Submission for OMB Review; Comment Request, 52173-52174 [2020-18499]

Download as PDF Federal Register / Vol. 85, No. 164 / Monday, August 24, 2020 / Notices agents, have a wide range of choices of where to route orders for execution’; [and] ‘no exchange can afford to take its market share percentages for granted’ because ‘no exchange possesses a monopoly, regulatory or otherwise, in the execution of order flow from broker dealers’ . . .’’.13 Accordingly, the Exchange does not believe its proposed fee change imposes any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange neither solicited nor received comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act 14 and paragraph (f) of Rule 19b–4 15 thereunder. At any time within 60 days of the filing of the 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 will institute proceedings 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: jbell on DSKJLSW7X2PROD with NOTICES Electronic Comments 13 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Cir. 2010) (quoting Securities Exchange Act Release No. 59039 (December 2, 2008), 73 FR 74770, 74782– 83 (December 9, 2008) (SR–NYSEArca–2006–21)). 14 15 U.S.C. 78s(b)(3)(A). 15 17 CFR 240.19b–4(f). 16:31 Aug 21, 2020 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.16 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–18469 Filed 8–21–20; 8:45 am] BILLING CODE 8011–01–P • 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– CboeEDGX–2020–041 on the subject line. VerDate Sep<11>2014 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–CboeEDGX–2020–041. This file number should be included on the subject line if email is used. To help the 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–CboeEDGX–2020–041 and should be submitted on or before September 14, 2020. Jkt 250001 SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–39, OMB Control No. 3235–0049] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 16 17 PO 00000 CFR 200.30–3(a)(12). Frm 00089 Fmt 4703 Sfmt 4703 52173 100 F Street NE, Washington, DC 20549–2736 Extension: Form ADV 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 (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. The title for the collection of information is ‘‘Form ADV under the Investment Advisers Act of 1940.’’ Form ADV is a three-part investment adviser registration form. Part 1 of Form ADV contains information used primarily by the Securities and Exchange Commission (the ‘‘Commission’’) staff and Part 2 is the client brochure. Part 3 requires registered investment advisers that offer services to retail investors to prepare and file with the Commission, post to the adviser’s website (if it has one), and deliver to retail investors a relationship summary. The Commission uses the information on Form ADV to determine eligibility for registration with us and to manage our regulatory and examination programs. Clients use the information required in Form ADV to determine whether to hire or retain an investment adviser, as well as what types of accounts and services are appropriate for their needs. This collection of information is found at 17 CFR 279.1, 17 CFR 275.203–1, 17 CFR 275.204–1 and 17 CFR 275.204–4 and is mandatory. The Commission’s examination staff use the information to determine eligibility for registration with us and to manage our regulatory, examination, and enforcement programs; it will be accorded the same level of confidentiality accorded to other responses provided to the Commission in the context of its examination and oversight program. The respondents to this information collection are investment advisers registered with the Commission. Our latest data indicate that there were 13,520 advisers registered with the Commission as of January 30, 2020. The Commission has estimated that Form ADV imposes an annual burden of approximately 26.19 hours per respondent. Based on this figure, the Commission estimates a total annual burden of 466,505 hours for this collection of information. The public may view background documentation for this information collection at the following website: www.reginfo.gov. Find this particular E:\FR\FM\24AUN1.SGM 24AUN1 52174 Federal Register / Vol. 85, No. 164 / Monday, August 24, 2020 / Notices 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. SECURITIES AND EXCHANGE COMMISSION Dated: August 19, 2020. J. Matthew DeLesDernier, Assistant Secretary. On February 3, 2020, NYSE National, Inc. (‘‘NYSE National’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to establish fees for the NYSE National Integrated Feed. The proposed rule change was immediately effective upon filing with the Commission pursuant to Section 19(b)(3)(A) of the Act.3 The proposed rule change was published for comment in the Federal Register on February 20, 2020.4 On April 1, 2020, the Division of Trading and Markets, for the Commission pursuant to delegated authority, temporarily suspended the proposed rule change and instituted proceedings to determine whether to approve or disapprove the proposed rule change.5 On June 12, 2020, the Commission issued a request for information and additional comment on the proposed rule change.6 Section 19(b)(2) of the Act 7 provides that, after initiating disapproval proceedings, the Commission shall issue an order approving or disapproving the proposed rule change not later than 180 days after the date of publication of notice of filing of the proposed rule change. The Commission may extend the period for issuing an order approving or disapproving the proposed rule change, however, by not more than 60 days if the Commission determines that a longer period is appropriate and publishes the reasons for such determination. The date of publication of notice of filing of the proposed rule [FR Doc. 2020–18499 Filed 8–21–20; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–89605; File No. SR– NASDAQ–2020–037] Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change To Adopt a New ‘‘Early Market On Close’’ Order Type August 18, 2020. On July 6, 2020, The Nasdaq Stock Market LLC (‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934,1 and Rule 19b–4 thereunder,2 a proposed rule change to adopt a new ‘‘Early Market On Close’’ order type. The proposed rule change was published for comment in the Federal Register on July 22, 2020.3 On August 14, 2020, the Exchange withdrew the proposed rule change (SR–NASDAQ– 2020–037). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.4 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–18472 Filed 8–21–20; 8:45 am] U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 89334 (July 16, 2020), 85 FR 44333. Comments received on the proposed rule change are available on the Commission’s website at: https://www.sec.gov/ comments/sr-nasdaq-2020-037/ srnasdaq2020037.htm. jbell on DSKJLSW7X2PROD with NOTICES 217 CFR 200.30–3(a)(12). 16:31 Aug 21, 2020 August 18, 2020. U.S.C. 78s(b)(1). CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A). 4 See Securities Exchange Act Release No. 88211 (February 14, 2020), 85 FR 9847. 5 See Securities Exchange Act Release No. 88538, 85 FR 19541 (April 7, 2020). 6 See Securities Exchange Act Release No. 89065, 85 FR 37123 (June 19, 2020). Comments received on the proposed rule change are available on the Commission’s website at: https://www.sec.gov/ comments/sr-nysenat-2020-05/ srnysenat202005.htm. 7 15 U.S.C. 78s(b)(2). 2 17 1 15 VerDate Sep<11>2014 Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish Fees for the NYSE National Integrated Feed 1 15 BILLING CODE 8011–01–P 4 17 [Release No. 34–89592; File No. SR– NYSENAT–2020–05] Jkt 250001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 change was February 20, 2020. August 18, 2020, is 180 days from that date, and October 17, 2020, is 240 days from that date. The Commission finds it appropriate to designate a longer period within which to issue an order approving or disapproving the proposed rule change so that it has sufficient time to consider this proposed rule change. Accordingly, the Commission, pursuant to Section 19(b)(2) of the Act,8 designates October 17, 2020, as the date by which the Commission shall either approve or disapprove the proposed rule change (File No. SR–NYSENAT–2020–05). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–18463 Filed 8–21–20; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–89603; File No. SR– NASDAQ–2020–043] Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 August 18, 2020. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on August 5, 2020, The Nasdaq Stock Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. 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 Substance of the Proposed Rule Change The Exchange proposes to amend Rule 4759 (Data Feeds Utilized) to add MIAX PEARL, LLC (‘‘MIAX PEARL’’) and MEMX LLC (‘‘MEMX’’) to the list of market centers under Rule 4759 and provide that the Exchange will utilize CQS/UQDF. The text of the proposed rule change is available on the Exchange’s website at 8 Id. 9 17 CFR 200.30–3(a)(57). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 1 15 E:\FR\FM\24AUN1.SGM 24AUN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 85, Number 164 (Monday, August 24, 2020)]
[Notices]
[Pages 52173-52174]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-18499]


