Submission for OMB Review; Comment Request, 59346 [2020-20712]

Download as PDF 59346 Federal Register / Vol. 85, No. 183 / Monday, September 21, 2020 / Notices 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–BX–2020–026, and should be submitted on or before October 13, 2020. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.7 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–20698 Filed 9–18–20; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–154, OMB Control No. 3235–0122] Submission for OMB Review; Comment Request jbell on DSKJLSW7X2PROD with NOTICES Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 Extension: Rule 17a–10 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the 7 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 19:59 Sep 18, 2020 Jkt 250001 Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for approval of extension of the previously approved collection of information provided for in Rule 17a–10 (17 CFR 240.17a–10) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The primary purpose of Rule 17a–10 is to obtain the economic and statistical data necessary for an ongoing analysis of the securities industry. Paragraph (a)(1) of Rule 17a–10 generally requires broker-dealers that are exempted from the requirement to file monthly and quarterly reports pursuant to paragraph (a) of Exchange Act Rule 17a–5 (17 CFR 240.17a–5) to file with the Commission the Facing Page, a Statement of Income (Loss), and balance sheet from Part IIA of Form X–17A–5 1 (17 CFR 249.617), and Schedule I of Form X–17A–5 not later than 17 business days after the end of each calendar year. Paragraph (a)(2) of Rule 17a–10 requires a broker-dealer subject to Rule 17a–5(a) to submit Schedule I of Form X–17A–5 with its Form X–17A–5 for the calendar quarter ending December 31 of each year. The burden associated with filing Schedule I of Form X–17A–5 is accounted for in the PRA filing associated with Rule 17a–5. Paragraph (b) of Rule 17a–10 provides that the provisions of paragraph (a) do not apply to members of national securities exchanges or registered national securities associations that maintain records containing the information required by Form X–17A–5 and which transmit to the Commission copies of the records pursuant to a plan which has been declared effective by the Commission. The Commission staff estimates that approximately 46 broker-dealers will spend an average of 12 hours per year complying with Rule 17a–10. Thus, the total compliance burden is estimated to be approximately 552 burden-hours per year. 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 1 Form X–17A–5 is the Financial and Operational Combined Uniform Single Report (‘‘FOCUS Report’’), which is used by broker-dealers to provide certain required information to the Commission. PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 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: September 15, 2020. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–20712 Filed 9–18–20; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–89875; File No. SR– NASDAQ–2020–060] Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, As Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM–5900–7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination September 15, 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 September 1, 2020, The Nasdaq Stock Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) a proposed rule change. On September 14, 2020, the Exchange filed Amendment No. 1 to the proposed rule change, which amended and replaced the proposed rule change in its entirety. The proposed rule change, as modified by Amendment No. 1, is described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change, as modified by Amendment No. 1, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to treat as an Eligible Switch, for purposes of IM– 5900–7, an Acquisition Company that 1 15 2 17 E:\FR\FM\21SEN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 21SEN1

Agencies

[Federal Register Volume 85, Number 183 (Monday, September 21, 2020)]
[Notices]
[Page 59346]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-20712]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-154, OMB Control No. 3235-0122]


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:
    Rule 17a-10

    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'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the 
previously approved collection of information provided for in Rule 17a-
10 (17 CFR 240.17a-10) under the Securities Exchange Act of 1934 (15 
U.S.C. 78a et seq.).
    The primary purpose of Rule 17a-10 is to obtain the economic and 
statistical data necessary for an ongoing analysis of the securities 
industry. Paragraph (a)(1) of Rule 17a-10 generally requires broker-
dealers that are exempted from the requirement to file monthly and 
quarterly reports pursuant to paragraph (a) of Exchange Act Rule 17a-5 
(17 CFR 240.17a-5) to file with the Commission the Facing Page, a 
Statement of Income (Loss), and balance sheet from Part IIA of Form X-
17A-5 \1\ (17 CFR 249.617), and Schedule I of Form X-17A-5 not later 
than 17 business days after the end of each calendar year.
---------------------------------------------------------------------------

    \1\ Form X-17A-5 is the Financial and Operational Combined 
Uniform Single Report (``FOCUS Report''), which is used by broker-
dealers to provide certain required information to the Commission.
---------------------------------------------------------------------------

    Paragraph (a)(2) of Rule 17a-10 requires a broker-dealer subject to 
Rule 17a-5(a) to submit Schedule I of Form X-17A-5 with its Form X-17A-
5 for the calendar quarter ending December 31 of each year. The burden 
associated with filing Schedule I of Form X-17A-5 is accounted for in 
the PRA filing associated with Rule 17a-5.
    Paragraph (b) of Rule 17a-10 provides that the provisions of 
paragraph (a) do not apply to members of national securities exchanges 
or registered national securities associations that maintain records 
containing the information required by Form X-17A-5 and which transmit 
to the Commission copies of the records pursuant to a plan which has 
been declared effective by the Commission.
    The Commission staff estimates that approximately 46 broker-dealers 
will spend an average of 12 hours per year complying with Rule 17a-10. 
Thus, the total compliance burden is estimated to be approximately 552 
burden-hours per year.
    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: September 15, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-20712 Filed 9-18-20; 8:45 am]
BILLING CODE 8011-01-P
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