Submission for OMB Review; Comment Request: Extension; Rule 17Ad-17, 49893-49894 [2022-17314]

Download as PDF Federal Register / Vol. 87, No. 155 / Friday, August 12, 2022 / Notices encrypted database. Paper records are kept in lockable metal file cabinets or in a secured facility. Access to records is limited to those whose official duties require access. POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: These records are retrieved primarily by the name of the individual, FEHB health plan name, date of birth and/or claim number of the individual to whom they pertain but may be retrieved by any personal identifier. POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: The disputed claims and complaints records are subject to the NARAapproved records schedule NC1–146– 77–01 INS 4(b) relating to Healthcare and Insurance claims correspondence, correspondence with individuals or carriers’ representatives on the interpretation of contracts, and settlement of Federal employee claims under health benefits and life insurance plans. 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CONTESTING RECORD PROCEDURES Individuals wishing to request amendment of their records in this system of records may do so by writing to the to the Office of Personnel Management, Office of Privacy and Information Management—FOIA, 1900 E Street NW, Room 5415, Washington, DC 20415–7900 or by emailing foia@ opm.gov; ATTN: Healthcare and Insurance. Requests for amendment of records should include the words ‘‘PRIVACY ACT AMENDMENT REQUEST’’ in capital letters at the top of the request letter; if emailed, please include those words in the subject line. Individuals must furnish the following information for their records to be located: 1. Full name, including any former name. 2. Date of birth. 3. Name and address of employing agency or retirement system. 4. Precise identification of the information to be amended. 5. Signature. Individuals requesting amendment of their records must also comply with OPM’s Privacy Act regulations regarding verification of identity and access to records (5 CFR 297). OPM may refer amendment requests to other entities when those entities are the original source of the record. NOTIFICATION PROCEDURES See ‘‘Record Access Procedures.’’ EXEMPTIONS PROMULGATED FOR THE SYSTEM None. jspears on DSK121TN23PROD with NOTICES RECORD ACCESS PROCEDURES: Individuals seeking notification of and access to their records in this system of records may do so by submitting a request in writing to the Office of Personnel Management, Office of Privacy and Information Management—FOIA, 1900 E Street NW, Washington, DC 20415–7900 or by emailing foia@opm.gov; ATTN: Healthcare and Insurance. Individuals must furnish the following information for their records to be located: 1. Full name, including any former name. 2. Date of birth. 3. FDC Control Number, if known. 4. Reasonable specification of the requested information. 5. The address to which the information should be sent. VerDate Sep<11>2014 17:38 Aug 11, 2022 Jkt 256001 HISTORY OPM/Central–1, Civil Service Retirement and Insurance Records, 73 FR 15013 (March 20, 2008), 80 FR 74815 (November 30, 2015). [FR Doc. 2022–17392 Filed 8–11–22; 8:45 am] BILLING CODE 6325–63–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–412, OMB Control No. 3235–0469] Submission for OMB Review; Comment Request: Extension; Rule 17Ad–17 Upon Written Request, Copies Available From: Securities and Exchange PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 49893 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 (‘‘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 17Ad–17 under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 17Ad–17 requires certain transfer agents and broker-dealers to make two searches for the correct address of lost securityholders using an information database without charge to the lost securityholders. In addition, paying agents are required to attempt to notify lost payees at least once. In addition, the entities also are required to maintain records relating to the searches and notifications. The Commission staff estimates that the rule applies to approximately 496 broker dealers and transfer agents, and 3,113 paying agent entities, including carrying firms, transfer agents, indenture trustees, custodians, and approximately 10% of issuers. The Commission staff estimates that the total annual burden for searches is approximately 183,813 hours and the total annual burden for paying agent notifications is approximately 38,913 hours. In addition, approximately 5,968 burden hours are associated with recordkeeping, representing an annual burden of 4,411 hours for the brokerdealers and transfer agents, and 1,557 for paying agents. The Commission staff estimates that the aggregate annual burden is therefore approximately 228,694 hours (183,813 + 38,913 + 5,968). In addition, the Commission staff estimates that covered entities will incur costs of approximately $6,617,298 annually, primarily as payment to third party data base providers that will search for the missing securityholders. The retention period for the recordkeeping requirement under Rule 17Ad–17 is not less than three years following the date the notice is submitted. The recordkeeping requirement under this rule is mandatory to assist the Commission in monitoring compliance with the 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. E:\FR\FM\12AUN1.SGM 12AUN1 49894 Federal Register / Vol. 87, No. 155 / Friday, August 12, 2022 / Notices 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 by September 12, 2022 to (i) >MBX.OMB.OIRA.SEC_desk_officer@ omb.eop.gov< and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. Dated: August 8, 2022. J. Matthew DeLesDernier, Deputy Secretary. [FR Doc. 2022–17314 Filed 8–11–22; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–447, OMB Control No. 3235–0504] jspears on DSK121TN23PROD with NOTICES Submission for OMB Review; Comment Request: Extension; Rule 19b–4(e) and Form 19b–4(e) 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 (‘‘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 19b–4(e) (17 CFR 240.19b–4(e)) under the Securities Exchange Act of 1934 (15 U.S.C 78a et seq.) (the ‘‘Act’’). Rule 19b–4(e) permits a selfregulatory organization (‘‘SRO’’) to list and trade a new derivative securities product without submitting a proposed rule change pursuant to Section 19(b) of the Act (15 U.S.C. 78s(b)), so long as such product meets the criteria of Rule 19b–4(e) under the Act. However, in order for the Commission to maintain an accurate record of all new derivative securities products traded on the SROs, Rule 19b–4(e) requires an SRO to file a summary form, Form 19b–4(e), to notify the Commission when the SRO begins trading a new derivative securities product that is not required to be submitted as a proposed rule change to VerDate Sep<11>2014 17:38 Aug 11, 2022 Jkt 256001 the Commission. Form 19b–4(e) should be submitted within five business days after an SRO begins trading a new derivative securities product that is not required to be submitted as a proposed rule change. In addition, Rule 19b–4(e) requires an SRO to maintain, on-site, a copy of Form 19b–4(e) for a prescribed period of time. This collection of information is designed to allow the Commission to maintain an accurate record of all new derivative securities products traded on the SROs that are not deemed to be proposed rule changes and to determine whether an SRO has properly availed itself of the permission granted by Rule 19b–4(e). The Commission reviews SRO compliance with Rule 19b–4(e) through its routine inspections of the SROs. The respondents to the collection of information are SROs (as defined by the Act), all of which are national securities exchanges. As of April 8, 2022 there were 24 entities registered as national securities exchanges with the Commission. The Commission receives an average total of 2,331 responses per year, which corresponds to an estimated annual hour burden of approximately 2,331 hours (2,331 responses × 1 hour per response). At an average hourly cost of $72, the aggregate related internal cost of compliance for Rule 19b–4(e) is approximately $167,832 per year (2,331 burden hours multiplied by $72/hour). Compliance with Rule 19b–4(e) is mandatory. Information received in response to Rule 19b–4(e) shall not be kept confidential; the information collected is public 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 by September 12, 2022 to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 Dated: August 8, 2022. J. Matthew DeLesDernier, Deputy Secretary. [FR Doc. 2022–17308 Filed 8–11–22; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–95445; File No. SR–MEMX– 2022–10] Self-Regulatory Organizations; MEMX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules To Govern the Trading of Options on the Exchange for a New Facility Called MEMX Options August 8, 2022. I. Introduction On April 21, 2022, MEMX LLC (‘‘MEMX’’ or the ‘‘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 adopt rules to establish a facility to trade options, which will be named MEMX Options. The proposed rule change was published for comment in the Federal Register on May 10, 2022.3 In its filing, MEMX consented to an extension of time for Commission action to ninety (90) days after the date of publication of the proposal.4 On August 8, 2022, the Exchange filed Amendment No. 1 to the proposed rule change.5 This order approves the proposed rule change, as modified by Amendment No. 1, on an accelerated basis. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 94847 (May 4, 2022), 87 FR 28064 (‘‘Notice’’). The Commission received one comment letter on the proposed rule change. See Letter from Andrew Robinson, dated May 5, 2022, available at https:// www.sec.gov/comments/sr-memx-2022-10/ srmemx202210-289458.htm. The comments expressed by the commenter are not relevant to the proposed rule change. 4 See Item 6 of MEMX’s Rule 19b–4 filing. See also Notice, supra note 3, at 28076, n.37. 5 Amendment No. 1 superseded and replaced the original filing. In Amendment No. 1, the Exchange proposes non-material revisions to the proposed rule text and added additional detail to the filing. See infra Section VI. When it submitted Amendment No. 1, the Exchange also submitted it as a comment letter to the filing, available at: https://www.sec.gov/comments/sr-memx-2022-10/ srmemx202210.htm. 2 17 E:\FR\FM\12AUN1.SGM 12AUN1

