Submission for OMB Review; Comment Request, 3216 [2021-00728]

Download as PDF 3216 Federal Register / Vol. 86, No. 9 / Thursday, January 14, 2021 / Notices TABLE 1—ANNUAL ADJUSTMENTS TO NEW RESTRICTIONS ON LOBBYING CIVIL MONETARY PENALTIES, 2016–2021 Baseline penalty range Year 2016 2017 2018 2019 2020 2021 ............................................................................................................... ............................................................................................................... ............................................................................................................... ............................................................................................................... ............................................................................................................... ............................................................................................................... Dated: January 8, 2021. Caitlin Cater, Attorney-Advisor, National Endowment for the Humanities. [FR Doc. 2021–00582 Filed 1–13–21; 8:45 am] BILLING CODE 7536–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–146, OMB Control No. 3235–0134] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of FOIA Services, Washington, DC 20549–2736 Extension: Rule 15c1–7 khammond on DSKJM1Z7X2PROD with NOTICES 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 existing collection of information provided for in Rule 15c1– 7 (17 CFR 240.15c1–7) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Rule 15c1–7 states that any act of a broker-dealer designed to effect securities transactions with or for a customer account over which the broker-dealer (directly or through an agent or employee) has discretion will be considered a fraudulent, 4 OMB Memorandum M–16–06 (February 24, 2016). 5 OMB Memorandum M–17–11 (December 16, 2016). 6 OMB Memorandum M–18–03 (December 15, 2017). 7 OMB Memorandum M–19–04 (December 14, 2018). 8 OMB Memorandum M–20–05 (December 16, 2019). 9 OMB Memorandum M–21–10 (December 23, 2020). VerDate Sep<11>2014 20:43 Jan 13, 2021 Jkt 253001 Dated: January 11, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–00728 Filed 1–13–21; 8:45 am] BILLING CODE 8011–01–P Frm 00108 Fmt 4703 4 1.89361 $10,000–$100,000 $18,936–$189,361 $19,246–$192,459 $19,639–$196,387 $20,134–$201,340 $20,489–$204,892 manipulative, or deceptive practice under the federal securities laws, unless a record is made of the transaction immediately by the broker-dealer. The record must include (a) the name of the customer, (b) the name, amount, and price of the security, and (c) the date and time when such transaction took place. The Commission estimates that 362 respondents collect information related to approximately 400,000 transactions annually under Rule 15c1– 7 and that each respondent would spend approximately 5 minutes on the collection of information for each transaction, for approximately 33,333 aggregate hours per year (approximately 92.1 hours per respondent). 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: PRA_Mailbox@sec.gov. PO 00000 Applicable multiplier based on percent increase in CPI–U Sfmt 4703 5 1.01636 6 1.02041 7 1.02522 8 1.01764 9 1.01182 New baseline penalty range $18,936–$189,361 $19,246–$192,459 $19,639–$196,387 $20,134–$201,340 $20,489–$204,892 $20,731–$207,314 SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33–10919; 34–90882; File No. 265–32] SEC Small Business Capital Formation Advisory Committee Securities and Exchange Commission. ACTION: Notice of meeting. AGENCY: The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting by videoconference. The public is invited to submit written statements to the Committee. DATES: The meeting will be held on Friday, January 29, 2021, from 10:00 a.m. to 2:30 p.m. (ET) and will be open to the public. Written statements should be received on or before January 29, 2021. ADDRESSES: The meeting will be conducted by remote means (videoconference). Members of the public may attend the meeting by viewing the webcast on the Commission’s website at www.sec.gov. Written statements may be submitted by any of the following methods: SUMMARY: Electronic Statements • Use the Commission’s internet submission form (https://www.sec.gov/ rules/submitcomments.htm); or • Send an email message to rulecomments@sec.gov. Please include File Number 265–32 on the subject line; or Paper Statements • Send paper statements to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549– 1090. All submissions should refer to File No. 265–32. This file number should be E:\FR\FM\14JAN1.SGM 14JAN1

Agencies

[Federal Register Volume 86, Number 9 (Thursday, January 14, 2021)]
[Notices]
[Page 3216]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-00728]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-146, OMB Control No. 3235-0134]


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: U.S. Securities and 
Exchange Commission, Office of FOIA Services, Washington, DC 20549-2736

Extension:
    Rule 15c1-7

    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 
existing collection of information provided for in Rule 15c1-7 (17 CFR 
240.15c1-7) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.) (``Exchange Act'').
    Rule 15c1-7 states that any act of a broker-dealer designed to 
effect securities transactions with or for a customer account over 
which the broker-dealer (directly or through an agent or employee) has 
discretion will be considered a fraudulent, manipulative, or deceptive 
practice under the federal securities laws, unless a record is made of 
the transaction immediately by the broker-dealer. The record must 
include (a) the name of the customer, (b) the name, amount, and price 
of the security, and (c) the date and time when such transaction took 
place. The Commission estimates that 362 respondents collect 
information related to approximately 400,000 transactions annually 
under Rule 15c1-7 and that each respondent would spend approximately 5 
minutes on the collection of information for each transaction, for 
approximately 33,333 aggregate hours per year (approximately 92.1 hours 
per respondent).
    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: January 11, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-00728 Filed 1-13-21; 8:45 am]
BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.