Submission for OMB Review; Comment Request; Extension: Rule 204-5, 69352-69353 [2022-25098]

Download as PDF khammond on DSKJM1Z7X2PROD with NOTICES 69352 Federal Register / Vol. 87, No. 222 / Friday, November 18, 2022 / Notices example within 6–12 months of the close of comments on the RFI. In response to requests by prospective commenters that they would benefit from additional time to adequately consider and respond to the RFI, OSTP has determined that an extension of the comment period until January 27, 2023 is appropriate. DATES: The end of the comment period for the document entitled ‘‘Request for Information (RFI) on Data Collection for Emergency Clinical Trials and Interoperability Pilot,’’ published on October 28, 2022 (87 FR 65259), is extended from December 27, 2022 to January 27, 2023. ADDRESSES: Comments submitted in response to 87 FR 65259 should be submitted electronically to datacollectionforclinicaltrials@ ostp.eop.gov and should include ‘‘Data Collection for Clinical Trials RFI’’ in the subject line of the email. Due to time constraints, mailed paper submissions will not be accepted, and electronic submissions received after the deadline cannot be ensured to be incorporated or taken into consideration. Instructions: Response to this RFI (87 FR 65259) is voluntary. Each responding entity (individual or organization) is requested to submit only one response. Please feel free to respond to one or as many prompts as you choose. Please be concise with your submissions, which must not exceed 10 pages in 12-point or larger font, with a page number on each page. Responses should include the name of the person(s) or organization(s) filing the comment. OSTP invites input from all stakeholders, including members of the public, representing all backgrounds and perspectives. In particular, OSTP is interested in input from health information technology (health IT) companies, app developers, clinical trial designers, and users of health IT products. Please indicate which of these stakeholder types, or what other description, best fits you as a respondent. If a comment is submitted on behalf of an organization, the individual respondent’s role in the organization may also be provided on a voluntary basis. Comments containing references, studies, research, and other empirical data that are not widely published should include copies or electronic links of the referenced materials. No business proprietary information, copyrighted information, or personally identifiable information should be submitted in response to this RFI (87 FR 65259). Please be aware that comments submitted in response to this RFI (87 FR VerDate Sep<11>2014 16:46 Nov 17, 2022 Jkt 259001 65259) may be posted on OSTP’s website or otherwise released publicly. In accordance with FAR 15.202(3), responses to this notice are not offers and cannot be accepted by the Federal Government to form a binding contract. Additionally, those submitting responses are solely responsible for all expenses associated with response preparation. FOR FURTHER INFORMATION CONTACT: For additional information, please direct questions to Grail Sipes at 202–456– 4444 or datacollectionforclinicaltrials@ ostp.eop.gov. SUPPLEMENTARY INFORMATION: In accordance with the 2022 National Biodefense Strategy for Countering Biological Threats, Enhancing Pandemic Preparedness, and Achieving Global Health Security (National Biodefense Strategy) and the American Pandemic Preparedness Plan (AP3), OSTP, in partnership with the National Security Council (NSC), is leading efforts to ensure that coordinated and large-scale clinical trials can be efficiently carried out across a range of institutions and sites to address outbreaks of disease and other emergencies.1 On October 28, 2022, OSTP, in partnership with ONC, published in the Federal Register a document inviting comments on how to optimize data collection for clinical trials carried out across a range of institutions and sites, both in emergency settings and in the pre-emergency phase (87 FR 65259). OSTP and ONC are seeking input on viable technical strategies to distribute clinical trial protocols and capture clinical trial data using common APIs. OSTP and ONC also seek information about whether there is value in a pilot or demonstration project to operationalize data capture in the near term, for example within 6–12 months of the close of comments on the RFI. The RFI was issued to seek input from a broad array of stakeholders on a range of topics related to data capture in the clinical trials context, including ways in which ONC standards and frameworks for interoperability might be leveraged to further the goals of the RFI. The document stated that the comment period would close on December 27, 2022. OSTP has received requests to extend the comment period. An extension of the comment period will provide additional opportunity for the public to consider the RFI and prepare comments to address the topics listed therein. Therefore, OSTP is extending 1 See Notice of Request for Information (RFI) on Clinical Research Infrastructure and Emergency Clinical Trials, published October 26, 2022 (87 FR 64821). PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 the end of the comment period for the RFI from December 27, 2022 to January 27, 2023. Submitted by the White House Office of Science and Technology Policy on November 15, 2022. Stacy Murphy, Operations Manager. [FR Doc. 2022–25166 Filed 11–17–22; 8:45 am] BILLING CODE 3270–F1–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–811, OMB Control No. 3235–0767] Submission for OMB Review; Comment Request; Extension: Rule 204–5 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 (the ‘‘Commission’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. The title for the collection of information is: ‘‘Rule 204–5 under the Investment Advisers Act of 1940.’’ Rule 204–5 requires an investment adviser to deliver an electronic or paper version of the relationship summary to each retail investor before or at the time the adviser enters into an investment advisory contract with the retail investor. The purpose of the relationship summary is to assist retail investors in making an informed choice when choosing an investment firm and professional, and type of account. Retail investors can use the information required in the relationship summary to determine whether to hire or retain an investment adviser, as well as what types of accounts and services are appropriate for their needs. We estimate the total collection of information burden for rule 204–5 to be 1,137,413 annual aggregate hours per year, or 124 hours per respondent, for a total annual aggregate monetized cost of $77,344,061, or $8,402 per adviser. The likely respondents to this information collection are approximately 9,205 investment advisers registered with the Commission that are required to deliver a relationship summary to retail investors pursuant to rule 204–5. We also note E:\FR\FM\18NON1.SGM 18NON1 Federal Register / Vol. 87, No. 222 / Friday, November 18, 2022 / Notices that these figures include the 325 registered broker-dealers that are dually registered as investment advisers. The requirements of this collection of information are mandatory. Responses will not be kept confidential. An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid 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 by December 19, 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: November 14, 2022. Sherry R. Haywood, Assistant Secretary. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change Cboe BYX Exchange, Inc. (the ‘‘Exchange’’ or BYX) proposes to amend its Fee Schedule. The text of the proposed rule change is provided in Exhibit 5. The text of the proposed rule change is also available on the Exchange’s website (https://markets.cboe.com/us/ equities/regulation/rule_filings/byx/), at the Exchange’s Office of the Secretary, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change [FR Doc. 2022–25098 Filed 11–17–22; 8:45 am] BILLING CODE 8011–01–P 1. Purpose SECURITIES AND EXCHANGE COMMISSION [Release No. 34–96307; File No. SR– CboeBYX–2022–026] Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule khammond on DSKJM1Z7X2PROD with NOTICES November 14, 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 November 1, 2022, Cboe BYX Exchange, Inc. (the ‘‘Exchange’’ or ‘‘BYX’’) filed with the Securities and Exchange Commission (‘‘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. 1 15 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Sep<11>2014 16:46 Nov 17, 2022 Jkt 259001 The Exchange proposes to amend its Fee Schedule to clarify that fee code X 3 is applicable to certain routed orders that add or remove liquidity. The Exchange proposes to implement these changes effective November 1, 2022. The Exchange proposes to clarify that fee code X is applicable to routed orders that add or remove liquidity. When certain fee codes were deleted from the Fee Schedule, the Exchange simultaneously proposed to update fee code X to make clear that it applies to all other routed orders that are not otherwise specified under other fee codes in the Fee Schedule.4 However, the Exchange did not make clear in the fee code table that fee code X is therefore also applicable to orders that both add and remove liquidity.5 Therefore, the Exchange is now 3 Fee code X is appended to routed orders. Securities Exchange Act No. 90999 (January 27, 2021) 86 FR 7914 (February 2, 2021) (SRCboeBYX–2021–003). 5 Under the Transaction Fees section of the Fee Schedule, bullet four provides ‘‘[u]nless otherwise noted, all routing fees or rebates in the Fee Codes and Associated Fees table are for removing liquidity from the destination venue.’’ 4 See PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 69353 proposing to add such language to the description of fee code X, eliminate the reference to ‘‘Removing’’ liquidity in the Standard Rates header for the Routing Liquidity column (which is applicable to fee code X), and make corresponding updates to footnote 8. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the objectives of Section 6 of the Exchange Act of 1934 (the ‘‘Act’’),6 in general, and furthers the objectives of Section 6(b)(4),7 in particular, as it is designed to provide for the equitable allocation of reasonable dues, fees and other charges among its Members, issuers and other persons using its facilities. The Exchange believes the proposal to modify fee code X to explicitly provide that it is applicable to routed orders that add and remove liquidity on the destination exchange is not designed to permit unfair discrimination between customers, issuers, brokers, or dealers. Specifically, the proposal is intended only to make a clarifying change to the Fee Schedule and involves no substantive change. B. Self-Regulatory Organization’s Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. The Exchange believes its proposal to clarify that fee code X is applicable to liquidity adding and removing orders will have no impact on competition as it involves no substantive change, but merely is a clarifying change to the existing Fee Schedule. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange neither solicited nor received comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act 8 and paragraph (f) of Rule 19b–4 9 thereunder. At any time within 60 days of the filing of the proposed rule change, the Commission summarily may 6 15 U.S.C. 78f. U.S.C. 78f(b)(4). 8 15 U.S.C. 78s(b)(3)(A). 9 17 CFR 240.19b–4(f). 7 15 E:\FR\FM\18NON1.SGM 18NON1

