Submission for OMB Review; Comment Request; Extension: Rule 17a-7, 26709 [2019-12042]
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Federal Register / Vol. 84, No. 110 / Friday, June 7, 2019 / Notices
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).: MC2019–144 and
CP2019–160; Filing Title: USPS Request
to Add Priority Mail Contract 529 to
Competitive Product List and Notice of
Filing Materials Under Seal; Filing
Acceptance Date: June 3, 2019; Filing
Authority: 39 U.S.C. 3642, 39 CFR
3020.30 et seq., and 39 CFR 3015.5;
Public Representative: Kenneth R.
Moeller; Comments Due: June 11, 2019.
This Notice will be published in the
Federal Register.
Stacy L. Ruble,
Secretary.
[FR Doc. 2019–11979 Filed 6–6–19; 8:45 am]
BILLING CODE 7710–FW–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–147, OMB Control No.
3235–0131]
jbell on DSK3GLQ082PROD with NOTICES
Submission for OMB Review;
Comment Request; Extension: Rule
17a–7
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
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’’) 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 17a–7 (17 CFR 240.17a–7) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 17a–7 requires a non-resident
broker-dealer (generally, a broker-dealer
with its principal place of business in a
place not subject to the jurisdiction of
the United States) registered or applying
for registration pursuant to Section 15 of
the Exchange Act to maintain—in the
United States—complete and current
copies of books and records required to
be maintained under any rule adopted
under the Exchange Act and furnish to
the Commission a written notice
specifying the address where the copies
are located. Alternatively, Rule 17a–7
provides that non-resident brokerdealers may file with the Commission a
VerDate Sep<11>2014
18:13 Jun 06, 2019
Jkt 247001
written undertaking to furnish the
requisite books and records to the
Commission upon demand within 14
days of the demand.
The Commission estimates that there
are approximately 31 non-resident
broker-dealers. Based on the
Commission’s experience, the
Commission estimates that the average
amount of time necessary to comply
with Rule 17a–7 is one hour per year
per respondent. Accordingly, the
Commission estimates that the total
industry-wide reporting burden is
approximately 31 hours per year.
Assuming an average cost per hour of
approximately $314 for a compliance
manager, the total internal cost of
compliance for the respondents is
approximately $9,734 per year.1
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.
Dated: June 4, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019–12042 Filed 6–6–19; 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,
1 $314 per hour for a compliance manager is from
SIFMA’s Management & Professional Earnings in
the Securities Industry 2013, modified by
Commission staff for an 1800-hour work-year,
multiplied by 5.35 to account for bonuses, firm size,
employee benefits, and overhead, and adjusted for
inflation.
PO 00000
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26709
100 F Street NE, Washington, DC
20549–2736
Extension:
Rule 19d–3; SEC File No. 270–245, OMB
Control No. 3235–0204
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’’) 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 19d–3 (17 CFR 240.19d–3) under
the Securities Exchange Act of 1934 (17
U.S.C. 78a et seq.).
Rule 19d–3 prescribes the form and
content of applications to the
Commission by persons seeking
Commission review of final disciplinary
actions against them taken by selfregulatory organizations (‘‘SROs’’) for
which the Commission is the
appropriate regulatory agency. The
Commission uses the information
provided in the application filed
pursuant to Rule 19d–3 to review final
actions taken by SROs including: (1)
Final disciplinary sanctions; (2) denial
or conditioning of membership,
participation or association; and (3)
prohibitions or limitations of access to
services offered by a SRO or member
thereof.
It is estimated that approximately 40
respondents will utilize this application
procedure annually. This figure is based
upon past submissions. It is estimated
that each respondent will submit
approximately one response. The staff
estimates that the average number of
hours necessary to comply with the
requirements of Rule 19d–3 will be
approximately eighteen hours. We
estimate that approximately 25 firms or
natural persons would draft the
applications themselves for an aggregate
annual hourly burden of 450 (25 × 18),
and that 15 would hire outside counsel,
at a cost of $7,218 per submission, for
an aggregate annual dollar cost burden
of $108,270 (15 × $7,218).
The filing of an application pursuant
to Rule 19d–3 is voluntary and does not
require the collection of confidential
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,
E:\FR\FM\07JNN1.SGM
07JNN1
]]>Agencies
[Federal Register Volume 84, Number 110 (Friday, June 7, 2019)]
[Notices]
[Page 26709]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-12042]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-147, OMB Control No. 3235-0131]
Submission for OMB Review; Comment Request; Extension: Rule 17a-7
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
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'') 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 17a-
7 (17 CFR 240.17a-7) under the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 17a-7 requires a non-resident broker-dealer (generally, a
broker-dealer with its principal place of business in a place not
subject to the jurisdiction of the United States) registered or
applying for registration pursuant to Section 15 of the Exchange Act to
maintain--in the United States--complete and current copies of books
and records required to be maintained under any rule adopted under the
Exchange Act and furnish to the Commission a written notice specifying
the address where the copies are located. Alternatively, Rule 17a-7
provides that non-resident broker-dealers may file with the Commission
a written undertaking to furnish the requisite books and records to the
Commission upon demand within 14 days of the demand.
The Commission estimates that there are approximately 31 non-
resident broker-dealers. Based on the Commission's experience, the
Commission estimates that the average amount of time necessary to
comply with Rule 17a-7 is one hour per year per respondent.
Accordingly, the Commission estimates that the total industry-wide
reporting burden is approximately 31 hours per year. Assuming an
average cost per hour of approximately $314 for a compliance manager,
the total internal cost of compliance for the respondents is
approximately $9,734 per year.\1\
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\1\ $314 per hour for a compliance manager is from SIFMA's
Management & Professional Earnings in the Securities Industry 2013,
modified by Commission staff for an 1800-hour work-year, multiplied
by 5.35 to account for bonuses, firm size, employee benefits, and
overhead, and adjusted for inflation.
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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) 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: [email protected]. Comments must be submitted to OMB within
30 days of this notice.
Dated: June 4, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-12042 Filed 6-6-19; 8:45 am]
BILLING CODE 8011-01-P
