Proposed Collection; Comment Request, 44348-44349 [2020-15795]
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44348
Federal Register / Vol. 85, No. 141 / Wednesday, July 22, 2020 / Notices
successful. In addition, the Commission
may publish information submitted,
such as leading practices, in a form that
does not identify a particular entity or
disclose confidential business
information. Further, the Commission
may share information with other
Agencies, when appropriate, to support
coordination of efforts and to avoid
duplication.
Title of Collection: Joint Standards for
Assessing Diversity Policies and
Practices.1
Type of Review: Extension of
currently approved collection.
Frequency of Response: Biennially.
Estimated Number of Respondents:
260.
Estimated Burden Hours per
Respondent: 10 hours; 5 hours
annualized.
Estimated Total Annual Burden
Hours: 2,600; 1,300 annualized.
Since the last approval of this
information collection, we have
adjusted the estimated number of
respondents, from 1,500 to 260
respondents, based on the actual
response rate to the requests for
Diversity Assessment Reports made two
years ago and the anticipated increase in
that response rate as a result of ongoing
outreach to regulated entities to
encourage them to submit Diversity
Assessment Reports. This reduction in
the number of respondents has resulted
in a 6,200-hour reduction in the
estimated total burden hours
(annualized).
On March 30, 2020, the Commission
published a notice in the Federal
Register (85 FR 17608) of its intention
to request an extension of this currently
approved collection of information, and
allowed the public 60 days to submit
comments. The Commission received no
comments.
Written comments continue to be
invited on: (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 respondents, including
through the use of automated collection
techniques or other forms of information
technology.
An agency may not conduct or
sponsor, and a person is not required to
1 The title of the currently approved collection—
Joint Standards for Assessing the Diversity Policies
and Practices of Entities Regulated by the
Agencies— has been shortened.
VerDate Sep<11>2014
18:11 Jul 21, 2020
Jkt 250001
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. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice to (i) www.reginfo.gov/public/do/
PRAMain and (ii) David Bottom,
Director/Chief Information Officer,
Securities and Exchange Commission, c/
o Cynthia Roscoe, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: July 16, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–15798 Filed 7–21–20; 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
Investor Education and Advocacy,
Washington, DC 20549
Extension: Investor Form SEC File No.
270–485, OMB Control No. 3235–0547
Notice is hereby given pursuant to the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.) that the Securities
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Each year the Commission receives
several thousand contacts from
investors who have complaints or
questions on a wide range of
investment-related issues. To make it
easier for the public to contact the
agency electronically, the Commission’s
Office of Investor Education and
Advocacy (‘‘OIEA’’) created an
electronic form (the Investor Form) that
provides drop down options to choose
from in order to categorize the investor’s
complaint or question, and may also
provide the investor with automated
information about their issue. The
Investor Form asks investors to provide
PO 00000
Frm 00081
Fmt 4703
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information concerning, among other
things, their names, how they can be
reached, the names of the individuals or
entities involved, the nature of their
complaint or tip, what documents they
can provide, and what, if any, actions
they have taken. Use of the Investor
Form is voluntary. Absent the forms, the
public still has several ways to contact
the agency, including telephone,
facsimile, letters, and email. Investors
can access the Investor Form through
the consolidated Investor Complaint
and Question web page.
OIEA receives approximately 20,000
contacts each year through the Investor
Form. Investors who choose not to use
the Investor Form receive the same level
of service as those who do. The dual
purpose of the form is to make it easier
for the public to contact the agency with
complaints, questions, tips, or other
feedback and to further streamline the
workflow of Commission staff that
record, process, and respond to investor
contacts.
The Commission uses the information
that investors supply on the Investor
Form to review and process the contact
(which may, in turn, involve responding
to questions, processing complaints, or,
as appropriate, initiating enforcement
investigations), to maintain a record of
contacts, to track the volume of investor
complaints, and to analyze trends. Use
of the Investor Form is voluntary. The
Investor Form asks investors to provide
information concerning, among other
things, their names, how they can be
reached, the names of the individuals or
entities involved, the nature of their
complaint or tip, what documents they
can provide, and what, if any, actions
they have taken.
The staff of the Commission estimates
that the total reporting burden for using
the Investor Form is 5,000 hours. The
calculation of this estimate depends on
the number of investors who use the
forms each year and the estimated time
it takes to complete the forms: 20,000
respondents × 15 minutes = 5,000
burden hours.
The Commission 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 OMB control number.
Written comments are invited on: (a)
Whether the proposed 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 of the collection of
E:\FR\FM\22JYN1.SGM
22JYN1
Federal Register / Vol. 85, No. 141 / Wednesday, July 22, 2020 / Notices
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.
Please direct your written comments
to David Bottom, Chief Information
Officer, Securities and Exchange
Commission, c/o Cynthia Roscoe, 100 F
St. NE, Washington DC, 20549; or send
an email to: PRA_Mailbox@sec.gov.
Dated: July 16, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–15795 Filed 7–21–20; 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,
100 F Street NE, Washington, DC
20549–2736
jbell on DSKJLSW7X2PROD with NOTICES
Extension: Rule 22d–1 SEC File No. 270–275,
OMB Control No. 3235–0310
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(‘‘Paperwork Reduction Act’’) (44 U.S.C.
3501–3520), the Securities and
Exchange Commission (the
‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for extension of the
previously approved collection of
information discussed below.
Rule 22d–1 under the Investment
Company Act of 1940 (the ‘‘1940 Act’’)
(17 CFR 270.22d–1) provides registered
investment companies that issue
redeemable securities (‘‘funds’’) an
exemption from section 22(d) of the
1940 Act (15 U.S.C. 80a–22(d)) to the
extent necessary to permit scheduled
variations in or elimination of the sales
load on fund securities for particular
classes of investors or transactions,
provided certain conditions are met.
