Submission for OMB Review; Comment Request, 43954 [2024-10977]

Download as PDF 43954 Federal Register / Vol. 89, No. 98 / Monday, May 20, 2024 / Notices 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– NASDAQ–2024–021 on the subject line. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. lotter on DSK11XQN23PROD with NOTICES1 All submissions should refer to file number SR–NASDAQ–2024–021. 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 a.m. and 3 p.m. Copies of the filing also 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–2024–021 and should be submitted on or before June 10, 2024. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.17 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–10946 Filed 5–17–24; 8:45 am] BILLING CODE 8011–01–P 17 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 19:14 May 17, 2024 Jkt 262001 SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–625, OMB Control No. 3235–0686] Submission for OMB Review; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 Extension: Form WB–APP—Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 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 collection of information summarized below. The Commission plans to submit an extension for this current collection of information to the Office of Management and Budget for approval. In Release No. 34–64545,1 the Commission adopted rules (‘‘Rules’’) and forms to implement Section 21F of the Securities Exchange Act of 1934 entitled ‘‘Securities Whistleblower Incentives and Protection,’’ which was created by section 922 of the DoddFrank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’).2 The Rules describe the whistleblower program that the Commission has established pursuant to the Dodd-Frank Act which requires the Commission to pay an award, subject to certain limitations and conditions, to whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or of a related action. The Rules define certain terms critical to the operation of the whistleblower program, outline the procedures for applying for awards and the Commission’s procedures for making decisions on claims, and generally explain the scope of the whistleblower program to the public and to potential whistleblowers. Form WB–APP is a form that is submitted by whistleblowers filing a claim for a whistleblower award. Form WB–APP is required for application for 1 Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934, Release No. 34–64545; File No. S7–33–10 (adopted May 25, 2011). 2 Public Law 111–203, 922(a), 124 Stat. 1841 (2010). PO 00000 Frm 00155 Fmt 4703 Sfmt 9990 an award under the Rules. On March 7, 2024, the Commission approved an updated version of the WB–APP in conjunction with its amended rules. Based on Commission experience the updated WB–APP clarifies instructions to make it more user-friendly. Additionally, the new form has added one question asking if the submitter has filed for a whistleblower award from a non-SEC authority and if so, to provide the name of that authority. No substantive changes were made to the WB–APP. The Commission estimates that it takes a whistleblower, on average, two hours to complete Form WB–APP. The completion time depends largely on the complexity of the alleged violation and the amount of information the whistleblower possesses in support of his or her application for an award. Based on the receipt of an average of approximately 192 3 annual Form WB– APP submissions for the past three fiscal years, the Commission estimates that the annual reporting burden of Form WB–APP is 378 hours. 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 within 30 days of publication of this notice by June 20, 2024 to (i) MBX.OMB.OIRA.SEC_desk_officer@ omb.eop.gov 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: May 15, 2024. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–10977 Filed 5–17–24; 8:45 am] BILLING CODE 8011–01–P 3 This figure does not include Form WB–APP submissions which were facially deficient, subsequently withdrawn, or submitted by individuals who have been barred by the Commission from participation in the whistleblower program. E:\FR\FM\20MYN1.SGM 20MYN1

Agencies

[Federal Register Volume 89, Number 98 (Monday, May 20, 2024)]
[Notices]
[Page 43954]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-10977]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-625, OMB Control No. 3235-0686]


Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 
20549-2736

Extension:
    Form WB-APP--Implementing the Whistleblower Provisions of 
Section 21F of the Securities Exchange Act of 1934

    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 
collection of information summarized below. The Commission plans to 
submit an extension for this current collection of information to the 
Office of Management and Budget for approval.
    In Release No. 34-64545,\1\ the Commission adopted rules 
(``Rules'') and forms to implement Section 21F of the Securities 
Exchange Act of 1934 entitled ``Securities Whistleblower Incentives and 
Protection,'' which was created by section 922 of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act (``Dodd-Frank Act'').\2\ The 
Rules describe the whistleblower program that the Commission has 
established pursuant to the Dodd-Frank Act which requires the 
Commission to pay an award, subject to certain limitations and 
conditions, to whistleblowers who voluntarily provide the Commission 
with original information about a violation of the federal securities 
laws that leads to the successful enforcement of a covered judicial or 
administrative action, or of a related action. The Rules define certain 
terms critical to the operation of the whistleblower program, outline 
the procedures for applying for awards and the Commission's procedures 
for making decisions on claims, and generally explain the scope of the 
whistleblower program to the public and to potential whistleblowers.
---------------------------------------------------------------------------

    \1\ Implementation of the Whistleblower Provisions of Section 
21F of the Securities Exchange Act of 1934, Release No. 34-64545; 
File No. S7-33-10 (adopted May 25, 2011).
    \2\ Public Law 111-203, 922(a), 124 Stat. 1841 (2010).
---------------------------------------------------------------------------

    Form WB-APP is a form that is submitted by whistleblowers filing a 
claim for a whistleblower award. Form WB-APP is required for 
application for an award under the Rules. On March 7, 2024, the 
Commission approved an updated version of the WB-APP in conjunction 
with its amended rules. Based on Commission experience the updated WB-
APP clarifies instructions to make it more user-friendly. Additionally, 
the new form has added one question asking if the submitter has filed 
for a whistleblower award from a non-SEC authority and if so, to 
provide the name of that authority. No substantive changes were made to 
the WB-APP.
    The Commission estimates that it takes a whistleblower, on average, 
two hours to complete Form WB-APP. The completion time depends largely 
on the complexity of the alleged violation and the amount of 
information the whistleblower possesses in support of his or her 
application for an award. Based on the receipt of an average of 
approximately 192 \3\ annual Form WB- APP submissions for the past 
three fiscal years, the Commission estimates that the annual reporting 
burden of Form WB-APP is 378 hours.
---------------------------------------------------------------------------

    \3\ This figure does not include Form WB-APP submissions which 
were facially deficient, subsequently withdrawn, or submitted by 
individuals who have been barred by the Commission from 
participation in the whistleblower program.
---------------------------------------------------------------------------

    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 within 30 days of publication of this notice 
by June 20, 2024 to (i) [email protected] 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: May 15, 2024.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-10977 Filed 5-17-24; 8:45 am]
BILLING CODE 8011-01-P
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