Submission for OMB Review; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication, 5394-5395 [2023-01615]

Download as PDF khammond on DSKJM1Z7X2PROD with NOTICES 5394 Federal Register / Vol. 88, No. 18 / Friday, January 27, 2023 / Notices the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.11 In particular, the Commission finds that the proposed rule change is consistent with section 6(b)(5) of the Act,12 which requires that the rules of an exchange be designed to promote just and equitable principles of trade, to remove impediments and to perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest. The Commission also believes that the proposal is consistent with sections 6(b)(1) and 6(b)(6) of the Act 13 which require that the rules of an exchange enforce compliance with, and provide appropriate discipline for, violations of Commission and Exchange rules. Finally, the Commission finds that the proposal is consistent with the public interest, the protection of investors, or otherwise in furtherance of the purposes of the Act, as required by Rule 19d– 1(c)(2) under the Act,14 which governs minor rule violation plans. As stated above, the Exchange proposes to add Article 6, Rule 13 (Registration Requirements), to the list of minor rule violations in Rule 10.9217, including in the fine schedule. The Commission believes that Rules 10.9216(b) and 10.9217 are an effective way to discipline a member for a minor violation of a rule. More specifically, the Commission believes that the proposed addition of Article 6, Rule 13 to the Exchange’s list of current minor rule violations provides a reasonable means of addressing violations that do not rise to the level of requiring formal disciplinary proceedings, while providing greater flexibility in handling certain violations. The Commission also believes that amending the associated fine schedule is consistent with the Act because it may help the Exchange’s ability to better carry out its oversight and enforcement responsibilities by levying appropriate fines for minor violations of the rules included in Rule 10.9217, including minor violations of Article 6, Rule 13. In approving the proposed rule change, the Commission in no way minimizes the importance of compliance with the Exchange’s rules and all other rules subject to fines under Rules 10.9216(b) and 10.9217. The Commission believes that a violation of 11 In approving this proposed rule change, the Commission has considered the proposed rule’s impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 12 15 U.S.C. 78f(b)(5). 13 15 U.S.C. 78f(b)(1) and 78f(b)(6). 14 17 CFR 240.19d–1(c)(2). VerDate Sep<11>2014 16:53 Jan 26, 2023 Jkt 259001 any self-regulatory organization’s rules, as well as Commission rules, is a serious matter. However, Rules 10.9216(b) and 10.9217 provide a reasonable means of addressing rule violations that may not rise to the level of requiring formal disciplinary proceedings, while providing greater flexibility in handling certain violations. The Commission expects that the Exchange will continue to conduct surveillance with due diligence and make a determination based on its findings, on a case-by-case basis, whether a fine of more or less than the recommended amount is appropriate for a violation under Rules 10.9216(b) and 10.9217 or whether a violation requires formal disciplinary action. For the same reasons as discussed above, the Commission finds good cause, pursuant to section 19(b)(2) of the Act,15 for approving the proposed rule change prior to the thirtieth day after the date of publication of the notice of the filing thereof in the Federal Register. The proposal will assist the Exchange in preventing fraudulent and manipulative practices by allowing the Exchange to adequately enforce compliance with, and provide appropriate discipline for, violations of Exchange rules. Moreover, the proposed changes raise no new or novel issues. Accordingly, the Commission believes that a full notice-and-comment period is not necessary before approving the proposal. V. Conclusion It is therefore ordered, pursuant to section 19(b)(2) of the Act 16 and Rule 19d–1(c)(2) thereunder,17 that the proposed rule change (SR–NYSECHX– 2023–04) be, and hereby is, approved on an accelerated basis. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.18 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–01627 Filed 1–26–23; 8:45 am] BILLING CODE P 15 15 U.S.C. 78s(b)(2). U.S.C. 78s(b)(2). 17 17 CFR 240.19d–1(c)(2). 18 17 CFR 200.30–3(a)(12). 16 15 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–396, OMB Control No. 3235–0452] Submission for OMB Review; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication 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 (‘‘Commission’’) has submitted to the Office of Management and Budget this request for extension of the previously approved collection of information discussed below. Rule 14a–6(n) [17 CFR 240.14a–6(n)] under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) (U.S.C. 78a et seq.) requires any person that engages in a proxy solicitation is subject to Exchange Act Rule 14a–2(b)(4) [17 CFR 240.14a–2(b)(4)] to file a Notice of Exempt Preliminary Roll-Up Communication (‘‘Notice’’) [17 CFR 240.14a–104] with the Commission. The Notice provides information regarding ownership interest and any potential conflicts of interest to be included in statements submitted by or on behalf of a person engaging in the solicitation. The Notice is filed on occasion and the information required is mandatory. All information is provided to the public upon request. We estimate the Notice takes approximately 0.25 hours per response and is filed by approximately 4 respondents for a total of one annual burden hour (0.25 hours per response × 4 responses). An agency may 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 February 