Proposed Collection; Comment Request, 27670-27671 [2019-12515]

Download as PDF 27670 Federal Register / Vol. 84, No. 114 / Thursday, June 13, 2019 / Notices The Exchange believes that the Pilot Program promotes just and equitable principles of trade by enabling public customers and other market participants to express their true prices to buy and sell options to the benefit of all market participants. The proposal to extend the Pilot Program is designed to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, and to remove impediments to and perfect the mechanisms of a free and open market and a national market system, by allowing the Exchange and the Commission additional time to analyze the impact of the Pilot Program while also allowing the Exchange to continue to compete for order flow with other exchanges in option issues trading as part of the Pilot Program. B. Self-Regulatory Organization’s Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. Specifically, the Exchange believes that, by extending the expiration of the Pilot Program, the proposed rule change will allow for further analysis of the Pilot Program and a determination of how this Program should be structured in the future. In doing so, the proposed rule change will also serve to promote regulatory clarity and consistency, thereby reducing burdens on the marketplace and facilitating investor protection. The Pilot Program is an industry-wide initiative supported by all other option exchanges. The Exchange believes that extending the Pilot Program will allow for continued competition between Exchange market participants trading similar products as their counterparts on other exchanges, while at the same time allowing the Exchange to continue to compete for order flow with other exchanges in option issues trading as part of the Pilot Program. khammond on DSKBBV9HB2PROD with NOTICES C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The Exchange has filed the proposed rule change pursuant to Section VerDate Sep<11>2014 16:55 Jun 12, 2019 Jkt 247001 19(b)(3)(A)(iii) of the Act 7 and Rule 19b–4(f)(6) thereunder.8 Because the proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative prior to 30 days from the date on which it was filed, or such shorter time as the Commission may designate, if consistent with the protection of investors and the public interest, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b–4(f)(6)(iii) thereunder.9 At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings under Section 19(b)(2)(B) 10 of the Act to determine whether the proposed rule change 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 • 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– NYSEARCA–2019–41 on the subject line. Paper Comments • 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–NYSEARCA–2019–41. This file number should be included on the subject line if email is used. To help the 7 15 U.S.C. 78s(b)(3)(A)(iii). CFR 240.19b–4(f)(6). 9 15 U.S.C. 78s(b)(3)(A)(iii). Rule 19b–4(f)(6)(iii) 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 Commission notes that the Exchange satisfied this requirement. 10 15 U.S.C. 78s(b)(2)(B). 8 17 PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 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 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–NYSEARCA–2019–41 and should be submitted on or before July 5, 2019. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.11 Eduardo A. Aleman, Deputy Secretary. [FR Doc. 2019–12447 Filed 6–12–19; 8:45 am] BILLING CODE 8011–01–P 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 Ombudsman Matter Management System OMB Control No. 3235–0748, SEC File No. 270–797 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’’ or ‘‘SEC’’) is soliciting comments on the collection of 11 17 E:\FR\FM\13JNN1.SGM CFR 200.30–3(a)(12). 13JNN1 khammond on DSKBBV9HB2PROD with NOTICES Federal Register / Vol. 84, No. 114 / Thursday, June 13, 2019 / Notices information summarized below. The Commission plans to submit this renewal request for the collection of information to the Office of Management and Budget for approval. In 2016, at the time of the original request for the collection of information, members of the public who contacted the Ombudsman for assistance did so by traditional mail, electronic mail, telephone, and facsimile. To make it easier for retail investors and others to contact the Ombudsman electronically, the Commission developed the Ombudsman Matter Management System (‘‘OMMS’’), a new, electronic data collection system for the receipt, collection and analysis of inquiries, complaints, and recommendations from retail investors directed to the SEC Ombudsman and the Office of the Investor Advocate. The Commission invites comment on OMMS. OMMS was launched for internal use by SEC staff in 2017. Through OMMS, members of the public may request assistance from the Ombudsman and staff using a web-based form (the ‘‘OMMS Form’’) tailored to gather information about matters within the scope of the Ombudsman’s function and streamline the inquiry and response process. The OMMS Form, which was made available to the public for use in September 2017, facilitates communication with the Ombudsman via an electronic series of basic questions with user-friendly and mobile-friendly response features such as radio buttons, drop-down menu responses, pop-up explanation bubbles, web page links, fillable narrative text fields, and document upload options. In addition, the OMMS Form incorporates functionality that, depending upon certain responses, pre-populates specific fields, and prompts the user to provide additional information. By eliciting specific information from the user, the OMMS Form facilitates communication between the user and the Ombudsman, reduces response and resolution times, and maximizes Ombudsman staff resources available for recording, processing, and responding to matters. The requested information collection is voluntary and does not change the contact methods currently available. The OMMS Form is publicly available through the Commission’s website, https://www.sec.gov. The Commission estimates that the total reporting burden for using the OMMS Form will be 275 hours. The calculation of this estimate depends on how many members of the public use the form each year and the estimated time it takes to complete the form: 550 respondents × 30 minutes per VerDate Sep<11>2014 16:55 Jun 12, 2019 Jkt 247001 submission = 275 burden hours. The estimates of average burden hours are made solely for the purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even representative survey or study of the cost of Commission rules and forms. The total estimated one-time cost to the federal government of creating OMMS and the OMMS Form was $400,000. During the three-year period covered by our prior Paperwork Reduction Act submission in 2016, the startup costs were fully expensed and are therefore not included in the calculation for this renewal. An agency may not conduct or sponsor a collection of information unless it displays a currently valid 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 control number. Written comments are invited on all aspects of this proposed information collection renewal request, in particular: (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 users, 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. Please direct your written comments to Charles Riddle, Acting Chief Information Officer, Securities and Exchange Commission, c/o Candace Kenner, 100 F Street NE, Washington, DC 20549; or send an email to: PRA_ Mailbox@sec.gov. Dated: June 10, 2019. Eduardo A. Aleman, Deputy Secretary. [FR Doc. 2019–12515 Filed 6–12–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings TIME AND DATE: 10:30 a.m. on Monday, June 17, 2019. PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 27671 The meeting will be held at the Commission’s headquarters, 100 F Street NE, Washington, DC 20549. STATUS: This meeting will be closed to the public. MATTERS TO BE CONSIDERED: Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the closed meeting. Certain staff members who have an interest in the matters also may be present. In the event that the time, date, or location of this meeting changes, an announcement of the change, along with the new time, date, and/or place of the meeting will be posted on the Commission’s website at https:// www.sec.gov. The General Counsel of the Commission, or his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) and (10) and 17 CFR 200.402(a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and (a)(10), permit consideration of the scheduled matters at the closed meeting. The subject matter of the closed meeting will consist of the following topic: Institution and settlement of administrative proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting agenda items that may consist of adjudicatory, examination, litigation, or regulatory matters. CONTACT PERSON FOR MORE INFORMATION: For further information; please contact Vanessa A. Countryman from the Office of the Secretary at (202) 551–5400. PLACE: Dated: June 10, 2019. Vanessa A. Countryman, Acting Secretary. [FR Doc. 2019–12551 Filed 6–11–19; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–86068; File No. SR– CboeEDGX–2019–009] Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism) June 7, 2019. On February 21, 2019, Cboe EDGX Exchange, Inc. (the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities E:\FR\FM\13JNN1.SGM 13JNN1

