Submission for OMB Review; Comment Request; Extension: Rule 17a-10, 74553 [2023-23974]

Download as PDF Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices 5 U.S.C. chapter 71, when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting conditions of employment. POLICIES AND PRACTICE FOR STORAGE OF RECORDS: Records in this system of records are stored electronically or on paper in secure facilities. Electronic records are stored on the SEC’s secure network and/ or an SEC-approved cloud storage location. Access to and use of these records is limited to those persons whose official duties require such access. POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: These records are cross-indexed by the name of the individual who reports harassment, the name of the alleged target of harassment, if any, and the name of the alleged harasser. The records may be retrieved by any of the above three indexes and other indexes, as appropriate. POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: These records are maintained for three years after the report of harassment is closed and are then deleted or destroyed in accordance with NARA, General Records Schedule (GRS) 023, Item 40 and the SEC Comprehensive Records Schedule. Authorized staff follow the SEC’s records management procedures for safeguarding and disposing of records related to reports of harassment that have met their retention period. lotter on DSK11XQN23PROD with NOTICES1 ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: Access to SEC facilities, data centers, and information or information systems is limited to authorized personnel with official duties requiring access. SEC facilities are equipped with security cameras, and, at certain SEC facilities, 24-hour security guard service. Computerized records are safeguarded in a secured environment. Records are maintained in a secure, passwordprotected electronic system that will utilize commensurate safeguards that may include: firewalls, intrusion detection and prevention systems, and role-based access controls. Additional safeguards will vary by program. All records are protected from unauthorized access through appropriate administrative, operational, and technical safeguards. These safeguards include restricting access to authorized personnel who have a ‘‘need to know’’ and using locked file cabinets and/or locked offices or file rooms. Contractors VerDate Sep<11>2014 17:18 Oct 30, 2023 Jkt 262001 and other recipients providing services to the Commission shall be required to maintain equivalent safeguards. RECORDS ACCESS PROCEDURES: Persons seeking to gain access to any record contained in this system of records must submit a written request in accordance with instructions in SEC Privacy Act Regulations; 17 CFR 200.301 et seq. Address such request to: FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE, Mail Stop 5100, Washington, DC 20549– 2465. CONTESTING RECORD PROCEDURES: Persons seeking to contest the content of any record contained in this system of records may inquire in writing in accordance with instructions in SEC Privacy Act Regulations, 17 CFR 200.301 et seq. Address such requests to: FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE, Mail Stop 5100, Washington, DC 20549– 2736. NOTIFICATION PROCEDURES: See ‘‘Record Access Procedures’’ above. EXEMPTIONS PROMULGATED FOR THE: None. HISTORY: New SORN. By the Commission. Dated: October 26, 2023. Vanessa A. Countryman, Secretary. [FR Doc. 2023–23981 Filed 10–30–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–154, OMB Control No. 3235–0122] Submission for OMB Review; Comment Request; Extension: Rule 17a–10 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’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for extension of the previously approved collection of information discussed below. The primary purpose of Rule 17a–10 is to obtain the economic and statistical PO 00000 Frm 00153 Fmt 4703 Sfmt 9990 74553 data necessary for an ongoing analysis of the securities industry. Paragraph (a)(1) of Rule 17a–10 generally requires broker-dealers that are exempt from the filing requirements of paragraph (a) of Exchange Act Rule 17a–5 (17 CFR 240.17a–5) to file with the Commission the Facing Page, a Statement of Income (Loss), and balance sheet from Part IIA of Form X–17A–5 1 (17 CFR 249.617), and Schedule I of Form X–17A–5 not later than 17 business days after the end of each calendar year. Paragraph (a)(2) of Rule 17a–10 requires a broker-dealer subject to paragraph (a) of Rule 17a–5 to submit Schedule I of Form X–17A–5 with its Form X–17A–5 for the calendar quarter ending December 31 of each year. Paragraph (b) of Rule 17a–10 provides that the provisions of paragraph (a) do not apply to members of national securities exchanges or registered national securities associations that maintain records containing the information required by Form X–17A–5 and which transmit to the Commission copies of the records pursuant to a plan which has been declared effective by the Commission. The Commission staff estimates that the total hour burden under Rule 17a– 10 is approximately 44,892 hours per year and the total cost burden is $0 per year. 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 November 30, 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. Dated: October 26, 2023. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–23974 Filed 10–30–23; 8:45 am] BILLING CODE 8011–01–P 1 Form X–17A–5 is the Financial and Operational Combined Uniform Single Report (‘‘FOCUS Report’’), which is used by broker-dealers to provide certain required information to the Commission. E:\FR\FM\31OCN1.SGM 31OCN1

Agencies

[Federal Register Volume 88, Number 209 (Tuesday, October 31, 2023)]
[Notices]
[Page 74553]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-23974]


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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-154, OMB Control No. 3235-0122]


Submission for OMB Review; Comment Request; Extension: Rule 17a-
10

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'') has submitted to the Office of 
Management and Budget (``OMB'') a request for extension of the 
previously approved collection of information discussed below.
    The primary purpose of Rule 17a-10 is to obtain the economic and 
statistical data necessary for an ongoing analysis of the securities 
industry. Paragraph (a)(1) of Rule 17a-10 generally requires broker-
dealers that are exempt from the filing requirements of paragraph (a) 
of Exchange Act Rule 17a-5 (17 CFR 240.17a-5) to file with the 
Commission the Facing Page, a Statement of Income (Loss), and balance 
sheet from Part IIA of Form X-17A-5 \1\ (17 CFR 249.617), and Schedule 
I of Form X-17A-5 not later than 17 business days after the end of each 
calendar year.
---------------------------------------------------------------------------

    \1\ Form X-17A-5 is the Financial and Operational Combined 
Uniform Single Report (``FOCUS Report''), which is used by broker-
dealers to provide certain required information to the Commission.
---------------------------------------------------------------------------

    Paragraph (a)(2) of Rule 17a-10 requires a broker-dealer subject to 
paragraph (a) of Rule 17a-5 to submit Schedule I of Form X-17A-5 with 
its Form X-17A-5 for the calendar quarter ending December 31 of each 
year.
    Paragraph (b) of Rule 17a-10 provides that the provisions of 
paragraph (a) do not apply to members of national securities exchanges 
or registered national securities associations that maintain records 
containing the information required by Form X-17A-5 and which transmit 
to the Commission copies of the records pursuant to a plan which has 
been declared effective by the Commission.
    The Commission staff estimates that the total hour burden under 
Rule 17a-10 is approximately 44,892 hours per year and the total cost 
burden is $0 per year. 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 November 30, 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: October 26, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-23974 Filed 10-30-23; 8:45 am]
BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.