Proposed Collection; Comment Request; Extension: Customer Account Statements, 9929 [2023-03154]
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Federal Register / Vol. 88, No. 31 / Wednesday, February 15, 2023 / Notices
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 by
April 17, 2023.
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 10, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–03233 Filed 2–14–23; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–382, OMB Control No.
3235–0762]
ddrumheller on DSK120RN23PROD with NOTICES
Proposed Collection; Comment
Request; Extension: Customer
Account Statements
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.) (‘‘PRA’’), the
Securities and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the existing collection of information
provided for in Rule 607 (17 CFR
2240.15) under the Securities Exchange
Act of 1934 (17 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.
Rule 607 requires disclosure on each
new account and on a yearly basis
thereafter, on the annual statement, the
firm’s policies regarding receipt of
payment for order flow from any market
makers, exchanges or exchange
members to which it routes customers’
order in national market system
securities for execution; and
information regarding the aggregate
amount of monetary payments,
VerDate Sep<11>2014
21:16 Feb 14, 2023
Jkt 259001
discounts, rebates or reduction in fees
received by the firm over the past year.
The information collected pursuant to
Rule 607 is necessary to facilitate the
establishment of a national market
system for securities. The purpose of the
rule is to ensure that customers are
adequately apprised of the brokerdealer’s order routing practices with
respect to the customer’s order, in
furtherance of the Commission’s
statutory mandate to protect investors.
The Commission estimates that
approximately 3,643 respondents will
make the third-party disclosures
required in the collection of information
requirements to 183,511,801 customer
accounts each year. The Commission
estimates that the average number of
hours necessary for each respondent to
comply with Rule 607 per year is 39.714
hours, which results in an average
aggregated annual burden of
144,678.102 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 by April 17, 2023.
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 9, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–03154 Filed 2–14–23; 8:45 am]
BILLING CODE 8011–01–P
PO 00000
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9929
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–797, OMB Control No.
3235–0748]
Proposed Collection; Comment
Request: Extension; ‘‘Ombudsman
Matter Management System
Submission Form’’
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of the Investor
Advocate, Washington, DC 20549–
3720
Notice is hereby given pursuant to the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.) that the Securities
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Each year the Commission’s Office of
the Investor Advocate, Office of the
Ombudsman (‘‘Ombudsman’’) receives
over a thousand contacts from investors
who have complaints or questions about
the SEC or any of the self-regulatory
organizations that it oversees. To make
it easier for the public to contact the
Ombudsman, the Ombudsman
(‘‘Ombudsman’’) created an electronic
form (Ombudsman Matter Management
System Submission Form) that provides
drop down options to choose from in
order to categorize the investor’s
complaint or question, and may also
provide the investor with automated
information about their issue. The
Ombudsman Matter Management
System (OMMS) Submission Form asks
investors to provide information
concerning, among other things, their
names, how they can be reached, the
names of the individuals or entities
involved, the nature of their complaint
or tip, what documents they can
provide, and what, if any, actions they
have taken. Use of the Ombudsman
Matter Management System Submission
Form is voluntary. Absent the forms, the
public still has several ways to contact
the Ombudsman, including telephone,
letters, and email. Investors can access
the Ombudsman Matter Management
System Submission Form through the
Ombudsman web page at the web
address https://www.sec.gov/
ombudsman or directly at the web
address https://omms.sec.gov.
The dual purpose of the Ombudsman
Matter Management System Submission
Form is to make it easier for the public
to contact the agency with complaints,
E:\FR\FM\15FEN1.SGM
15FEN1
]]>Agencies
[Federal Register Volume 88, Number 31 (Wednesday, February 15, 2023)]
[Notices]
[Page 9929]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-03154]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-382, OMB Control No. 3235-0762]
Proposed Collection; Comment Request; Extension: Customer Account
Statements
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.) (``PRA''), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the existing
collection of information provided for in Rule 607 (17 CFR 2240.15)
under the Securities Exchange Act of 1934 (17 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.
Rule 607 requires disclosure on each new account and on a yearly
basis thereafter, on the annual statement, the firm's policies
regarding receipt of payment for order flow from any market makers,
exchanges or exchange members to which it routes customers' order in
national market system securities for execution; and information
regarding the aggregate amount of monetary payments, discounts, rebates
or reduction in fees received by the firm over the past year.
The information collected pursuant to Rule 607 is necessary to
facilitate the establishment of a national market system for
securities. The purpose of the rule is to ensure that customers are
adequately apprised of the broker-dealer's order routing practices with
respect to the customer's order, in furtherance of the Commission's
statutory mandate to protect investors.
The Commission estimates that approximately 3,643 respondents will
make the third-party disclosures required in the collection of
information requirements to 183,511,801 customer accounts each year.
The Commission estimates that the average number of hours necessary for
each respondent to comply with Rule 607 per year is 39.714 hours, which
results in an average aggregated annual burden of 144,678.102 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 by April 17, 2023.
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 9, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-03154 Filed 2-14-23; 8:45 am]
BILLING CODE 8011-01-P
