Proposed Collection; Comment Request: Extension; “Ombudsman Matter Management System Submission Form”, 9929-9930 [2023-03230]

Download as PDF 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 Frm 00079 Fmt 4703 Sfmt 4703 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 ddrumheller on DSK120RN23PROD with NOTICES 9930 Federal Register / Vol. 88, No. 31 / Wednesday, February 15, 2023 / Notices questions, tips, or other feedback and to streamline the workflow of Ombudsman staff that record, process, and respond to investor contacts. Investors who submit complaints, ask questions, or provide tips do so voluntarily. Although the Ombudsman Matter Management System Submission Form provides a structured format for incoming investor correspondence, the Commission does not require that investors use any particular form or format when contacting the Ombudsman. Investors who choose not to use the Ombudsman Matter Management System Submission Form will receive the same level of service as those who do. The Ombudsman receives approximately 1,500 contacts each year through the Ombudsman Matter Management System Submission Form. The Ombudsman uses the information that investors supply on the Ombudsman Matter Management System Submission Form to review and process the contact (which may, in turn, involve responding to questions, processing complaints, or, as appropriate, referring matters to enforcement or examinations for potential investigations), to maintain a record of contacts, to track the volume of investor complaints, and to analyze trends. The staff of the Commission estimates that the total reporting burden for using the Ombudsman Matter Management System Submission Form is 750 hours. The calculation of this estimate depends on the number of investors who use the forms each year and the estimated time it takes to complete the forms: 1,500 respondents × 30 minutes = 750 burden hours. Members of the public should be aware that an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless a currently valid OMB control number is displayed. Background documentation for this information collection may be viewed at the following link, https:// www.reginfo.gov. General comments regarding the above information submitted within 60 days of this publication will be considered by April 17, 2023 and should be directed to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or send an email to: Shagufta_Ahmed@omb.eop.gov; and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John R. Pezzullo, 100 F St NE, Washington, DC VerDate Sep<11>2014 21:16 Feb 14, 2023 Jkt 259001 20549; or send an email to: PRA_ Mailbox@sec.gov. Dated: February 10, 2023. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–03230 Filed 2–14–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–96868; File No. SR– NYSENAT–2023–06] Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 February 9, 2023. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that on January 31, 2023, NYSE National, Inc. (‘‘NYSE National’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. 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 extending the expiration date of the temporary amendments to Rules 10.9261 and 10.9830 as set forth in SR–NYSENAT– 2020–31 from January 31, 2023 to April 30, 2023, in conformity with recent changes by the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’). The proposed rule change would not make any changes to the text of NYSE National Rules 10.9261 and 10.9830. The proposed rule change is available on the Exchange’s website at www.nyse.com, at the principal office of the Exchange, 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 self-regulatory organization included statements concerning the purpose of, 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those 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 parts of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes extending the expiration date of the temporary amendments as set forth in SR– NYSENAT–2020–31 4 to Rules 10.9261 (Evidence and Procedure in Hearing) and 10.9830 (Hearing) from January 31, 2023 to April 30, 2023 to harmonize with recent changes by FINRA to extend the expiration date of the temporary amendments to its Rules 9261 and 9830. SR–NYSENAT–2020–31 temporarily granted to the Chief or Deputy Chief Hearing Officer the authority to order that hearings be conducted by video conference if warranted by the current COVID–19 public health risks posed by in-person hearings. The proposed rule change would not make any changes to the text of Exchange Rules 10.9261 and 10.9830.5 Background In 2018, NYSE National adopted disciplinary rules that are, with certain exceptions, substantially the same as the disciplinary rules of its affiliate NYSE American LLC, which are in turn substantially similar to the FINRA Rule 8000 Series and Rule 9000 Series, and which set forth rules for conducting investigations and enforcement actions.6 In adopting disciplinary rules modeled on FINRA’s rules, NYSE National adopted the hearing and evidentiary processes set forth in Rule 10.9261 and in Rule 10.9830 for hearings in matters involving temporary and permanent cease and desist orders under the Rule 10.9800 Series. As adopted, the text of Rule 10.9261 and 4 See Securities Exchange Act Release No. 90137 (October 8, 2020), 85 FR 65087 (October 14, 2020) (SR–NYSENAT–2020–31) (‘‘SR–NYSENAT–2020– 31’’). 5 The Exchange may submit a separate rule filing to extend the expiration date of the proposed extension beyond April 30, 2023 if the Exchange requires additional temporary relief from the rule requirements identified in SR–NYSENAT–2020–31. The amended NYSE National rules will revert back to their original state at the conclusion of the temporary relief period and any extension thereof. 6 See Securities Exchange Act Release No. 83289 (May 17, 2018), 83 FR 23968, 23976 (May 23, 2018) (SR–NYSENAT–2018–02) (‘‘2018 Approval Order’’). E:\FR\FM\15FEN1.SGM 15FEN1

Agencies

[Federal Register Volume 88, Number 31 (Wednesday, February 15, 2023)]
[Notices]
[Pages 9929-9930]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-03230]


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

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,

[[Page 9930]]

questions, tips, or other feedback and to streamline the workflow of 
Ombudsman staff that record, process, and respond to investor contacts. 
Investors who submit complaints, ask questions, or provide tips do so 
voluntarily. Although the Ombudsman Matter Management System Submission 
Form provides a structured format for incoming investor correspondence, 
the Commission does not require that investors use any particular form 
or format when contacting the Ombudsman. Investors who choose not to 
use the Ombudsman Matter Management System Submission Form will receive 
the same level of service as those who do.
    The Ombudsman receives approximately 1,500 contacts each year 
through the Ombudsman Matter Management System Submission Form. The 
Ombudsman uses the information that investors supply on the Ombudsman 
Matter Management System Submission Form to review and process the 
contact (which may, in turn, involve responding to questions, 
processing complaints, or, as appropriate, referring matters to 
enforcement or examinations for potential investigations), to maintain 
a record of contacts, to track the volume of investor complaints, and 
to analyze trends.
    The staff of the Commission estimates that the total reporting 
burden for using the Ombudsman Matter Management System Submission Form 
is 750 hours. The calculation of this estimate depends on the number of 
investors who use the forms each year and the estimated time it takes 
to complete the forms: 1,500 respondents x 30 minutes = 750 burden 
hours. Members of the public should be aware that an agency may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless a currently valid OMB control number 
is displayed. Background documentation for this information collection 
may be viewed at the following link, https://www.reginfo.gov. General 
comments regarding the above information submitted within 60 days of 
this publication will be considered by April 17, 2023 and should be 
directed to the following persons: (i) Desk Officer for the Securities 
and Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503 or send an email to: 
[email protected]; and (ii) David Bottom, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o John R. 
Pezzullo, 100 F St NE, Washington, DC 20549; or send an email to: 
[email protected].

    Dated: February 10, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-03230 Filed 2-14-23; 8:45 am]
BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.