Proposed Collection; Comment Request; Extension: Rule 433 Under the Securities Act of 1933-Conditions to Permissible Post-Filing Free Writing Prospectuses, 68784 [2023-21925]
Download as PDF
<![CDATA[
68784
Federal Register / Vol. 88, No. 191 / Wednesday, October 4, 2023 / Notices
the self-regulatory organization
consents, the Commission will:
(A) by order approve or disapprove
such proposed rule change, or
(B) institute proceedings to determine
whether the proposed rule change
should be disapproved.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
lotter on DSK11XQN23PROD with NOTICES1
Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
NSCC–2023–009 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549.
All submissions should refer to File
Number SR–NSCC–2023–009. This file
number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549 on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the
filing also will be available for
inspection and copying at the principal
office of NSCC and on DTCC’s website
(dtcc.com/legal/sec-rule-filings). 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
VerDate Sep<11>2014
20:21 Oct 03, 2023
Jkt 262001
to File Number SR–NSCC–2023–009
and should be submitted on or before
October 25, 2023.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.42
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–21936 Filed 10–3–23; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–558, OMB Control No.
3235–0617]
Proposed Collection; Comment
Request; Extension: Rule 433 Under
the Securities Act of 1933—Conditions
to Permissible Post-Filing Free Writing
Prospectuses
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’’) is soliciting comments
on the collections of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Rule 433 (17 CFR 230.433) governs
the use and filing of free writing
prospectuses under the Securities Act of
1933 (15 U.S.C. 77a et seq.). The
purpose of Rule 433 is to reduce the
restrictions on communications that a
company can make to investors during
a registered offering of its securities,
while maintaining a high level of
investor protection. A free writing
prospectus meeting the conditions of
Rule 433(d)(1) must be filed with the
Commission and is publicly available.
We estimate that it takes approximately
9.79057 burden hours per response to
prepare a free writing prospectus and
that the information is filed by 20,179
responses. We estimate that 25% of the
9.79052 burden hours per response
(2.44764 hours) is prepared by the
company for total annual reporting
burden of 49,391 hours (2.4476 hours ×
20,179 responses).
Written comments are invited on: (a)
whether this proposed collection of
information is necessary for the proper
performance of the functions of the
42 17
PO 00000
CFR 200.30–3(a)(12).
Frm 00226
Fmt 4703
Sfmt 4703
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the 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 within 60 days of this
publication by December 4, 2023.
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.
Please direct your written comment 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: September 28, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–21925 Filed 10–3–23; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–114, OMB Control No.
3235–0102]
Proposed Collection; Comment
Request; Extension: Tender Offer—
Regulation 14D and Regulation 14E,
Schedule 14D–9
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’’) 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 for extension
and approval.
Regulation 14D (17 CFR 240.14d–1—
240.14d–11) and Regulation 14E (17
CFR 240.14e–1—240.14e–8) and related
Schedule 14D–9 (17 CFR 240.14d–101)
require information important to
security holders in deciding how to
respond to tender offers. Schedule 14D–
9 takes approximately 260.56 hours per
E:\FR\FM\04OCN1.SGM
04OCN1
]]>Agencies
[Federal Register Volume 88, Number 191 (Wednesday, October 4, 2023)]
[Notices]
[Page 68784]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-21925]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-558, OMB Control No. 3235-0617]
Proposed Collection; Comment Request; Extension: Rule 433 Under
the Securities Act of 1933--Conditions to Permissible Post-Filing Free
Writing Prospectuses
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'') is soliciting comments on the collections
of information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
Rule 433 (17 CFR 230.433) governs the use and filing of free
writing prospectuses under the Securities Act of 1933 (15 U.S.C. 77a et
seq.). The purpose of Rule 433 is to reduce the restrictions on
communications that a company can make to investors during a registered
offering of its securities, while maintaining a high level of investor
protection. A free writing prospectus meeting the conditions of Rule
433(d)(1) must be filed with the Commission and is publicly available.
We estimate that it takes approximately 9.79057 burden hours per
response to prepare a free writing prospectus and that the information
is filed by 20,179 responses. We estimate that 25% of the 9.79052
burden hours per response (2.44764 hours) is prepared by the company
for total annual reporting burden of 49,391 hours (2.4476 hours x
20,179 responses).
Written comments are invited on: (a) whether this proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden imposed by the 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 within 60
days of this publication by December 4, 2023.
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.
Please direct your written comment 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: September 28, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-21925 Filed 10-3-23; 8:45 am]
BILLING CODE 8011-01-P
