Proposed Collection; Comment Request, 25061-25062 [2018-11593]

Download as PDF Federal Register / Vol. 83, No. 105 / Thursday, May 31, 2018 / Notices www.prc.gov). Non-public portions of the Postal Service’s request(s), if any, can be accessed through compliance with the requirements of 39 CFR 3007.40. The Commission invites comments on whether the Postal Service’s request(s) in the captioned docket(s) are consistent with the policies of title 39. For request(s) that the Postal Service states concern market dominant product(s), applicable statutory and regulatory requirements include 39 U.S.C. 3622, 39 U.S.C. 3642, 39 CFR part 3010, and 39 CFR part 3020, subpart B. For request(s) that the Postal Service states concern competitive product(s), applicable statutory and regulatory requirements include 39 U.S.C. 3632, 39 U.S.C. 3633, 39 U.S.C. 3642, 39 CFR part 3015, and 39 CFR part 3020, subpart B. Comment deadline(s) for each request appear in section II. II. Docketed Proceeding(s) 1. Docket No(s).: CP2016–107; Filing Title: USPS Notice of Amendment to First-Class Package Service Contract 44, Filed Under Seal; Filing Acceptance Date: May 24, 2018; Filing Authority: 39 CFR 3015.5; Public Representative: Kenneth R. Moeller; Comments Due: June 4, 2018. This notice will be published in the Federal Register. Stacy L. Ruble, Secretary. [FR Doc. 2018–11719 Filed 5–30–18; 8:45 am] are available at www.prc.gov, Docket Nos. MC2018–156, CP2018–225. Elizabeth Reed, Attorney, Corporate and Postal Business Law. [FR Doc. 2018–11726 Filed 5–30–18; 8:45 am] BILLING CODE 7710–12–P POSTAL SERVICE Product Change—Priority Mail Negotiated Service Agreement Postal ServiceTM. ACTION: Notice. AGENCY: The Postal Service gives notice of filing a request with the Postal Regulatory Commission to add a domestic shipping services contract to the list of Negotiated Service Agreements in the Mail Classification Schedule’s Competitive Products List. DATES: Date of required notice: May 31, 2018. FOR FURTHER INFORMATION CONTACT: Elizabeth Reed, 202–268–3179. SUPPLEMENTARY INFORMATION: The United States Postal Service® hereby gives notice that, pursuant to 39 U.S.C. 3642 and 3632(b)(3), on May 25, 2018, it filed with the Postal Regulatory Commission a USPS Request to Add Priority Mail Contract 435 to Competitive Product List. Documents are available at www.prc.gov, Docket Nos. MC2018–157, CP2018–226. SUMMARY: Elizabeth Reed, Attorney, Corporate and Postal Business Law. BILLING CODE 7710–FW–P [FR Doc. 2018–11727 Filed 5–30–18; 8:45 am] BILLING CODE 7710–12–P POSTAL SERVICE Product Change—Priority Mail Negotiated Service Agreement SECURITIES AND EXCHANGE COMMISSION Postal ServiceTM. Notice. AGENCY: ACTION: The Postal Service gives notice of filing a request with the Postal Regulatory Commission to add a domestic shipping services contract to the list of Negotiated Service Agreements in the Mail Classification Schedule’s Competitive Products List. DATES: Date of required notice: May 31, 2018. FOR FURTHER INFORMATION CONTACT: Elizabeth Reed, 202–268–3179. SUPPLEMENTARY INFORMATION: The United States Postal Service® hereby gives notice that, pursuant to 39 U.S.C. 3642 and 3632(b)(3), on May 25, 2018, it filed with the Postal Regulatory Commission a USPS Request to Add Priority Mail Contract 434 to Competitive Product List. Documents amozie on DSK3GDR082PROD with NOTICES1 SUMMARY: VerDate Sep<11>2014 17:46 May 30, 2018 Jkt 241001 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 17Ac2–2 and Form TA–2; SEC File No. 270–298, OMB Control No. 3235– 0337 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’’) is soliciting comments on the existing collection of information provided for in Rule 17Ac2–2 (17 CFR 240.17Ac2–2) and Form TA–2 under the Securities Exchange Act of 1934 (15 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 25061 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 17Ac2–2 and Form TA–2 require registered transfer agents to file an annual report of their business activities with the Commission. These reporting requirements are designed to ensure that all registered transfer agents are providing the Commission with sufficient information on an annual basis about the transfer agent community and to permit the Commission to effectively monitor business activities of transfer agents. The amount of time needed to comply with the requirements of amended Rule 17Ac2–2 and Form TA–2 varies. Of the total 373 registered transfer agents, approximately 9.2% (or 34 registrants) would be required to complete only questions 1 through 3 and the signature section of amended Form TA–2, which the Commission estimates would take each registrant approximately 30 minutes, for a total burden of 17 hours (34 × .5 hours). Approximately 26.5% of registrants (or 99 registrants) would be required to answer questions 1 through 5, question 11 and the signature section, which the Commission estimates would take approximately 1 hour and 30 minutes, for a total of 148.5 hours (99 × 1.5 hours). Approximately 64.2% of the registrants (or 239 registrants) would be required to complete the entire Form TA–2, which the Commission estimates would take approximately 6 hours, for a total of 1,434 hours (239 × 6 hours). The aggregate annual burden on all 373 registered transfer agents is thus approximately 1,599.5 hours (17 hours + 148.5 hours + 1,434 hours) and the average annual burden per transfer agent is approximately 3.8 hours (1,434 ÷ 373). 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 on respondents; 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. E:\FR\FM\31MYN1.SGM 31MYN1 25062 Federal Register / Vol. 83, No. 105 / Thursday, May 31, 2018 / Notices 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: May 24, 2018. