SEC Small Business Capital Formation Advisory Committee, 3216-3217 [2021-00764]

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 Federal Register / Vol. 86, No. 9 / Thursday, January 14, 2021 / Notices included on the subject line if email is used. To help us process and review your statement more efficiently, please use only one method. The Commission will post all statements on the SEC’s website at www.sec.gov. Statements also 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. (ET). All statements received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Julie Z. Davis, Senior Special Counsel, Office of the Advocate for Small Business Capital Formation, at (202) 551–5407, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–3628. SUPPLEMENTARY INFORMATION: The meeting will be open to the public. Persons needing special accommodations because of a disability should notify the contact person listed in the section above entitled FOR FURTHER INFORMATION CONTACT. The agenda for the meeting includes matters relating to rules and regulations affecting small and emerging companies and their investors under the federal securities laws. Dated: January 11, 2021. Vanessa A. Countryman, Secretary. [FR Doc. 2021–00764 Filed 1–13–21; 8:45 am] BILLING CODE P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–422, OMB Control No. 3235–0471] Submission for OMB Review; Comment Request khammond on DSKJM1Z7X2PROD with NOTICES 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 of the previously approved collection of information provided for in Rule 15c1–5 (17 CFR 240.15c1–5) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 15c1–5 states that any brokerdealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction. The Commission estimates that 181 respondents provide notifications annually under Rule 15c1– 5 and that each respondent would spend approximately 10 hours per year complying with the requirements of the rule for a total burden of approximately 1,810 hours per year. There is no retention period requirement under Rule 15c1–5. This Rule does not involve the collection of confidential information. 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. Dated: January 11, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–00732 Filed 1–13–21; 8:45 am] BILLING CODE 8011–01–P Extension: Rule 15c1–5 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 VerDate Sep<11>2014 20:43 Jan 13, 2021 Jkt 253001 PO 00000 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–90880; File No. SR–Phlx– 2021–03] Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Modify Phlx Options 8, Section 26, ‘‘Trading Halts, Business Continuity and Disaster Recovery’’ January 8, 2021. 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 January 7, 2021 Nasdaq PHLX LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as 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 from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to modify Phlx Options 8, Section 26, ‘‘Trading Halts, Business Continuity and Disaster Recovery’’ to permit a Virtual Trading Crowd in the event that the Trading Floor is unavailable. The text of the proposed rule change is available on the Exchange’s website at https://listingcenter.nasdaq.com/ rulebook/phlx/rules, 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 Exchange 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 these 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 aspects of such statements. 1 15 2 17 Frm 00109 Fmt 4703 Sfmt 4703 3217 E:\FR\FM\14JAN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 14JAN1

Agencies

[Federal Register Volume 86, Number 9 (Thursday, January 14, 2021)]
[Notices]
[Pages 3216-3217]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-00764]


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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-10919; 34-90882; File No. 265-32]


SEC Small Business Capital Formation Advisory Committee

AGENCY: Securities and Exchange Commission.

ACTION: Notice of meeting.

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

SUMMARY: 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:

Electronic Statements

     Use the Commission's internet submission form (https://www.sec.gov/rules/submitcomments.htm); or
     Send an email message to [email protected]. 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

[[Page 3217]]

included on the subject line if email is used. To help us process and 
review your statement more efficiently, please use only one method. The 
Commission will post all statements on the SEC's website at 
www.sec.gov.
    Statements also 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. (ET). All statements received will be posted without change; 
we do not edit personal identifying information from submissions. You 
should submit only information that you wish to make available 
publicly.

FOR FURTHER INFORMATION CONTACT: Julie Z. Davis, Senior Special 
Counsel, Office of the Advocate for Small Business Capital Formation, 
at (202) 551-5407, Securities and Exchange Commission, 100 F Street NE, 
Washington, DC 20549-3628.

SUPPLEMENTARY INFORMATION: The meeting will be open to the public. 
Persons needing special accommodations because of a disability should 
notify the contact person listed in the section above entitled FOR 
FURTHER INFORMATION CONTACT. The agenda for the meeting includes 
matters relating to rules and regulations affecting small and emerging 
companies and their investors under the federal securities laws.

    Dated: January 11, 2021.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2021-00764 Filed 1-13-21; 8:45 am]
BILLING CODE P
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