The rule imposes an annual burden per
series of a fund of approximately 15
minutes, so that the total annual burden
for the approximately 4,098 series of
funds that might rely on the rule is
estimated to be 1024.5 hours.
The estimate of average burden hours
is made solely for the purposes of the
Paperwork Reduction Act. The estimate
VerDate Sep<11>2014
18:11 Jul 21, 2020
Jkt 250001
is based on communications with
industry representatives, and is not
derived from a comprehensive or even
a representative survey or study.
Responses will not be kept confidential.
An agency may not conduct or sponsor,
and a person is not required to respond
to, a collection of information 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. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice to (i) www.reginfo.gov/public/do/
PRAMain and (ii) David Bottom,
Director/Chief Information Officer,
Securities and Exchange Commission, c/
o Cynthia Roscoe, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: July 16, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–15799 Filed 7–21–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–89335; File No. SR–
NYSEAMER–2020–54]
Self-Regulatory Organizations; NYSE
American LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Change To Amend the NYSE American
Options Fee Schedule
July 16, 2020.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that, on July 10,
2020, NYSE American LLC (‘‘NYSE
American’’ or the ‘‘Exchange’’) 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 selfregulatory organization. The
Commission is publishing this notice to
solicit comments on the proposed rule
change from interested persons.
PO 00000
1 15
U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
Fmt 4703
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend the
NYSE American Options Fee Schedule
(‘‘Fee Schedule’’) to offer a new rebate
for initiating a Complex Customer Best
Execution Auction. The Exchange
proposes to implement the fee change
effective July 10, 2020.4 The proposed
change is available on the Exchange’s
website at www.nyse.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
self-regulatory organization 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 those 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 parts of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The purpose of this filing is to modify
the Fee Schedule to offer a new rebate
for initiating a Complex Customer Best
Execution (‘‘CUBE’’) auction, provided
the ATP Holder meets the minimum
volume requirements as discussed
below.
The Exchange proposes to implement
the rule changes on July 10, 2020.
Background
The Exchange has established various
pricing incentives designed to
encourage increased Electronic volume
executed on the Exchange, including
(but not limited to) the American
Customer Engagement (‘‘ACE’’) Program
and the Professional Step-Up Incentive
Program. The Exchange also offers an
ACE Initiating Participant Rebate to
participants in the ACE Program that
initiate Single-Leg or Complex CUBE
Auctions as well as an alternative to the
ACE Initiating Participant Rebate—the
Alternative Initiating Participant
Rebate—that enables non-ACE Program
participants to qualify for a rebate on
4 The Exchange originally filed to amend the Fee
Schedule on July 1, 2020 (SR–NYSEAMER–2020–
51) and withdrew such filing on July 10, 2020.
2 15
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]]>Agencies
[Federal Register Volume 85, Number 141 (Wednesday, July 22, 2020)]
[Notices]
[Pages 44348-44349]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-15795]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549
Extension: Investor Form SEC File No. 270-485, OMB Control No.
3235-0547
Notice is hereby given pursuant to the Paperwork Reduction Act of
1995 (44 U.S.C. 3501 et seq.) that the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget (``OMB'') for extension and approval.
Each year the Commission receives several thousand contacts from
investors who have complaints or questions on a wide range of
investment-related issues. To make it easier for the public to contact
the agency electronically, the Commission's Office of Investor
Education and Advocacy (``OIEA'') created an electronic form (the
Investor Form) that provides drop down options to choose from in order
to categorize the investor's complaint or question, and may also
provide the investor with automated information about their issue. The
Investor Form asks investors to provide information concerning, among
other things, their names, how they can be reached, the names of the
individuals or entities involved, the nature of their complaint or tip,
what documents they can provide, and what, if any, actions they have
taken. Use of the Investor Form is voluntary. Absent the forms, the
public still has several ways to contact the agency, including
telephone, facsimile, letters, and email. Investors can access the
Investor Form through the consolidated Investor Complaint and Question
web page.
OIEA receives approximately 20,000 contacts each year through the
Investor Form. Investors who choose not to use the Investor Form
receive the same level of service as those who do. The dual purpose of
the form is to make it easier for the public to contact the agency with
complaints, questions, tips, or other feedback and to further
streamline the workflow of Commission staff that record, process, and
respond to investor contacts.
The Commission uses the information that investors supply on the
Investor Form to review and process the contact (which may, in turn,
involve responding to questions, processing complaints, or, as
appropriate, initiating enforcement investigations), to maintain a
record of contacts, to track the volume of investor complaints, and to
analyze trends. Use of the Investor Form is voluntary. The Investor
Form asks investors to provide information concerning, among other
things, their names, how they can be reached, the names of the
individuals or entities involved, the nature of their complaint or tip,
what documents they can provide, and what, if any, actions they have
taken.
The staff of the Commission estimates that the total reporting
burden for using the Investor Form is 5,000 hours. The calculation of
this estimate depends on the number of investors who use the forms each
year and the estimated time it takes to complete the forms: 20,000
respondents x 15 minutes = 5,000 burden hours.
The Commission 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 OMB control number.
Written comments are invited on: (a) Whether the proposed
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 of the collection of
[[Page 44349]]
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.
Please direct your written comments to David Bottom, Chief
Information Officer, Securities and Exchange Commission, c/o Cynthia
Roscoe, 100 F St. NE, Washington DC, 20549; or send an email to:
[email protected].
Dated: July 16, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-15795 Filed 7-21-20; 8:45 am]
BILLING CODE 8011-01-P
