Proposed Collection; Comment Request, 6917 [2022-02505]

Download as PDF Federal Register / Vol. 87, No. 25 / Monday, February 7, 2022 / Notices All submissions should refer to File Number SR–NASDAQ–2022–010. 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–NASDAQ–2022–010 and should be submitted on or before February 28, 2022. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.14 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2022–02427 Filed 2–4–22; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–440, OMB Control No. 3235–0496] jspears on DSK121TN23PROD with NOTICES1 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: Appendix F to Rule 15c3–1 14 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:36 Feb 04, 2022 Jkt 256001 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the Securities and Exchange Commission (‘‘Commission’’) is soliciting comments on the existing collection of information provided for in Appendix F to Rule 15c3–1 (‘‘Appendix F’’ or ‘‘Rule 15c3– 1f’’) (17 CFR 240.15c3–1f) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Appendix F applies to certain members of a class of broker-dealers known as over-the-counter (‘‘OTC’’) derivatives dealers. Exchange Act Rule 15c3–1 is the Commission’s net capital rule for broker-dealers.1 Under Appendix F, an OTC derivatives dealer that is not a security-based swap dealer may apply to the Commission for authorization to compute net capital charges for market and credit risk in accordance with Appendix F in lieu of computing securities haircuts under paragraph (c)(2)(vi) of Exchange Act Rule 15c3–1.2 At present, three OTC derivatives dealers have been approved to use Appendix F. No additional OTC derivatives dealers have applied to use Appendix F, and the staff does not expect that any additional OTC derivatives dealers will apply to use Appendix F during the next three years. The Commission estimates that the three approved OTC derivatives dealers will spend an average of approximately 1,000 hours each per year reporting information concerning their value-atrisk (‘‘VAR’’) models and internal risk management systems, for a total annual burden of approximately 3,000 hours. 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 1 17 CFR 240.15c3–1. An OTC derivatives dealer that is also registered as a security-based swap dealer is subject to the net capital provisions of Exchange Act Rule 18a–1 (17 CFR 240.18a–1). 2 An OTC derivatives dealer that is also registered as a security-based swap dealer may apply to the Commission for authorization to compute deductions for market and credit risk using models under paragraph (d) of Rule 18a–1. PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 6917 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 Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email to: PRA_ Mailbox@sec.gov. Dated: February 2, 2022. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2022–02505 Filed 2–4–22; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34 94118; File No. SR–ISE– 2022–03] Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Obvious Error Rule February 2, 2022. 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 26, 2022, Nasdaq ISE, LLC (‘‘ISE’’ 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 amend Options 3, Section 20 (Nullification and Adjustment of Options Transactions including Obvious Errors). The text of the proposed rule change is available on the Exchange’s website at https://listingcenter.nasdaq.com/ rulebook/ise/rules, at the principal office of the Exchange, and at the Commission’s Public Reference Room. 1 15 2 17 E:\FR\FM\07FEN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 07FEN1

Agencies

[Federal Register Volume 87, Number 25 (Monday, February 7, 2022)]
[Notices]
[Page 6917]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-02505]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-440, OMB Control No. 3235-0496]


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:
    Appendix F to Rule 15c3-1

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the existing 
collection of information provided for in Appendix F to Rule 15c3-1 
(``Appendix F'' or ``Rule 15c3-1f'') (17 CFR 240.15c3-1f) under the 
Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange 
Act''). The Commission plans to submit this existing collection of 
information to the Office of Management and Budget (``OMB'') for 
extension and approval.
    Appendix F applies to certain members of a class of broker-dealers 
known as over-the-counter (``OTC'') derivatives dealers. Exchange Act 
Rule 15c3-1 is the Commission's net capital rule for broker-dealers.\1\ 
Under Appendix F, an OTC derivatives dealer that is not a security-
based swap dealer may apply to the Commission for authorization to 
compute net capital charges for market and credit risk in accordance 
with Appendix F in lieu of computing securities haircuts under 
paragraph (c)(2)(vi) of Exchange Act Rule 15c3-1.\2\
---------------------------------------------------------------------------

    \1\ 17 CFR 240.15c3-1. An OTC derivatives dealer that is also 
registered as a security-based swap dealer is subject to the net 
capital provisions of Exchange Act Rule 18a-1 (17 CFR 240.18a-1).
    \2\ An OTC derivatives dealer that is also registered as a 
security-based swap dealer may apply to the Commission for 
authorization to compute deductions for market and credit risk using 
models under paragraph (d) of Rule 18a-1.
---------------------------------------------------------------------------

    At present, three OTC derivatives dealers have been approved to use 
Appendix F. No additional OTC derivatives dealers have applied to use 
Appendix F, and the staff does not expect that any additional OTC 
derivatives dealers will apply to use Appendix F during the next three 
years. The Commission estimates that the three approved OTC derivatives 
dealers will spend an average of approximately 1,000 hours each per 
year reporting information concerning their value-at-risk (``VAR'') 
models and internal risk management systems, for a total annual burden 
of approximately 3,000 hours.
    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 
Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email to: 
[email protected].

    Dated: February 2, 2022.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-02505 Filed 2-4-22; 8:45 am]
BILLING CODE 8011-01-P
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