Agencies

[Federal Register Volume 84, Number 114 (Thursday, June 13, 2019)]
[Notices]
[Pages 27670-27671]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-12515]


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

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

Ombudsman Matter Management System
    OMB Control No. 3235-0748, SEC File No. 270-797

    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'' or ``SEC'') is soliciting comments on the 
collection of

[[Page 27671]]

information summarized below. The Commission plans to submit this 
renewal request for the collection of information to the Office of 
Management and Budget for approval.
    In 2016, at the time of the original request for the collection of 
information, members of the public who contacted the Ombudsman for 
assistance did so by traditional mail, electronic mail, telephone, and 
facsimile. To make it easier for retail investors and others to contact 
the Ombudsman electronically, the Commission developed the Ombudsman 
Matter Management System (``OMMS''), a new, electronic data collection 
system for the receipt, collection and analysis of inquiries, 
complaints, and recommendations from retail investors directed to the 
SEC Ombudsman and the Office of the Investor Advocate. The Commission 
invites comment on OMMS.
    OMMS was launched for internal use by SEC staff in 2017. Through 
OMMS, members of the public may request assistance from the Ombudsman 
and staff using a web-based form (the ``OMMS Form'') tailored to gather 
information about matters within the scope of the Ombudsman's function 
and streamline the inquiry and response process. The OMMS Form, which 
was made available to the public for use in September 2017, facilitates 
communication with the Ombudsman via an electronic series of basic 
questions with user-friendly and mobile-friendly response features such 
as radio buttons, drop-down menu responses, pop-up explanation bubbles, 
web page links, fillable narrative text fields, and document upload 
options. In addition, the OMMS Form incorporates functionality that, 
depending upon certain responses, pre-populates specific fields, and 
prompts the user to provide additional information. By eliciting 
specific information from the user, the OMMS Form facilitates 
communication between the user and the Ombudsman, reduces response and 
resolution times, and maximizes Ombudsman staff resources available for 
recording, processing, and responding to matters. The requested 
information collection is voluntary and does not change the contact 
methods currently available.
    The OMMS Form is publicly available through the Commission's 
website, https://www.sec.gov.
    The Commission estimates that the total reporting burden for using 
the OMMS Form will be 275 hours. The calculation of this estimate 
depends on how many members of the public use the form each year and 
the estimated time it takes to complete the form: 550 respondents x 30 
minutes per submission = 275 burden hours. The estimates of average 
burden hours are made solely for the purposes of the Paperwork 
Reduction Act and are not derived from a comprehensive or even 
representative survey or study of the cost of Commission rules and 
forms.
    The total estimated one-time cost to the federal government of 
creating OMMS and the OMMS Form was $400,000. During the three-year 
period covered by our prior Paperwork Reduction Act submission in 2016, 
the startup costs were fully expensed and are therefore not included in 
the calculation for this renewal.
    An agency may not conduct or sponsor a collection of information 
unless it displays a currently valid 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 control number.
    Written comments are invited on all aspects of this proposed 
information collection renewal request, in particular: (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 
users, 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. Please direct your 
written comments to Charles Riddle, Acting Chief Information Officer, 
Securities and Exchange Commission, c/o Candace Kenner, 100 F Street 
NE, Washington, DC 20549; or send an email to: [email protected].

    Dated: June 10, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-12515 Filed 6-12-19; 8:45 am]
 BILLING CODE 8011-01-P
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