Submission for OMB Review: Comment Request, 44347-44348 [2020-15798]
Download as PDF
<![CDATA[
Federal Register / Vol. 85, No. 141 / Wednesday, July 22, 2020 / Notices
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–BX–2020–014 and should
be submitted on or before August 12,
2020.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–15845 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 20549–0213
jbell on DSKJLSW7X2PROD with NOTICES
Extension: Rule 17g–2 SEC File No. 270–564,
OMB Control No. 3235–0628
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’’) is soliciting comments
on the existing collection of information
provided for in Rule 17g–2 (17 CFR
240.17g–2) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (‘‘Exchange Act’’). The
Commission plans to submit this
existing collection of information to the
Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Rule 17g–2, ‘‘Records to be made and
retained by nationally recognized
statistical rating organizations,’’
implements the Commission’s
recordkeeping rulemaking authority
under Section 17(a) of the Exchange
VerDate Sep<11>2014
18:11 Jul 21, 2020
Jkt 250001
Act.1 The rule requires a Nationally
Recognized Statistical Rating
Organization (‘‘NRSRO’’) to make and
retain certain records relating to its
business and to retain certain other
business records, if such records are
made. The rule also prescribes the time
periods and manner in which all these
records must be retained. There are 9
credit rating agencies registered with the
Commission as NRSROs under section
15E of the Exchange Act, which have
already established the record keeping
policies and procedures required by
Rule 17g–2. Based on staff experience,
NRSROs are estimated to spend a total
industry-wide burden of 2,390 annual
hours to make and retain the
appropriate records.
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 on respondents; 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.
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.
Please direct your written comments
to: Dave Bottom, Director/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. 2020–15794 Filed 7–21–20; 8:45 am]
BILLING CODE 8011–01–P
PO 00000
1 15
U.S.C. 78q.
Frm 00080
Fmt 4703
Sfmt 4703
44347
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–664, OMB Control No.
3235–0740]
Submission for OMB Review:
Comment Request
Upon Written Request Copies Available
From: U.S. Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
Extension:
Joint Standards for Assessing Diversity
Policies and Practices
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’’) has submitted to the
Office of Management and Budget a
request for extension of the previously
approved collection of information
discussed below.
In accordance with the requirements
of Section 342 of the Dodd-Frank Wall
Street Reform and Consumer Protection
Act of 2010 (12 U.S.C. 5452), the
Commission joined with the Office of
the Comptroller of the Currency, Board
of Governors of the Federal Reserve
System, Federal Deposit Insurance
Corporation, Bureau of Consumer
Financial Protection, and the National
Credit Union Administration (Agencies)
to develop Joint Standards for Assessing
the Diversity Policies and Practices of
Entities Regulated by the Agencies (Joint
Standards), which were issued through
an interagency policy statement
published in the Federal Register on
June 15, 2015 (80 FR 33016). To
facilitate the collection of information
envisioned by the Joint Standards, the
Commission developed a form entitled
the ‘‘Diversity Assessment Report for
Entities Regulated by the SEC’’
(Diversity Assessment Report).
The Diversity Assessment Report (1)
asks for general information about the
respondent; (2) includes a checklist and
questions relating to the policies and
practices set forth in the Joint
Standards; (3) requests data related to
workforce diversity and supplier
diversity; and (4) provides respondents
with the opportunity to describe their
successful policies and practices for
promoting diversity and inclusion.
The information collection is
voluntary. The Commission may use
information submitted to monitor
progress and trends in the financial
services industry regarding diversity
and inclusion and to identify and
highlight diversity and inclusion
policies and practices that have been
E:\FR\FM\22JYN1.SGM
22JYN1
jbell on DSKJLSW7X2PROD with NOTICES
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
Sfmt 4703
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
]]>Agencies
[Federal Register Volume 85, Number 141 (Wednesday, July 22, 2020)]
[Notices]
[Pages 44347-44348]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-15798]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-664, OMB Control No. 3235-0740]
Submission for OMB Review: Comment Request
Upon Written Request Copies Available From: U.S. Securities and
Exchange Commission, Office of FOIA Services, 100 F Street NE,
Washington, DC 20549-2736
Extension:
Joint Standards for Assessing Diversity Policies and Practices
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'') has submitted to the Office of Management
and Budget a request for extension of the previously approved
collection of information discussed below.
In accordance with the requirements of Section 342 of the Dodd-
Frank Wall Street Reform and Consumer Protection Act of 2010 (12 U.S.C.
5452), the Commission joined with the Office of the Comptroller of the
Currency, Board of Governors of the Federal Reserve System, Federal
Deposit Insurance Corporation, Bureau of Consumer Financial Protection,
and the National Credit Union Administration (Agencies) to develop
Joint Standards for Assessing the Diversity Policies and Practices of
Entities Regulated by the Agencies (Joint Standards), which were issued
through an interagency policy statement published in the Federal
Register on June 15, 2015 (80 FR 33016). To facilitate the collection
of information envisioned by the Joint Standards, the Commission
developed a form entitled the ``Diversity Assessment Report for
Entities Regulated by the SEC'' (Diversity Assessment Report).
The Diversity Assessment Report (1) asks for general information
about the respondent; (2) includes a checklist and questions relating
to the policies and practices set forth in the Joint Standards; (3)
requests data related to workforce diversity and supplier diversity;
and (4) provides respondents with the opportunity to describe their
successful policies and practices for promoting diversity and
inclusion.
The information collection is voluntary. The Commission may use
information submitted to monitor progress and trends in the financial
services industry regarding diversity and inclusion and to identify and
highlight diversity and inclusion policies and practices that have been
[[Page 44348]]
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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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 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: [email protected].
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
