Submission for OMB Review; Comment Request, 36172 [2021-14581]

Download as PDF 36172 Federal Register / Vol. 86, No. 128 / Thursday, July 8, 2021 / Notices • Send an email to rule-comments@ sec.gov. Please include File Number SR– NYSE–2021–37 on the subject line. 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–NYSE–2021–37. 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–NYSE–2021–37 and should be submitted on or before July 29, 2021. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.11 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–14500 Filed 7–7–21; 8:45 am] lotter on DSK11XQN23PROD with NOTICES1 BILLING CODE 8011–01–P 11 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 16:47 Jul 07, 2021 Jkt 253001 SECURITIES AND EXCHANGE COMMISSION [Extension: Rule 17g–8 & 9; OMB Control No. 3235–0693] 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. 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 (‘‘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 17g–8 and 17g–9 (17 CFR 240.17g– 8 and 9) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Rule 17g–8 contains certain requirements for Nationally Recognized Statistical Rating Organizations (‘‘NRSROs’’) to have policies and procedures with respect to the procedures and methodologies the NRSRO uses to determine credit ratings, with respect to the symbols, numbers, or scores it uses to denote credit ratings, to address instances in which a look-back review determines that a conflict of interest influenced a credit rating, and to consider certain prescribed factors for an effective internal structure. Rule 17g– 9 contains requirements for NRSROs to ensure that any person employed by an NRSRO to determine credit ratings meets standards necessary to produce accurate ratings. Currently, there are 9 credit rating agencies registered as NRSROs with the Commission. The Commission estimates that the total burden for respondents to comply with Rule 17g–8 is 1,305 hours and to comply with Rule 17g–9 is 32,335 hours. An agency may not conduct or sponsor a collection of information unless it displays a currently valid OMB control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the PRA that does not display a 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 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 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: July 2, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–14581 Filed 7–7–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Extension: Rule 17g–5, OMB Control No. 3235–0649] 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 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 (‘‘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 17g–5 (17 CFR 240.17g–5) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Rule 17g–5 requires the disclosure of and establishment of procedures to manage certain NRSRO conflicts of interest, prohibits certain other NRSRO conflicts of interest, and contains requirements regarding the disclosure of information in the case of the conflict of interest of an NRSRO issuing or maintaining a credit rating on an assetbacked security that was paid for by the issuer, sponsor, or underwriter of the security. The Commission currently estimates that the total annual burden for respondents to comply with Rule 17g–5 is 263,306 hours. An agency may not conduct or sponsor a collection of information unless it displays a currently valid OMB control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the PRA that does not display a valid OMB control number. The public may view background documentation for this information collection at the following website: E:\FR\FM\08JYN1.SGM 08JYN1

Agencies

[Federal Register Volume 86, Number 128 (Thursday, July 8, 2021)]
[Notices]
[Page 36172]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-14581]


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SECURITIES AND EXCHANGE COMMISSION

[Extension: Rule 17g-8 & 9; OMB Control No. 3235-0693]


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.

    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 (``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 17g-
8 and 17g-9 (17 CFR 240.17g-8 and 9) under the Securities Exchange Act 
of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').
    Rule 17g-8 contains certain requirements for Nationally Recognized 
Statistical Rating Organizations (``NRSROs'') to have policies and 
procedures with respect to the procedures and methodologies the NRSRO 
uses to determine credit ratings, with respect to the symbols, numbers, 
or scores it uses to denote credit ratings, to address instances in 
which a look-back review determines that a conflict of interest 
influenced a credit rating, and to consider certain prescribed factors 
for an effective internal structure. Rule 17g-9 contains requirements 
for NRSROs to ensure that any person employed by an NRSRO to determine 
credit ratings meets standards necessary to produce accurate ratings. 
Currently, there are 9 credit rating agencies registered as NRSROs with 
the Commission. The Commission estimates that the total burden for 
respondents to comply with Rule 17g-8 is 1,305 hours and to comply with 
Rule 17g-9 is 32,335 hours.
    An agency may not conduct or sponsor a collection of information 
unless it displays a currently valid OMB control number. No person 
shall be subject to any penalty for failing to comply with a collection 
of information subject to the PRA that does not display a 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: July 2, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-14581 Filed 7-7-21; 8:45 am]
BILLING CODE 8011-01-P
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