Agencies

[Federal Register Volume 87, Number 155 (Friday, August 12, 2022)]
[Notices]
[Pages 49893-49894]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-17314]


=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-412, OMB Control No. 3235-0469]


Submission for OMB Review; Comment Request: Extension; Rule 17Ad-
17

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 (``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 
17Ad-17 under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.).
    Rule 17Ad-17 requires certain transfer agents and broker-dealers to 
make two searches for the correct address of lost securityholders using 
an information database without charge to the lost securityholders. In 
addition, paying agents are required to attempt to notify lost payees 
at least once. In addition, the entities also are required to maintain 
records relating to the searches and notifications.
    The Commission staff estimates that the rule applies to 
approximately 496 broker dealers and transfer agents, and 3,113 paying 
agent entities, including carrying firms, transfer agents, indenture 
trustees, custodians, and approximately 10% of issuers. The Commission 
staff estimates that the total annual burden for searches is 
approximately 183,813 hours and the total annual burden for paying 
agent notifications is approximately 38,913 hours. In addition, 
approximately 5,968 burden hours are associated with recordkeeping, 
representing an annual burden of 4,411 hours for the broker-dealers and 
transfer agents, and 1,557 for paying agents. The Commission staff 
estimates that the aggregate annual burden is therefore approximately 
228,694 hours (183,813 + 38,913 + 5,968).
    In addition, the Commission staff estimates that covered entities 
will incur costs of approximately $6,617,298 annually, primarily as 
payment to third party data base providers that will search for the 
missing securityholders.
    The retention period for the recordkeeping requirement under Rule 
17Ad-17 is not less than three years following the date the notice is 
submitted. The recordkeeping requirement under this rule is mandatory 
to assist the Commission in monitoring compliance with the 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.

[[Page 49894]]

    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 by September 12, 2022 to (i) 
>[email protected]< and (ii) David Bottom, 
Director/Chief Information Officer, Securities and Exchange Commission, 
c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending 
an email to: [email protected].

    Dated: August 8, 2022.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2022-17314 Filed 8-11-22; 8:45 am]
BILLING CODE 8011-01-P
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