27, 2023 to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, Director/Chief Information Officer, Securities and E:\FR\FM\27JAN1.SGM 27JAN1 Federal Register / Vol. 88, No. 18 / Friday, January 27, 2023 / Notices Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. SMALL BUSINESS ADMINISTRATION Dated: January 23, 2023. Sherry R. Haywood, Assistant Secretary. AGENCY: [FR Doc. 2023–01615 Filed 1–26–23; 8:45 am] SUMMARY: ACTION: BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #17757 and #17758; CALIFORNIA Disaster Number CA–00366] Presidential Declaration Amendment of a Major Disaster for the State of California Small Business Administration. Amendment 2. AGENCY: ACTION: This is an amendment of the Presidential declaration of a major disaster for the State of California (FEMA–4683–DR), dated 01/14/2023. Incident: Severe Winter Storms, Flooding, Landslides, and Mudslides. Incident Period: 12/27/2022 and continuing. SUMMARY: Issued on 01/18/2023. Physical Loan Application Deadline Date: 03/16/2023. Economic Injury (EIDL) Loan Application Deadline Date: 10/16/2023. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street SW, Suite 6050, Washington, DC 20416, (202) 205–6734. SUPPLEMENTARY INFORMATION: The notice of the President’s major disaster declaration for the State of California, dated 01/14/2023, is hereby amended to include the following areas as adversely affected by the disaster: Primary Counties (Physical Damage and Economic Injury Loans): San Joaquin. Contiguous Counties (Economic Injury Loans Only): California: Alameda, Calaveras. All other information in the original declaration remains unchanged. khammond on DSKJM1Z7X2PROD with NOTICES DATES: (Catalog of Federal Domestic Assistance Number 59008) Rafaela Monchek, Acting Associate Administrator for Disaster Recovery and Resilience. [FR Doc. 2023–01620 Filed 1–26–23; 8:45 am] BILLING CODE 8026–09–P VerDate Sep<11>2014 16:53 Jan 26, 2023 Reporting and Recordkeeping Requirements Under OMB Review Jkt 259001 Small Business Administration. 30-Day notice. The Small Business Administration (SBA) is seeking approval from the Office of Management and Budget (OMB) for the information collection described below. In accordance with the Paperwork Reduction Act and OMB procedures, SBA is publishing this notice to allow all interested member of the public an additional 30 days to provide comments on the proposed collection of information. Submit comments on or before February 27, 2023. ADDRESSES: Written comments and recommendations for this information collection request should be sent within 30 days of publication of this notice to www.reginfo.gov/public/do/PRAMain. Find this particular information collection request by selecting ‘‘Small Business Administration’’; ‘‘Currently Under Review,’’ then select the ‘‘Only Show ICR for Public Comment’’ checkbox. This information collection can be identified by title and/or OMB Control Number. FOR FURTHER INFORMATION CONTACT: You may obtain a copy of the information collection and supporting documents from the Agency Clearance Office at Curtis.Rich@sba.gov; (202) 205–7030, or from www.reginfo.gov/public/do/ PRAMain. DATES: SBA Forms 1405 and 1405A are used by Small Business Administration (SBA) examiners as part of their examination of licensed small business investment companies (SBICs). This information is collected from SBIC’S Stockholders and partners and provides independent third-party confirmation of an SBIC’s representations concerning its owners. The information helps SBA to evaluate the SBIC’S with applicable laws and regulations concerning capital requirements. SUPPLEMENTARY INFORMATION: Solicitation of Public Comments Comments may be submitted on (a) whether the collection of information is necessary for the agency to properly perform its functions; (b) whether the burden estimates are accurate; (c) whether there are ways to minimize the burden, including through the use of automated techniques or other forms of information technology; and (d) whether PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 5395 there are ways to enhance the quality, utility, and clarity of the information. OMB Control No.: 3245–0172. Title: ‘‘Stockholders’ Confirmation (Corporation); Ownership Confirmation (Partnership)’’. Description of Respondents: Licensed small business investment companies (SBICs). Estimated Number of Respondents: 600. Estimated Annual Responses: 600. Estimated Annual Hour Burden: 600. Curtis Rich, Agency Clearance Officer. [FR Doc. 2023–01671 Filed 1–26–23; 8:45 am] BILLING CODE 8026–09–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #17713 and #17714; SOUTH CAROLINA Disaster Number SC– 00082] Presidential Declaration Amendment of a Major Disaster for Public Assistance Only for the State of South Carolina Small Business Administration. Amendment 1. AGENCY: ACTION: This is an amendment of the Presidential declaration of a major disaster for Public Assistance Only for the State of South Carolina (FEMA– 4677–DR), dated 11/21/2022. Incident: Hurricane Ian. Incident Period: 09/25/2022 through 10/04/2022. DATES: Issued on 01/18/2023. Physical Loan Application Deadline Date: Filing Period for Florence County ends 03/20/2023. Economic Injury (EIDL) Loan Application Deadline Date: Filing Period for Florence County ends 10/18/ 2023. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street SW, Suite 6050, Washington, DC 20416, (202) 205–6734. SUPPLEMENTARY INFORMATION: The notice of the President’s major disaster declaration for Private Non-Profit organizations in the State of South Carolina, dated 11/21/2022, is hereby amended to include Florence County. Please contact the SBA disaster assistance customer service center by email at disastercustomerservice@ sba.gov or by phone at 1–800–659–2955 to request an application Applications SUMMARY: E:\FR\FM\27JAN1.SGM 27JAN1

