Proposed Collection; Comment Request, 62234 [2021-24423]
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Federal Register / Vol. 86, No. 214 / Tuesday, November 9, 2021 / Notices
of the information to be collected; and
(d) ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
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.
Please direct your written comments
to: David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o John R.
Pezzullo, 100 F Street NE, Washington,
DC 20549, or send an email to: PRA_
Mailbox@sec.gov.
Dated: November 3, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–24429 Filed 11–8–21; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–034, OMB Control No.
3235–0034]
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
jspears on DSK121TN23PROD with NOTICES1
Extension:
Rule 17f–2(a)
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’’) is soliciting comments
on the existing collection of information
provided for in Rule 17f–2(a) (17 CFR
240.17f–2(a)), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.). The Commission plans to submit
this existing collection of information to
the Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Rule 17f–2(a) (Fingerprinting
Requirements for Securities
Professionals) requires that securities
professionals be fingerprinted. This
requirement serves to identify securityrisk personnel, to allow an employer to
make fully informed employment
decisions, and to deter possible
wrongdoers from seeking employment
in the securities industry. Partners,
directors, officers, and employees of
VerDate Sep<11>2014
17:00 Nov 08, 2021
Jkt 256001
exchanges, brokers, dealers, transfer
agents, and clearing agencies are
included.
The Commission staff estimates that
approximately 4,480 respondents will
submit an aggregate total of 289,780 new
fingerprint cards each year or
approximately 65 fingerprint cards per
year per registrant. The staff estimates
that the average number of hours
necessary to complete a fingerprint card
is one-half hour. Thus, the total
estimated annual burden is 144,890
hours for all respondents (289,780 times
one-half hour). The average internal cost
of compliance per hour is
approximately $283. Therefore, the total
estimated annual internal cost of
compliance for all respondents is
$41,003,870 (144,890 times $283).
This rule does not involve the
collection of confidential information.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
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.
Please direct your written comments
to: David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o John R.
Pezzullo, 100 F Street NE, Washington,
DC 20549, or send an email to: PRA_
Mailbox@sec.gov.
Dated: November 3, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–24423 Filed 11–8–21; 8:45 am]
BILLING CODE 8011–01–P
PO 00000
Frm 00094
Fmt 4703
Sfmt 4703
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–517, OMB Control No.
3235–0575]
Proposed Collection; 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:
Regulation AC
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’’) is soliciting comments
on the existing collection of information
provided for in Regulation Analyst
Certification (‘‘Regulation AC’’) (17 CFR
242.500–505, under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.)). The Commission plans to submit
this existing collection of information to
the Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Regulation AC requires that research
reports published, circulated, or
provided by a broker or dealer or
covered person contain a statement
attesting that the views expressed in
each research report accurately reflect
the analyst’s personal views and
whether or not the research analyst
received or will receive any
compensation in connection with the
views or recommendations expressed in
the research report. Regulation AC also
requires broker-dealers to, on a quarterly
basis, make, keep, and maintain records
of research analyst statements regarding
whether the views expressed in public
appearances accurately reflected the
analyst’s personal views, and whether
any part of the analyst’s compensation
is related to the specific
recommendations or views expressed in
the public appearance. Regulation AC
also requires that research prepared by
foreign persons be presented to U.S.
persons pursuant to Securities Exchange
Act Rule 15a–6 and that broker-dealers
notify associated persons if they would
be covered by the regulation. Regulation
AC excludes the news media from its
coverage.
The Commission estimates that
Regulation AC imposes an aggregate
annual time burden of approximately
40,806 hours. The Commission
estimates that the total annual internal
cost of compliance for the 40,806 hours
is approximately $20,923,582.
Written comments are invited on: (a)
Whether the proposed collection of
E:\FR\FM\09NON1.SGM
09NON1
]]>Agencies
[Federal Register Volume 86, Number 214 (Tuesday, November 9, 2021)]
[Notices]
[Page 62234]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24423]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-034, OMB Control No. 3235-0034]
Proposed Collection; 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 17f-2(a)
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'') is soliciting comments on the existing
collection of information provided for in Rule 17f-2(a) (17 CFR
240.17f-2(a)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a
et seq.). The Commission plans to submit this existing collection of
information to the Office of Management and Budget (``OMB'') for
extension and approval.
Rule 17f-2(a) (Fingerprinting Requirements for Securities
Professionals) requires that securities professionals be fingerprinted.
This requirement serves to identify security-risk personnel, to allow
an employer to make fully informed employment decisions, and to deter
possible wrongdoers from seeking employment in the securities industry.
Partners, directors, officers, and employees of exchanges, brokers,
dealers, transfer agents, and clearing agencies are included.
The Commission staff estimates that approximately 4,480 respondents
will submit an aggregate total of 289,780 new fingerprint cards each
year or approximately 65 fingerprint cards per year per registrant. The
staff estimates that the average number of hours necessary to complete
a fingerprint card is one-half hour. Thus, the total estimated annual
burden is 144,890 hours for all respondents (289,780 times one-half
hour). The average internal cost of compliance per hour is
approximately $283. Therefore, the total estimated annual internal cost
of compliance for all respondents is $41,003,870 (144,890 times $283).
This rule does not involve the collection of confidential
information.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the Commission, including whether the information
shall have practical utility; (b) the accuracy of the Commission's
estimates of the burden of the proposed collection of information; (c)
ways to enhance the quality, utility, and clarity of the information
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology.
Consideration will be given to comments and suggestions submitted in
writing within 60 days of this publication.
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.
Please direct your written comments to: David Bottom, Director/
Chief Information Officer, Securities and Exchange Commission, c/o John
R. Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email
to: [email protected].
Dated: November 3, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-24423 Filed 11-8-21; 8:45 am]
BILLING CODE 8011-01-P