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018–11593 Filed 5–30–18; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–83332; File No. SR–FINRA– 2018–021] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance May 25, 2018. amozie on DSK3GDR082PROD with NOTICES1 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 May 18, 2018, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by FINRA. FINRA has designated the proposed rule change as constituting a ‘‘non-controversial’’ rule change under paragraph (f)(6) of Rule 19b–4 under the Act,3 which renders the proposal effective upon receipt of this filing by the Commission. 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 FINRA is proposing to amend the ByLaws of FINRA Regulation, Inc. (‘‘FINRA Regulation By-Laws’’ or ‘‘ByLaws’’), FINRA’s regulatory subsidiary, with regard to the District Committee structure and governance by, among other things, reorganizing the District Committees into Regional Committees that mirror the regions in which 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 17 CFR 240.19b–4(f)(6). 2 17 VerDate Sep<11>2014 17:46 May 30, 2018 Jkt 241001 FINRA’s districts are administratively grouped and managed by FINRA and revising candidate and member voting eligibility standards in a manner designed to result in committees that better reflect the industry and members within each region. The proposed rule change also makes conforming amendments to the FINRA Regulation By-Laws and FINRA rules to replace, where appropriate, District Committee references with Regional Committee references.4 The text of the proposed rule change is available on FINRA’s website at https://www.finra.org, at the principal office of FINRA 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, FINRA 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. FINRA has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change 1. Purpose a. Background In March 2017, FINRA issued a Special Notice 5 on engagement soliciting comment regarding its engagement programs, including FINRA’s District Committees generally. Several commenters to the Special Notice provided observations and suggestions regarding the District 4 The current FINRA rulebook consists of: (1) FINRA Rules; (2) NASD Rules; and (3) rules incorporated from New York Stock Exchange LLC (‘‘NYSE’’) (‘‘Incorporated NYSE Rules’’) (together, the NASD Rules and Incorporated NYSE Rules are referred to as the ‘‘Transitional Rulebook’’). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (‘‘Dual Members’’). The FINRA Rules apply to all FINRA members, unless such rules have a more limited application by their terms. For more information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). 5 Special Notice—Engagement Initiative (March 21, 2017), available at https://www.finra.org/ industry/special-notice-032117. The comment period closed on June 19, 2017. FINRA received 46 comment letters in response to the Special Notice. PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 Committees.6 Some commenters commended the District Committees,7 noting among other things, that they provide an opportunity to interact with FINRA senior staff,8 serve as an important means of receiving constructive feedback,9 and provide important service on disciplinary panels.10 One commenter also stated that the committee meetings offer FINRA the opportunity to obtain more field-based feedback from financial advisors that directly serve investors and that the financial advisors benefit from open dialogue on timely, relevant topics.11 Another commenter, however, questioned the committees’ usefulness, referring to the committee meetings as ‘‘one-way information session[s]’’ about soon-to-be-introduced rules.12 In a different vein, one commenter suggested increasing committee ‘‘diversity’’ by including non-industry representatives.13 In addition to the Special Notice feedback, FINRA has noted the membership’s general lack of interest in District Committee service. The number of District Committee seat vacancies is the primary indicator of the membership’s declining interest in District Committee service. For the past six years, there has been an average of 29 vacant District Committee seats per year. Of this 29-seat average, 13 (approximately 45%) have been contested seats (two or more candidates), eight (approximately 28%) have been seats with only one candidate, and eight (approximately 28%) have been seats without any candidates, thus requiring FINRA to find an eligible person to appoint to the seat.14 6 Richard Wallace (‘‘Wallace’’), Wells Fargo Advisors (‘‘Wells Fargo’’), National Society of Compliance Professionals (‘‘NSCP’’), Commonwealth Financial Network (‘‘Commonwealth’’), Richard K. Bryant (‘‘Bryant’’), Midwest Region Committees, Elmcore Securities, LLC, Better Markets, Inc., Financial Services Institute (‘‘FSI’’) and Lara, May & Associates, LLC (‘‘Lara, May’’). 7 Wallace, Commonwealth, NSCP, Wells Fargo, and FSI. 8 Commonwealth. 9 FSI. 10 Wallace. 11 Wells Fargo. The commenter also recommended adding two quarterly teleconference District Committee meetings in addition to the District Committees’ bi-annual in-person meetings. 12 Bryant. 13 Better Markets, Inc. 14 See FINRA Regulation By-Laws, Article VIII, Section 8.8(b) (in the event there is no candidate designated for a vacant seat, FINRA’s Chief Executive Officer or his or her designee shall appoint a qualified individual to fill the vacancy for a full term). A number of reasons may contribute to individuals’ failure to pursue a District Committee seat, such as a lack of awareness by E:\FR\FM\31MYN1.SGM 31MYN1

