Submission for OMB Review; Comment Request, 13432-13433 [2021-04658]

Download as PDF 13432 Federal Register / Vol. 86, No. 43 / Monday, March 8, 2021 / Notices Dated: March 2, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–04662 Filed 3–5–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–135, OMB Control No. 3235–0176] 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: Rules 8b–1 to 8b–33 jbell on DSKJLSW7X2PROD with NOTICES 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. Rules 8b–1 to 8b–33 (17 CFR 270.8b– 1 to 8b–33) under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) (‘‘Investment Company Act’’) set forth the procedures for preparing and filing a registration statement under the Investment Company Act. These procedures are intended to facilitate the registration process. These rules generally do not require respondents to report information.1 The Commission believes that it is appropriate to estimate the total respondent burden associated with preparing each registration statement form rather than attempt to isolate the impact of the procedural instructions under Section 8(b) of the Investment Company Act, which impose burdens only in the context of the preparation of the various registration statement forms. Accordingly, the Commission is not 1 Although the rules under Section 8(b) of the Investment Company Act are generally procedural in nature, two of the rules require respondents to disclose some limited information. Rule 8b–3 (17 CFR 270.8b–3) provides that whenever a registration form requires the title of securities to be stated, the registrant must indicate the type and general character of the securities to be issued. Rule 8b–22 (17 CFR 270.8b–22) provides that if the existence of control is open to reasonable doubt, the registrant may disclaim the existence of control, but it must state the material facts pertinent to the possible existence of control. The information required by both of these rules is necessary to insure that investors have clear and complete information upon which to base an investment decision. VerDate Sep<11>2014 19:05 Mar 05, 2021 Jkt 253001 submitting a separate burden estimate for rules 8b–1 through 8b–33, but instead will include the burden for these rules in its estimates of burden for each of the registration forms under the Investment Company Act. The Commission is, however, submitting an hourly burden estimate of one hour for administrative purposes. The collection of information under rules 8b–1 to 8b–33 is mandatory. The information provided under rules 8b–1 to 8b–33 is not kept confidential. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information 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: March 2, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–04661 Filed 3–5–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–418, OMB Control No. 3235–0485] 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 15c2–1. 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 15c2–1, (17 CFR 240.15c2–1), PO 00000 Frm 00154 Fmt 4703 Sfmt 4703 under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 15c2–1 (17 CFR 240.15c2–1) prohibits the commingling under the same lien of securities of margin customers (a) with other customers without their written consent and (b) with the broker-dealer. The rule also prohibits the re-hypothecation of customers’ margin securities for a sum in excess of the customer’s aggregate indebtedness. Pursuant to Rule 15c2–1, respondents must collect information necessary to prevent the rehypothecation of customer securities in contravention of the rule, issue and retain copies of notices of hypothecation of customer securities in accordance with the rule, and collect written consents from customers in accordance with the rule. The information is necessary to ensure compliance with the rule and to advise customers of the rule’s protections. There are approximately 48 respondents (i.e., broker-dealers that conducted business with the public, filed Part II or Part IICSE of the FOCUS Report, did not claim an exemption from the Rule 15c3–3 reserve formula computation, and reported that they had a bank loan during at least one quarter of the current year) that require an aggregate total of approximately 1,080 hours to comply with the rule. Each of these approximately 48 registered broker-dealers makes an estimated 45 annual responses. Each response takes approximately 0.5 hours to complete. Thus, the total burden per year is approximately 1,080 hours. The retention period for the recordkeeping requirement under Rule 15c2–1 is not less than two years following the date the notice is submitted. The recordkeeping requirement under this rule is mandatory to assist the Commission in monitoring the respondent who fail to collect the information set by the Commission rule. 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 E:\FR\FM\08MRN1.SGM 08MRN1 Federal Register / Vol. 86, No. 43 / Monday, March 8, 2021 / Notices 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. instituted proceedings to determine whether to approve or disapprove the proposed rule change.6 On February 16, 2021, the Exchange withdrew the proposed rule change (SR–NYSE–2020– 90). [FR Doc. 2021–04658 Filed 3–5–21; 8:45 am] For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.7 J. Matthew DeLesDernier, Assistant Secretary. BILLING CODE 8011–01–P [FR Doc. 2021–04680 Filed 3–5–21; 8:45 am] Dated: March 2, 2021. J. Matthew DeLesDernier, Assistant Secretary. BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION DEPARTMENT OF TRANSPORTATION [Release No. 34–91242; File No. SR–NYSE– 2020–90] Federal Highway Administration Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement March 2, 2021. On October 27, 2020, New York Stock Exchange LLC (‘‘NYSE’’ or ‘‘Exchange’’) 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 amend its listing requirements applicable to special purpose acquisition companies upon consummation of a business combination by allowing such companies 15 calendar days following the closing of a business combination to demonstrate compliance with the Exchange’s round lot shareholder requirement. The proposed rule change was published for comment in the Federal Register on November 16, 2020.3 On December 21, 2020, pursuant to Section 19(b)(2) of the Act,4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to disapprove the proposed rule change to February 14, 2021.5 On February 12, 2021, the Commission 1 15 U.S.C.78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 90382 (November 9, 2020), 85 FR 73121 (‘‘Notice’’). Comment on the proposed rule change is located at: https://www.sec.gov/comments/sr-nyse-2020-90/ srnyse202090.htm. 4 15 U.S.C. 78s(b)(2). 5 See Securities Exchange Act Release No. 90739, 85 FR 85759 (December 29, 2020). jbell on DSKJLSW7X2PROD with NOTICES 2 17 VerDate Sep<11>2014 19:05 Mar 05, 2021 Jkt 253001 [Docket No. FHWA–2021–0003] Agency Information Collection Activities: Notice of Request for Reinstatement of a Previously Approved Information Collection Federal Highway Administration (FHWA), DOT. ACTION: Notice of request for reinstatement of a previously approved information collection. AGENCY: The FHWA has forwarded the information collection request described in this notice to the Office of Management and Budget (OMB) for approval of a new (periodic) information collection. We published a Federal Register Notice with a 60-day public comment period on this information collection on September 28, 2020. We are required to publish this notice in the Federal Register by the Paperwork Reduction Act of 1995. DATES: Please submit comments by April 7, 2021. ADDRESSES: You may submit comments identified by DOT Docket ID Number (FHWA–2021–0003) by any of the following methods: Website: For access to the docket to read background documents or comments received, go to the Federal eRulemaking Portal: https:// www.regulations.gov. Follow the online instructions for submitting comments. Fax: 1–202–493–2251. Mail: Docket Management Facility; U.S. Department of Transportation, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE, Washington, DC 20590. Hand Delivery or Courier: U.S. Department of Transportation, West Building Ground Floor, Room W12–140, SUMMARY: 6 See Securities Exchange Act Release No. 91120, 86 FR 10379 (February 19, 2021). 7 17 CFR 200.30–3(a)(12). PO 00000 Frm 00155 Fmt 4703 Sfmt 4703 13433 1200 New Jersey Avenue SE, Washington, DC 20590, between 9 a.m. and 5 p.m. ET, Monday through Friday, except Federal holidays. FOR FURTHER INFORMATION CONTACT: Sarah Pascual 202–366–0087, sarah.pascual@dot.gov; Office of Safety, Federal Highway Administration, Department of Transportation, New Jersey Avenue SE, Washington, DC 20590–0001. Office hours are from 8:00 a.m. to 4:30 p.m., Monday through Friday, except Federal holidays. SUPPLEMENTARY INFORMATION: Title: Drug Offender’s Driver’s License Suspension Certification. OMB Control #: 2125–0579. Background: States are legally required to enact and enforce laws that revoke or suspend the drivers licenses of any individual convicted of a drug offense and to make annual certifications to the FHWA on their actions. The Department of Transportation’s implementing regulations (23 CFR part 192) of 23 U.S.C. 159 require annual certifications by the Governors. In this regard, the State must submit by January 1 of each year either a written certification, signed by the Governor, stating that the State is in compliance with 23 U.S.C. 159; or a written certification stating that the Governor is opposed to the enactment or enforcement, and that the State legislature has adopted a resolution expressing its opposition to 23 U.S.C. 159. Beginning in Fiscal Year 2012, States’ failure to comply by October 1 of each fiscal year resulted in a withholding penalty of 8 percent from States’ apportionments for the fiscal year. Any funds withheld from a State under 23 U.S.C. 159 shall not be available for apportionment to that State. Respondents: 50 States and the District of Columbia and Puerto Rico. Estimated Annual Burden Hours: Annual average of 5 hours for each respondent; 260 total annual burden hours. Public Comments Invited: You are asked to comment on any aspect of this information collection, including: (1) Whether the proposed collection is necessary for the FHWA’s performance; (2) the accuracy of the estimated burdens; (3) ways for the FHWA to enhance the quality, usefulness, and clarity of the collected information; and (4) ways that the burden could be minimized, including the use of electronic technology, without reducing the quality of the collected information. The agency will summarize and/or include your comments in the request for OMB’s clearance of this information collection. E:\FR\FM\08MRN1.SGM 08MRN1

