Wednesday, May 2, 2018)]
[Notices]
[Pages 19386-19387]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-09278]


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

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 12f-1, SEC File No. 270-139, OMB Control No. 3235-0128

    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 
12f-1 (17 CFR 240.12f-1) under the Securities Exchange Act of 1934 
(``Act'') (15 U.S.C. 78a et seq.).
    Rule 12f-1 (``Rule''), originally adopted in 1979 pursuant to 
Sections 12(f) and 23(a) of the Act, and as further modified in 1995 
and 2005, sets forth the requirements for filing an exchange 
application to reinstate unlisted trading privileges (``UTP'') in a 
security in which UTP has been suspended by the Commission pursuant to 
Section

[[Page 19387]]

12(f)(2)(A) of the Act. Under Rule 12f-1, an exchange must submit one 
copy of an application for reinstatement of UTP to the Commission that 
contains specified information, as set forth in the Rule. The 
application for reinstatement, pursuant to the Rule, must provide the 
name of the issuer, the title of the security, the name of each 
national securities exchange, if any, on which the security is listed 
or admitted to unlisted trading privileges, whether transaction 
information concerning the security is reported pursuant to an 
effective transaction reporting plan contemplated by Rule 601 of 
Regulation NMS, the date of the Commission's suspension of unlisted 
trading privileges in the security on the exchange, and any other 
pertinent information related to whether the reinstatement of UTP in 
the subject security is consistent with the maintenance of fair and 
orderly markets and the protection of investors. Rule 12f-1 further 
requires a national securities exchange seeking to reinstate its 
ability to extend unlisted trading privileges in a security to indicate 
that it has provided a copy of such application to the issuer of the 
security, as well as to any other national securities exchange on which 
the security is listed or admitted to unlisted trading privileges.
    The information required by Rule 12f-1 enables the Commission to 
make the necessary findings under the Act prior to granting 
applications to reinstate unlisted trading privileges. This information 
is also made available to members of the public who may wish to comment 
upon the applications. Without the Rule, the Commission would be unable 
to fulfill these statutory responsibilities.
    There are currently 21 national securities exchanges subject to 
Rule 12f-1. The burden of complying with Rule 12f-1 arises when a 
potential respondent seeks to reinstate its ability to extend unlisted 
trading privileges to any security for which unlisted trading 
privileges have been suspended by the Commission, pursuant to Section 
12(f)(2)(A) of the Act. The staff estimates that each application would 
require approximately one hour to complete. Thus each potential 
respondent would incur on average one burden hour in complying with the 
Rule.
    The Commission staff estimates that there could be as many as 21 
responses annually for an aggregate hour burden for all respondents of 
21 hours (21 responses x 1 hour per response). Each respondent's 
related internal cost of compliance for Rule 12f-1 would be $221.00, 
or, the cost of one hour of professional work of a paralegal needed to 
complete the application. The total annual cost of compliance for all 
potential respondents, therefore, is $4,641 (21 responses x $221.00 per 
response).
    Compliance with Rule 12f-1 is mandatory. Rule 12f-1 does not have a 
record retention requirement per se. However, responses made pursuant 
to Rule 12f-1 are subject to the recordkeeping requirements of Rules 
17a-3 and 17a-4 of the Act. Information received in response to Rule 
12f-1 shall not be 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 website: 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: 
[email protected]; 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 send an email 
to: [email protected]. Comments must be submitted to OMB within 30 
days of this notice.

    Dated: April 27, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-09278 Filed 5-1-18; 8:45 am]
 BILLING CODE 8011-01-P
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