Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Revise the Remove and Adding Liquidity Tiers for Tape B and C Securities, 48664 [C1-2019-18999]
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48664
Federal Register / Vol. 84, No. 179 / Monday, September 16, 2019 / Notices
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–86784; File No. SR–NYSE–
2019–45]
Self-Regulatory Organizations; New
York Stock Exchange LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change To Amend Its
Price List To Revise the Remove and
Adding Liquidity Tiers for Tape B and
C Securities
Correction
In notice document 2019–18999
beginning on page 46588 in the issue of
Wednesday, September 4, 2019, make
the following correction:
On page 46593, in the third column,
in the first paragraph, starting in the two
last lines ‘‘September 24, 2019’’ should
read ‘‘September 25, 2019’’.
[FR Doc. C1–2019–18999 Filed 9–13–19; 8:45 am]
BILLING CODE 1301–00–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
jspears on DSK3GMQ082PROD with NOTICES
Extension:
Regulation S–AM, SEC File No. 270–548,
OMB Control No. 3235–0609
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 Regulation S–AM (17
CFR part 248, subpart B), under the Fair
Credit Reporting Act (15 U.S.C. 1681 et
seq.) (‘‘FCRA’’), the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.), the
Investment Company Act of 1940 (15
U.S.C. 80a–1 et seq.), and the
Investment Advisers Act of 1940 (15
U.S.C. 80b–1 et seq.). The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Regulation S–AM implements the
requirements of Section 624 of the
FCRA (15 U.S.C. 1681s–3) with respect
to investment advisers and transfer
agents registered with the Commission,
as well as brokers, dealers and
investment companies (collectively,
‘‘Covered Persons’’). Section 624 and
Regulation S–AM limit a Covered
VerDate Sep<11>2014
18:14 Sep 13, 2019
Jkt 247001
Person’s use of certain consumer
financial information received from an
affiliate to solicit a consumer for
marketing purposes, unless the
consumer has been given notice and a
reasonable opportunity and a reasonable
and simple method to opt out of such
solicitations. Regulation S–AM
potentially applies to all of the
approximately 20,195 Covered Persons
registered with the Commission,
although only approximately 11,309 of
them have one or more corporate
affiliates, and the regulation requires
only approximately 2,020 to provide
consumers with an affiliate marketing
notice and an opt-out opportunity.
The Commission staff estimates that
there are approximately 11,309 Covered
Persons having one or more affiliates,
and that they each spend an average of
0.20 hours per year to review affiliate
marketing practices, for, collectively, an
estimated annual time burden of 2,262
hours at an annual internal compliance
cost of approximately $1,203,384. The
staff also estimates that approximately
2,020 Covered Persons provide notice
and opt-out opportunities to consumers,
and that they each spend an average of
7.6 hours per year creating notices,
providing notices and opt-out
opportunities, monitoring the opt-out
notice process, making and updating
records of opt-out elections, and
addressing consumer questions and
concerns about opt-out notices, for,
collectively, an estimated annual time
burden of 15,352 hours at an annual
internal compliance cost of
approximately $2,999,296. Thus, the
staff estimates that the collection of
information requires a total of
approximately 11,309 respondents to
incur an estimated annual time burden
of a total of 17,614 hours at a total
annual internal cost of compliance of
approximately $4,202,680.
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 collected; 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.
PO 00000
Frm 00086
Fmt 4703
Sfmt 4703
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: Charles Riddle, Acting Director/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: September 11, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–19971 Filed 9–13–19; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–86923; File No. SR–CBOE–
2019–057]
Self-Regulatory Organizations; Cboe
Exchange, Inc.; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change Regarding Price
Protections and Risk Controls
September 10, 2019.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on
September 5, 2019, Cboe Exchange, Inc.
(the ‘‘Exchange’’ or ‘‘Cboe Options’’)
filed with the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by the Exchange.
The Exchange filed the proposal as a
‘‘non-controversial’’ proposed rule
change pursuant to Section
19(b)(3)(A)(iii) of the Act 3 and Rule
19b–4(f)(6) thereunder.4 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 the Substance
of the Proposed Rule Change
Cboe Exchange, Inc. (the ‘‘Exchange’’
or ‘‘Cboe Options’’) proposes to amend
the Exchange’s Rules regarding price
protections and risk controls, and moves
those Rules from the currently effective
Rulebook (‘‘current Rulebook’’) to the
shell structure for the Exchange’s
Rulebook that will become effective
upon the migration of the Exchange’s
trading platform to the same system
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A)(iii).
4 17 CFR 240.19b–4(f)(6).
2 17
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16SEN1
]]>Agencies
[Federal Register Volume 84, Number 179 (Monday, September 16, 2019)]
[Notices]
[Page 48664]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: C1-2019-18999]
[[Page 48664]]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-86784; File No. SR-NYSE-2019-45]
Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Its Price List To Revise the Remove and Adding Liquidity Tiers
for Tape B and C Securities
Correction
In notice document 2019-18999 beginning on page 46588 in the issue
of Wednesday, September 4, 2019, make the following correction:
On page 46593, in the third column, in the first paragraph,
starting in the two last lines ``September 24, 2019'' should read
``September 25, 2019''.
[FR Doc. C1-2019-18999 Filed 9-13-19; 8:45 am]
BILLING CODE 1301-00-P