Agencies

[Federal Register Volume 86, Number 43 (Monday, March 8, 2021)]
[Notices]
[Pages 13432-13433]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-04658]


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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-418, OMB Control No. 3235-0485]


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 15c2-1.

    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 
15c2-1, (17 CFR 240.15c2-1), under the Securities Exchange Act of 1934 
(15 U.S.C. 78a et seq.).
    Rule 15c2-1 (17 CFR 240.15c2-1) prohibits the commingling under the 
same lien of securities of margin customers (a) with other customers 
without their written consent and (b) with the broker-dealer. The rule 
also prohibits the re-hypothecation of customers' margin securities for 
a sum in excess of the customer's aggregate indebtedness. Pursuant to 
Rule 15c2-1, respondents must collect information necessary to prevent 
the re-hypothecation of customer securities in contravention of the 
rule, issue and retain copies of notices of hypothecation of customer 
securities in accordance with the rule, and collect written consents 
from customers in accordance with the rule. The information is 
necessary to ensure compliance with the rule and to advise customers of 
the rule's protections.
    There are approximately 48 respondents (i.e., broker-dealers that 
conducted business with the public, filed Part II or Part IICSE of the 
FOCUS Report, did not claim an exemption from the Rule 15c3-3 reserve 
formula computation, and reported that they had a bank loan during at 
least one quarter of the current year) that require an aggregate total 
of approximately 1,080 hours to comply with the rule. Each of these 
approximately 48 registered broker-dealers makes an estimated 45 annual 
responses. Each response takes approximately 0.5 hours to complete. 
Thus, the total burden per year is approximately 1,080 hours.
    The retention period for the recordkeeping requirement under Rule 
15c2-1 is not less than two years following the date the notice is 
submitted. The recordkeeping requirement under this rule is mandatory 
to assist the Commission in monitoring the respondent who fail to 
collect the information set by the Commission rule. 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

[[Page 13433]]

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: March 2, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-04658 Filed 3-5-21; 8:45 am]
BILLING CODE 8011-01-P
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