Agencies

[Federal Register Volume 87, Number 222 (Friday, November 18, 2022)]
[Notices]
[Pages 69352-69353]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-25098]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-811, OMB Control No. 3235-0767]


Submission for OMB Review; Comment Request; Extension: Rule 204-5

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 (the ``Commission'') has submitted to the Office of 
Management and Budget a request for extension of the previously 
approved collection of information discussed below.
    The title for the collection of information is: ``Rule 204-5 under 
the Investment Advisers Act of 1940.'' Rule 204-5 requires an 
investment adviser to deliver an electronic or paper version of the 
relationship summary to each retail investor before or at the time the 
adviser enters into an investment advisory contract with the retail 
investor. The purpose of the relationship summary is to assist retail 
investors in making an informed choice when choosing an investment firm 
and professional, and type of account. Retail investors can use the 
information required in the relationship summary to determine whether 
to hire or retain an investment adviser, as well as what types of 
accounts and services are appropriate for their needs.
    We estimate the total collection of information burden for rule 
204-5 to be 1,137,413 annual aggregate hours per year, or 124 hours per 
respondent, for a total annual aggregate monetized cost of $77,344,061, 
or $8,402 per adviser.
    The likely respondents to this information collection are 
approximately 9,205 investment advisers registered with the Commission 
that are required to deliver a relationship summary to retail investors 
pursuant to rule 204-5. We also note

[[Page 69353]]

that these figures include the 325 registered broker-dealers that are 
dually registered as investment advisers.
    The requirements of this collection of information are mandatory. 
Responses will not be kept confidential. An agency may not conduct or 
sponsor, and a person is not required to respond to a collection of 
information unless it displays a currently valid 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 
by December 19, 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: November 14, 2022.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2022-25098 Filed 11-17-22; 8:45 am]
BILLING CODE 8011-01-P
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