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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-39, OMB Control No. 3235-0049]


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

Extension:
    Form ADV

    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 (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.
    The title for the collection of information is ``Form ADV under the 
Investment Advisers Act of 1940.'' Form ADV is a three-part investment 
adviser registration form. Part 1 of Form ADV contains information used 
primarily by the Securities and Exchange Commission (the 
``Commission'') staff and Part 2 is the client brochure. Part 3 
requires registered investment advisers that offer services to retail 
investors to prepare and file with the Commission, post to the 
adviser's website (if it has one), and deliver to retail investors a 
relationship summary. The Commission uses the information on Form ADV 
to determine eligibility for registration with us and to manage our 
regulatory and examination programs. Clients use the information 
required in Form ADV to determine whether to hire or retain an 
investment adviser, as well as what types of accounts and services are 
appropriate for their needs. This collection of information is found at 
17 CFR 279.1, 17 CFR 275.203-1, 17 CFR 275.204-1 and 17 CFR 275.204-4 
and is mandatory.
    The Commission's examination staff use the information to determine 
eligibility for registration with us and to manage our regulatory, 
examination, and enforcement programs; it will be accorded the same 
level of confidentiality accorded to other responses provided to the 
Commission in the context of its examination and oversight program.
    The respondents to this information collection are investment 
advisers registered with the Commission. Our latest data indicate that 
there were 13,520 advisers registered with the Commission as of January 
30, 2020. The Commission has estimated that Form ADV imposes an annual 
burden of approximately 26.19 hours per respondent. Based on this 
figure, the Commission estimates a total annual burden of 466,505 hours 
for this collection of information.
    The public may view background documentation for this information 
collection at the following website: www.reginfo.gov. Find this 
particular

[[Page 52174]]

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: August 19, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-18499 Filed 8-21-20; 8:45 am]
BILLING CODE 8011-01-P

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