Agencies

[Federal Register Volume 88, Number 18 (Friday, January 27, 2023)]
[Notices]
[Pages 5394-5395]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-01615]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-396, OMB Control No. 3235-0452]


Submission for OMB Review; Comment Request; Extension: Notice of 
Exempt Preliminary Roll-Up Communication

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 (``Commission'') has submitted to the Office of Management 
and Budget this request for extension of the previously approved 
collection of information discussed below.
    Rule 14a-6(n) [17 CFR 240.14a-6(n)] under the Securities Exchange 
Act of 1934 (``Exchange Act'') (U.S.C. 78a et seq.) requires any person 
that engages in a proxy solicitation is subject to Exchange Act Rule 
14a-2(b)(4) [17 CFR 240.14a-2(b)(4)] to file a Notice of Exempt 
Preliminary Roll-Up Communication (``Notice'') [17 CFR 240.14a-104] 
with the Commission. The Notice provides information regarding 
ownership interest and any potential conflicts of interest to be 
included in statements submitted by or on behalf of a person engaging 
in the solicitation. The Notice is filed on occasion and the 
information required is mandatory. All information is provided to the 
public upon request. We estimate the Notice takes approximately 0.25 
hours per response and is filed by approximately 4 respondents for a 
total of one annual burden hour (0.25 hours per response x 4 
responses).
    An agency may 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 February 27, 2023 to (i) www.reginfo.gov/public/do/PRAMain and (ii) 
David Bottom, Director/Chief Information Officer, Securities and

[[Page 5395]]

Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 
20549, or by sending an email to: [email protected].

    Dated: January 23, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-01615 Filed 1-26-23; 8:45 am]
BILLING CODE 8011-01-P
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