Submission for OMB Review; Comment Request, 2592-2593 [2019-01373]

Download as PDF 2592 Federal Register / Vol. 84, No. 26 / Thursday, February 7, 2019 / Notices to email and online communication participation level for USPS and marketing information; and mail content preferences for Targeted Offers. 3. Mailer Information: Mailing Categories for mailers that use Targeted Offers. 4. Customer feedback: Information submitted by customers related to Informed Delivery notification service or any other postal product or service. 5. Subscription information: Date of customer sign-up for services through an opt-in process; date customer optsout of services; nature of service provided. 6. Data on mailpieces: Destination address of mailpiece; Intelligent Mail barcode (IMb); 11-digit delivery point ZIP Code; and delivery status; identification number assigned to equipment used to process mailpiece. 7. Mail Images: Electronic files containing images of mailpieces captured during normal mail processing operations. 8. User Data associated with 11-digit ZIP Codes: Information related to the user’s interaction with Informed Delivery email messages, including but not limited to, email open and clickthrough rates, dates, times, and open rates appended to mailpiece images (user data is not associated with personally identifiable information). 9. Data on Mailings: Intelligent Mail barcode (IMb) and its components including the Mailer Identifier (Mailer ID or MID), Service Type Identifier (STID) Serial Number, and unique IA code. RECORD SOURCE CATEGORIES: Individual customers who request Informed Delivery notification service; usps.com account holders; other USPS systems and applications including those that support online change of address, mail hold services, Premium Forwarding Service, or PO Boxes Online; commercial entities, including commercial mailers or other Postal Service business partners and thirdparty mailing list providers. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND PURPOSES OF SUCH USES: Standard routine uses 1. through 7., 10., and 11. apply. POLICIES OF PRACTICES FOR RETRIEVAL OF RECORDS: By customer email address, 11-Digit ZIP Code and/or the Mailer ID Jkt 247001 POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: HISTORY: 1. Mailpiece images will be retained up to 7 days (mailpiece images are not associated with personally identifiable information). Records stored in the subscription database are retained until the customer cancels or opts out of the service. 2. User data is retained for 2 years, 11 months. 3. Records existing on computer storage media are destroyed according to the applicable USPS media sanitization practice. Any records existing on paper will be destroyed by burning, pulping, or shredding. ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: Computers and computer storage media are located in controlled-access areas under supervision of program personnel. Access to these areas is limited to authorized personnel, who must be identified with a badge. Access to records is limited to individuals whose official duties require such access. Contractors and licensees are subject to contract controls and unannounced on-site audits and inspections. Computers are protected by mechanical locks, card key systems, or other physical access control methods. The use of computer systems is regulated with installed security software, computer logon identifications, and operating system controls including access controls, terminal and transaction logging, and file management software. Online data transmissions are protected by encryption. Access is controlled by logon ID and password. Online data transmissions are protected by encryption. RECORD ACCESS PROCEDURES: Requests for access must be made in accordance with the Notification Procedure above and USPS Privacy Act regulations regarding access to records and verification of identity under 39 CFR 266.5. CONTESTING RECORD PROCEDURES: NOTIFICATION PROCEDURES: Automated database and computer storage media. 17:23 Feb 06, 2019 EXEMPTIONS PROMULGATED FOR THE SYSTEM: See Notification Procedures below or Record Access Procedures above. POLICIES AND PRACTICES FOR STORAGE OF RECORDS: VerDate Sep<11>2014 component of the Intelligent Mail Barcode. Customers who want to know if information about them is maintained in this system of records must address inquiries in writing to the system manager. Inquiries must contain name, address, email, and other identifying information. PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 None. December 27, 2018, 83 FR 66768; August 25, 2016, 81 FR 58542. Ruth Stevenson, Attorney, Federal Compliance. [FR Doc. 2019–01346 Filed 2–6–19; 8:45 am] BILLING CODE 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 Extension: Rule 17Ad–2(c), (d), and (h), SEC File No. 270–149, OMB Control No. 3235–0130. 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 17Ad–2(c), (d), and (h), (17 CFR 240.17Ad–2(c), (d), and (h)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 17Ad–2(c), (d) and (h) enumerates the requirements with which transfer agents must comply to inform the Commission or the appropriate regulator of a transfer agent’s failure to meet the minimum performance standards set by the Commission rule by filing a notice. The Commission receives approximately 3 notices a year pursuant to Rule 17Ad–2(c), (d), and (h). The estimated annual time burden of these filings on respondents is minimal in view of: (a) The readily available nature of most of the information required to be included in the notice (since that information must be compiled and retained pursuant to other Commission rules); and (b) the summary fashion in which such information must be presented in the notice (most notices are one page or less in length). In light of the above, and based on the experience of the staff regarding the notices, the Commission staff estimates that, on average, most notices require approximately one-half hour to prepare. Thus, the Commission staff estimates E:\FR\FM\07FEN1.SGM 07FEN1 Federal Register / Vol. 84, No. 26 / Thursday, February 7, 2019 / Notices that the industry-wide total time burden is approximately 1.5 hours. The retention period for the recordkeeping requirement under Rule 17Ad–2(c), (d), and (h) is not less than two years following the date the notice is submitted. The recordkeeping requirement under this rule is mandatory to assist the Commission in monitoring transfer agents who fail to meet the minimum performance standards set by the Commission rule. This rule does not involve the collection of confidential information. A transfer agent is not required to file under the rule unless it does not meet the minimum performance standards for turnaround, processing or forwarding items received for transfer during a month. 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: Lindsay.M.Abate@omb.eop.gov; and (ii) Charles Riddle, Acting Director/Chief Information Officer, Securities and Exchange Commission, c/o Candace Kenner, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. February 1, 2019. Eduardo A. Aleman, Deputy Secretary. BILLING CODE 8011–01–P [Release No. 34–85042; File No. SR–BX– 2018–069] Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange’s Transaction Fees at Equity 7, Section 118(a) VerDate Sep<11>2014 17:23 Feb 06, 2019 Jkt 247001 The Exchange proposes to amend the Exchange’s transaction fees at Equity 7, Section 118(a), as described further below. While these amendments are effective upon filing, the Exchange has designated the proposed amendments to be operative on January 2, 2018 [sic]. The text of the proposed rule change is available on the Exchange’s website at https://nasdaqbx.cchwallstreet.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 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 aspects of such statements. 1. Purpose SECURITIES AND EXCHANGE COMMISSION Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change [FR Doc. 2019–01373 Filed 2–6–19; 8:45 am] February 1, 2019. (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on December 21, 2018, Nasdaq BX, Inc. (‘‘BX’’ or ‘‘Exchange’’) 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 the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. The purpose of the proposed rule change is to amend the Exchange’s transaction fees at Rule 7018(a) [sic] to: (1) Adjust the qualifying terms for certain existing credits it offers to members with orders that access liquidity on the Exchange; (2) offer a new credit for members with orders that access liquidity on the Exchange; and (3) eliminate a fee for members with orders that add liquidity on the Exchange. 1 15 2 17 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00107 Fmt 4703 Sfmt 4703 2593 First Change The Exchange operates on the ‘‘takermaker’’ model, whereby it pays credits to members that take liquidity and charges fees to members that provide liquidity. Currently, the Exchange offers several different credits for orders that access liquidity on the Exchange. Among these credits, the Exchange offers a $0.0018 per share executed credit for orders that access liquidity in securities in Tapes A and C (excluding orders with Midpoint pegging and excluding orders that receive price improvement and execute against an order with a Non-displayed price) that are entered by a member that: (i) Accesses liquidity equal to or exceeding 0.20% of total Consolidated Volume 3 during a month; and (ii) accesses 20% more liquidity as a percentage of Consolidated Volume than the member accessed in May 2018. The Exchange also offers a $0.0019 per share executed credit for orders that access liquidity in securities in Tape B (excluding orders with Midpoint pegging and excluding orders that receive price improvement and execute against an order with a Non-displayed price) that are entered by a member that: (i) Accesses liquidity equal to or exceeding 0.20% of total Consolidated Volume during a month; and (ii) accesses 20% more liquidity as a percentage of Consolidated Volume than the member accessed in May 2018. For these two credits, the Exchange proposes to decrease the applicable volume threshold from 0.20% to 0.15% of total Consolidated Volume during a month. The Exchange proposes to recalibrate the threshold downward to make it easier for firms to reach the Consolidated Volume threshold necessary to qualify for these credits. The Exchange also proposes to change the benchmark month that it uses to determine whether a member, in a given month, has achieved the requisite 20% increase in liquidity accessed as a percentage of Consolidated Volume to qualify for the credits. Whereas the benchmark month presently is May 2018, the Exchange proposes to change it to December 2018. This change in benchmark month is intended to incentivize market participants to trade on the Exchange by making it easier for a member to qualify for these credits. Volumes in May 2018 were generally higher than they were in December 2018, such that a 20% increase in 3 Pursuant to Equity 7, Section 118(a), the term ‘‘Consolidated Volume’’ means the total consolidated volume reported to all consolidated transaction reporting plans by all exchanges and trade reporting facilities during a month in equity securities, excluding executed orders with a size of less than one round lot. E:\FR\FM\07FEN1.SGM 07FEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 84, Number 26 (Thursday, February 7, 2019)]
[Notices]
[Pages 2592-2593]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-01373]


