Submission for OMB Review; Comment Request, 49580 [2021-19030]

Download as PDF 49580 Federal Register / Vol. 86, No. 169 / Friday, September 3, 2021 / Notices 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: August 30, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–19029 Filed 9–2–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION 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 lotter on DSK11XQN23PROD with NOTICES1 Extension: Rule 301 of Regulation ATS; [SEC File No. 270–451, OMB Control No. 3235–0509] 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 301 of Regulation ATS (17 CFR 242.301) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Regulation ATS provides a regulatory structure for alternative trading systems. Rule 301 of Regulation ATS contains certain record keeping and reporting requirements, as well as additional obligations that apply only to alternative trading systems with significant volume. The Rule requires all alternative trading systems that wish to comply with Regulation ATS to file an initial operation report on Form ATS. Alternative trading systems are also required to supply updates on Form ATS to the Commission describing material changes to the system, file quarterly transaction reports on Form ATS–R, and file cessation of operations reports on Form ATS. An alternative trading system with significant volume is required to comply with requirements for fair access and systems capacity, integrity, and security. Rule 301 also imposes certain requirements pertaining to written safeguards and procedures to protect subscribers’ confidential trading information. The Commission staff estimates that entities subject to the requirements of Rule 301 will spend a total of VerDate Sep<11>2014 16:55 Sep 02, 2021 Jkt 253001 approximately 2,687 hours a year to comply with the Rule. Regulation ATS requires ATSs to preserve any records, for at least three years, made in the process of complying with the systems capacity, integrity and security requirements. 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. MATTER TO BE CONSIDERED: Dated: August 30, 2021. J. Matthew DeLesDernier, Assistant Secretary. [Release No. 34–92808; File No. SR–FICC– 2021–003] [FR Doc. 2021–19030 Filed 9–2–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings The agenda for the meeting includes: Welcome remarks; approval of previous meeting minutes; a panel discussion entitled ‘‘Reimagining Investor Protection in a Digital World: The Behavioral Design of Online Trading Platforms’’; a panel discussion regarding competition and regulatory reform at the PCAOB; a discussion of a recommendation regarding 10b5–1 plans; a discussion of a recommendation regarding SPACs; subcommittee reports; and a non-public administrative session. CONTACT PERSON FOR MORE INFORMATION: For further information and to ascertain what, if any, matters have been added, deleted or postponed; please contact Vanessa A. Countryman from the Office of the Secretary at (202) 551–5400. Dated: September 1, 2021. Vanessa A. Countryman, Secretary. [FR Doc. 2021–19290 Filed 9–1–21; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add the Sponsored GC Service and Make Other Changes August 30, 2021. Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission Investor Advisory Committee will hold a public meeting on Thursday, September 9, 2021. The meeting will begin at 10 a.m. (ET) and will be open to the public. PLACE: The meeting will be conducted by remote means and/or at the Commission’s headquarters, 100 F St NE, Washington, DC 20549. Members of the public may watch the webcast of the meeting on the Commission’s website at www.sec.gov. STATUS: This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting. On August 27, 2021, the Commission published notice of the Committee meeting (Release Nos. 33–10968, 34– 92783), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. TIME AND DATE: PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 On May 12, 2021, Fixed Income Clearing Corporation (‘‘FICC’’) 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 proposed rule change SR–FICC–2021–003 to amend FICC’s Government Securities Division Rulebook 3 to add a new service that expands FICC’s existing Sponsored Service.4 The proposed rule change was 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 FICC’s Government Securities Division (‘‘GSD’’) Rulebook (‘‘Rules’’) is available at https:// www.dtcc.com/legal/rules-and-procedures. 4 FICC also filed the proposals contained in the proposed rule change as advance notice SR–FICC– 2021–801 with the Commission pursuant to Section 806(e)(1) of the Dodd-Frank Wall Street Reform and Consumer Protection Act entitled the Payment, Clearing, and Settlement Supervision Act of 2010 (‘‘Clearing Supervision Act’’), 12 U.S.C. 5465(e)(1), and Rule 19b–4(n)(1)(i) of the Act, 17 CFR 240.19b– 4(n)(1)(i). Notice of filing of the Advance Notice was published for comment in the Federal Register on June 3, 2021. Securities Exchange Act Release 2 17 E:\FR\FM\03SEN1.SGM 03SEN1

Agencies

[Federal Register Volume 86, Number 169 (Friday, September 3, 2021)]
[Notices]
[Page 49580]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-19030]


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SECURITIES AND EXCHANGE COMMISSION


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 301 of Regulation ATS; [SEC File No. 270-451, OMB Control 
No. 3235-0509]

    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 301 
of Regulation ATS (17 CFR 242.301) under the Securities Exchange Act of 
1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').
    Regulation ATS provides a regulatory structure for alternative 
trading systems. Rule 301 of Regulation ATS contains certain record 
keeping and reporting requirements, as well as additional obligations 
that apply only to alternative trading systems with significant volume. 
The Rule requires all alternative trading systems that wish to comply 
with Regulation ATS to file an initial operation report on Form ATS. 
Alternative trading systems are also required to supply updates on Form 
ATS to the Commission describing material changes to the system, file 
quarterly transaction reports on Form ATS-R, and file cessation of 
operations reports on Form ATS. An alternative trading system with 
significant volume is required to comply with requirements for fair 
access and systems capacity, integrity, and security. Rule 301 also 
imposes certain requirements pertaining to written safeguards and 
procedures to protect subscribers' confidential trading information.
    The Commission staff estimates that entities subject to the 
requirements of Rule 301 will spend a total of approximately 2,687 
hours a year to comply with the Rule.
    Regulation ATS requires ATSs to preserve any records, for at least 
three years, made in the process of complying with the systems 
capacity, integrity and security requirements.
    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: August 30, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-19030 Filed 9-2-21; 8:45 am]
BILLING CODE 8011-01-P
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