Agencies

[Federal Register Volume 83, Number 105 (Thursday, May 31, 2018)]
[Notices]
[Pages 25061-25062]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-11593]


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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:
    Rule 17Ac2-2 and Form TA-2; SEC File No. 270-298, OMB Control 
No. 3235-0337

    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'') is soliciting comments on the existing 
collection of information provided for in Rule 17Ac2-2 (17 CFR 
240.17Ac2-2) and Form TA-2 under the Securities Exchange Act of 1934 
(15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to 
submit this existing collection of information to the Office of 
Management and Budget (``OMB'') for extension and approval.
    Rule 17Ac2-2 and Form TA-2 require registered transfer agents to 
file an annual report of their business activities with the Commission. 
These reporting requirements are designed to ensure that all registered 
transfer agents are providing the Commission with sufficient 
information on an annual basis about the transfer agent community and 
to permit the Commission to effectively monitor business activities of 
transfer agents.
    The amount of time needed to comply with the requirements of 
amended Rule 17Ac2-2 and Form TA-2 varies. Of the total 373 registered 
transfer agents, approximately 9.2% (or 34 registrants) would be 
required to complete only questions 1 through 3 and the signature 
section of amended Form TA-2, which the Commission estimates would take 
each registrant approximately 30 minutes, for a total burden of 17 
hours (34 x .5 hours). Approximately 26.5% of registrants (or 99 
registrants) would be required to answer questions 1 through 5, 
question 11 and the signature section, which the Commission estimates 
would take approximately 1 hour and 30 minutes, for a total of 148.5 
hours (99 x 1.5 hours). Approximately 64.2% of the registrants (or 239 
registrants) would be required to complete the entire Form TA-2, which 
the Commission estimates would take approximately 6 hours, for a total 
of 1,434 hours (239 x 6 hours). The aggregate annual burden on all 373 
registered transfer agents is thus approximately 1,599.5 hours (17 
hours + 148.5 hours + 1,434 hours) and the average annual burden per 
transfer agent is approximately 3.8 hours (1,434 / 373).
    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 on 
respondents; 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.

[[Page 25062]]

    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 
Pavlik-Simon, 100 F Street NE, Washington, DC 20549, or send an email 
to: [email protected].

    Dated: May 24, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-11593 Filed 5-30-18; 8:45 am]
 BILLING CODE 8011-01-P
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