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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:
    Rule 17Ad-2(c), (d), and (h), SEC File No. 270-149, OMB Control 
No. 3235-0130.

    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 
17Ad-2(c), (d), and (h), (17 CFR 240.17Ad-2(c), (d), and (h)), under 
the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
    Rule 17Ad-2(c), (d) and (h) enumerates the requirements with which 
transfer agents must comply to inform the Commission or the appropriate 
regulator of a transfer agent's failure to meet the minimum performance 
standards set by the Commission rule by filing a notice.
    The Commission receives approximately 3 notices a year pursuant to 
Rule 17Ad-2(c), (d), and (h). The estimated annual time burden of these 
filings on respondents is minimal in view of: (a) The readily available 
nature of most of the information required to be included in the notice 
(since that information must be compiled and retained pursuant to other 
Commission rules); and (b) the summary fashion in which such 
information must be presented in the notice (most notices are one page 
or less in length). In light of the above, and based on the experience 
of the staff regarding the notices, the Commission staff estimates 
that, on average, most notices require approximately one-half hour to 
prepare. Thus, the Commission staff estimates

[[Page 2593]]

that the industry-wide total time burden is approximately 1.5 hours.
    The retention period for the recordkeeping requirement under Rule 
17Ad-2(c), (d), and (h) is not less than two years following the date 
the notice is submitted. The recordkeeping requirement under this rule 
is mandatory to assist the Commission in monitoring transfer agents who 
fail to meet the minimum performance standards set by the Commission 
rule. This rule does not involve the collection of confidential 
information. A transfer agent is not required to file under the rule 
unless it does not meet the minimum performance standards for 
turnaround, processing or forwarding items received for transfer during 
a month.
    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: 
Lindsay.M.Abate@omb.eop.gov; and (ii) Charles Riddle, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o 
Candace Kenner, 100 F Street NE, Washington, DC 20549, or by sending an 
email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 
30 days of this notice.

    February 1, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-01373 Filed 2-6-19; 8:45 am]
 BILLING CODE 8011-01-P

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