Proposed Collection; Comment Request, 19051 [2020-07023]
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Federal Register / Vol. 85, No. 65 / Friday, April 3, 2020 / 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: David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549, or send an email to: PRA_
Mailbox@sec.gov.
Dated: March 31, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–07022 Filed 4–2–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–189, OMB Control No.
3235–0201]
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–27363.
jbell on DSKJLSW7X2PROD with NOTICES
Extension:
Rule 17a–2.
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 17a–2 (17 CFR
240.17a–2), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.). The Commission plans to submit
this existing collection of information to
the Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Rule 17a–2—Recordkeeping
Requirements Relating to Stabilizing
Activities—requires underwriters to
maintain information regarding
stabilizing activities conducted in
accordance with Rule 104 of Regulation
M. The collections of information under
Regulation M and Rule 17a–2 are
necessary for covered persons to obtain
certain benefits or to comply with
certain requirements. The collections of
information are necessary to provide the
Commission with information regarding
syndicate covering transactions and
penalty bids. The Commission may
review this information during periodic
examinations or with respect to
investigations. Except for the
information required to be kept under
Rule 104(i) (17 CFR 242.104(i)) and Rule
17a–2(c), none of the information
VerDate Sep<11>2014
17:45 Apr 02, 2020
Jkt 250001
required to be collected or disclosed for
PRA purposes will be kept confidential.
The recordkeeping requirement of Rule
17a–2 requires the information be
maintained in a separate file, or in a
separately retrievable format, for a
period of three years, the first two years
in an easily accessible place, consistent
with the requirements of Exchange Act
Rule 17a–4(f) (17 CFR 240.17a–4(f)).
There are approximately 805
respondents per year that require an
aggregate total of 4,025 hours to comply
with this rule. Each respondent makes
an estimated 1 annual response. Each
response takes approximately 5 hours to
complete. Thus, the total compliance
burden per year is 4,025 burden hours.
The total estimated internal compliance
cost for the respondents is
approximately $281,750, resulting in an
internal cost of compliance for each
respondent per response of
approximately $350.00 (i.e.,
$281,750.00/805 responses).
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 to be 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.
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: David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
Mailbox@sec.gov.
Dated: March 31, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–07023 Filed 4–2–20; 8:45 am]
BILLING CODE 8011–01–P
PO 00000
Frm 00139
Fmt 4703
Sfmt 4703
19051
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–410, OMB Control No.
3235–0466]
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 103
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 103 of Regulation
M (17 CFR 242.103), under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.). The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Rule 103—Nasdaq Passive Market
Making—permits passive marketmaking in Nasdaq securities during a
distribution. A distribution participant
that seeks use of this exception would
be required to disclose to third parties
its intention to engage in passive market
making.
There are approximately 307
respondents per year that require an
aggregate total of 307 hours to comply
with this rule. Each respondent makes
an estimated 1 annual response. Each
response takes approximately 1 hour to
complete. Thus, the total compliance
burden per year is 307 burden hours.
The total estimated internal labor cost of
compliance for the respondents is
approximately $21,490.00 per year,
resulting in an estimated internal labor
cost of compliance per response of
approximately $70.00 (i.e., $21,490.00/
307 responses).
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 to be 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.
E:\FR\FM\03APN1.SGM
03APN1
]]>Agencies
[Federal Register Volume 85, Number 65 (Friday, April 3, 2020)]
[Notices]
[Page 19051]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-07023]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-189, OMB Control No. 3235-0201]
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-27363.
Extension:
Rule 17a-2.
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 17a-2 (17 CFR 240.17a-
2), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
The Commission plans to submit this existing collection of information
to the Office of Management and Budget (``OMB'') for extension and
approval.
Rule 17a-2--Recordkeeping Requirements Relating to Stabilizing
Activities--requires underwriters to maintain information regarding
stabilizing activities conducted in accordance with Rule 104 of
Regulation M. The collections of information under Regulation M and
Rule 17a-2 are necessary for covered persons to obtain certain benefits
or to comply with certain requirements. The collections of information
are necessary to provide the Commission with information regarding
syndicate covering transactions and penalty bids. The Commission may
review this information during periodic examinations or with respect to
investigations. Except for the information required to be kept under
Rule 104(i) (17 CFR 242.104(i)) and Rule 17a-2(c), none of the
information required to be collected or disclosed for PRA purposes will
be kept confidential. The recordkeeping requirement of Rule 17a-2
requires the information be maintained in a separate file, or in a
separately retrievable format, for a period of three years, the first
two years in an easily accessible place, consistent with the
requirements of Exchange Act Rule 17a-4(f) (17 CFR 240.17a-4(f)).
There are approximately 805 respondents per year that require an
aggregate total of 4,025 hours to comply with this rule. Each
respondent makes an estimated 1 annual response. Each response takes
approximately 5 hours to complete. Thus, the total compliance burden
per year is 4,025 burden hours. The total estimated internal compliance
cost for the respondents is approximately $281,750, resulting in an
internal cost of compliance for each respondent per response of
approximately $350.00 (i.e., $281,750.00/805 responses).
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 to
be 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.
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: David Bottom, Director/
Chief Information Officer, Securities and Exchange Commission, c/o
Cynthia Roscoe, 100 F Street NE, Washington, DC 20549 or send an email
to: [email protected].
Dated: March 31, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-07023 Filed 4-2-20; 8:45 am]
BILLING CODE 8011-01-P
