Submission for OMB Review; Comment Request; Extension: Amendments to the National Market System Plan Governing the Consolidated Audit Trail, 45253 [2023-15000]

Download as PDF Federal Register / Vol. 88, No. 134 / Friday, July 14, 2023 / Notices will be available for inspection and copying at the principal office of the Exchange. Do not include personal identifiable information in submissions; you should submit only information that you wish to make available publicly. We may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection. All submissions should refer to file number SR–NASDAQ–2023–018 and should be submitted on or before August 4, 2023. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.32 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–14910 Filed 7–13–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–818, OMB Control No. 3235–0774] Submission for OMB Review; Comment Request; Extension: Amendments to the National Market System Plan Governing the Consolidated Audit Trail 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 connection with amendments 1 adopted pursuant to the statutory authority provided by the Securities Exchange Act of 1934,2 including Sections 11A(a)(3)(B),3 17(a),4 19(b),5 and 23(a) 6 thereof, and pursuant to Rule 608(a)(2) and (b)(2),7 to a National Market System (NMS) Plan filed with the Commission under Rule 613 (17 CFR 242.613), under lotter on DSK11XQN23PROD with NOTICES1 32 17 CFR 200.30–3(a)(12). 1 See Securities Exchange Act Release No. 88890 (May 15, 2020), 85 FR 31322 (May 22, 2020) (File No. S7–13–19) (‘‘Adopting Release’’). 2 See 15 U.S.C. 78a et seq. 3 See 15 U.S.C. 78k–1(a)(3)(B). 4 See 15 U.S.C. 78q(a). 5 See 15 U.S.C. 78s(b). 6 See 15 U.S.C. 78w(a). 7 See 17 CFR 242.608(a)(2), (b)(2). VerDate Sep<11>2014 17:54 Jul 13, 2023 Jkt 259001 the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The amendments, as adopted, required two new collections of information: a. Implementation Plan. The amendments require the Participants, within 30 calendar days following the effective date of the amendments, to prepare, file with the Commission, and make publicly available on a website a complete CAT implementation plan (‘‘Implementation Plan’’) that includes a detailed timeline for achieving various implementation milestones. b. Quarterly Progress Reports. The amendments require the Participants, within 30 calendar days after the end of each calendar quarter, to prepare, file with the Commission, and make publicly available on a website a complete report (the ‘‘Quarterly Progress Report’’) that provides a detailed and up-to-date description of the progress made by the Participants toward each of the milestones identified in the Implementation Plan. The one-time information collection associated with the Implementation Plan was completed by the Participants, so there will be no further burdens associated with the Implementation Plan. The Quarterly Progress Report information collection continues. There are currently 25 Participants, who must complete four Quarterly Progress Reports per year. The Commission staff estimates that, on the average, most Quarterly Progress Reports require approximately 72 hours per Participant, and cost approximately $8,000 per Participant. The Commission staff estimates Participants spend a total of approximately 7,200 hours per year (25 × 4 × 72) and $800,000 per year (25 × 4 × $8,000) complying with the rule. 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 August 14, 2023 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 00126 Fmt 4703 Sfmt 4703 45253 Dated: July 11, 2023. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–15000 Filed 7–13–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–97871; File No. SR–Phlx– 2023–27] Self-Regulatory Organizations; Nasdaq Phlx LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 3 and 4A Rules July 10, 2023. 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 June 27, 2023, Nasdaq Phlx LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘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. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend its Rules at Options 3, Options Trading Rules, at: Section 4 Entry and Display of Quotes; Section 5, Entry and Display of Orders; Section 7, Types of Orders and Order and Quote Protocols; Section 8, Options Opening Process; Section 10, Electronic Execution Priority and Processing in the System; Section 14, Complex Orders; and Section 15, Risk Protections. The Exchange also proposes to amend Phlx Options 4A, Sections 6, Position Limits, and Section 12, Terms of Index Options Contracts. The text of the proposed rule change is available on the Exchange’s website at https://listingcenter.nasdaq.com/ rulebook/phlx/rules, 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 Exchange included statements concerning the purpose of and basis for 1 15 2 17 E:\FR\FM\14JYN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 14JYN1

Agencies

[Federal Register Volume 88, Number 134 (Friday, July 14, 2023)]
[Notices]
[Page 45253]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-15000]


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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-818, OMB Control No. 3235-0774]


Submission for OMB Review; Comment Request; Extension: Amendments 
to the National Market System Plan Governing the Consolidated Audit 
Trail

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 
connection with amendments \1\ adopted pursuant to the statutory 
authority provided by the Securities Exchange Act of 1934,\2\ including 
Sections 11A(a)(3)(B),\3\ 17(a),\4\ 19(b),\5\ and 23(a) \6\ thereof, 
and pursuant to Rule 608(a)(2) and (b)(2),\7\ to a National Market 
System (NMS) Plan filed with the Commission under Rule 613 (17 CFR 
242.613), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et 
seq.).
---------------------------------------------------------------------------

    \1\ See Securities Exchange Act Release No. 88890 (May 15, 
2020), 85 FR 31322 (May 22, 2020) (File No. S7-13-19) (``Adopting 
Release'').
    \2\ See 15 U.S.C. 78a et seq.
    \3\ See 15 U.S.C. 78k-1(a)(3)(B).
    \4\ See 15 U.S.C. 78q(a).
    \5\ See 15 U.S.C. 78s(b).
    \6\ See 15 U.S.C. 78w(a).
    \7\ See 17 CFR 242.608(a)(2), (b)(2).
---------------------------------------------------------------------------

    The amendments, as adopted, required two new collections of 
information:
    a. Implementation Plan. The amendments require the Participants, 
within 30 calendar days following the effective date of the amendments, 
to prepare, file with the Commission, and make publicly available on a 
website a complete CAT implementation plan (``Implementation Plan'') 
that includes a detailed timeline for achieving various implementation 
milestones.
    b. Quarterly Progress Reports. The amendments require the 
Participants, within 30 calendar days after the end of each calendar 
quarter, to prepare, file with the Commission, and make publicly 
available on a website a complete report (the ``Quarterly Progress 
Report'') that provides a detailed and up-to-date description of the 
progress made by the Participants toward each of the milestones 
identified in the Implementation Plan.
    The one-time information collection associated with the 
Implementation Plan was completed by the Participants, so there will be 
no further burdens associated with the Implementation Plan. The 
Quarterly Progress Report information collection continues.
    There are currently 25 Participants, who must complete four 
Quarterly Progress Reports per year. The Commission staff estimates 
that, on the average, most Quarterly Progress Reports require 
approximately 72 hours per Participant, and cost approximately $8,000 
per Participant. The Commission staff estimates Participants spend a 
total of approximately 7,200 hours per year (25 x 4 x 72) and $800,000 
per year (25 x 4 x $8,000) complying with the rule.
    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 August 14, 2023 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: 
[email protected].

    Dated: July 11, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-15000 Filed 7-13-23; 8:45 am]
BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.