Submission for OMB Review; Comment Request; Extension: Rule 18a-9, 50652 [2024-13173]

Download as PDF 50652 Federal Register / Vol. 89, No. 116 / Friday, June 14, 2024 / Notices B. Self-Regulatory Organization’s Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. The Exchange notes that the proposed rule change will facilitate the listing and trading of a new type of CommodityBased Trust Share based on the price of ether that would enhance competition among market participants, to the benefit of investors and the marketplace. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 45 days of the date of publication of this notice in the Federal Register or within such longer period up to 90 days (i) as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) by order approve or disapprove the 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: ddrumheller on DSK120RN23PROD 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– NYSEARCA–2024–53 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. All submissions should refer to file number SR–NYSEARCA–2024–53. This file number should be included on the subject line if email is used. To help the Commission process and review your VerDate Sep<11>2014 17:13 Jun 13, 2024 Jkt 262001 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–NYSEARCA–2024–53 and should be submitted on or before July 5, 2024. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.35 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–13054 Filed 6–13–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–771, OMB Control No. 3235–0752] Submission for OMB Review; Comment Request; Extension: Rule 18a–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’’) 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 Rule 18a–9, under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 18a–9, which is modeled on Exchange Act Rule 17a–13, establishes a securities count program for securitybased swap dealers not dually registered as a broker-dealer or regulated by a prudential regulator (‘‘stand-alone SBSDs’’). Specifically, Rule 18a–9 requires stand-alone SBSDs to examine and count the securities they physically hold, account for the securities that are subject to their control and direction but are not in their physical possession, verify the locations of securities under certain circumstances, and compare the results of the count and verification with their records. Stand-alone SBSDs are required to perform a securities count each quarter, either as of a date certain or on a cyclical basis. Rule 18a–9 requires stand-alone SBSDs to note any discrepancies between the count and the firm’s records, and to record in the firm’s record any discrepancies that remain unresolved seven business days after the date of the examination, count, and verification. The Commission estimates that the total hour burden under Rule 18a–9 is approximately 1,100 hours per year. Since the last approval of this information collection, the estimated total burden hours per year has increased due to an increase in the estimated number of respondents subject to the requirements of 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 July 15, 2024 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: June 11, 2024. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–13173 Filed 6–13–24; 8:45 am] 35 17 PO 00000 CFR 200.30–3(a)(12). Frm 00107 Fmt 4703 Sfmt 9990 BILLING CODE 8011–01–P E:\FR\FM\14JNN1.SGM 14JNN1

Agencies

[Federal Register Volume 89, Number 116 (Friday, June 14, 2024)]
[Notices]
[Page 50652]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-13173]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-771, OMB Control No. 3235-0752]


Submission for OMB Review; Comment Request; Extension: Rule 18a-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'') 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 Rule 18a-
9, under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
    Rule 18a-9, which is modeled on Exchange Act Rule 17a-13, 
establishes a securities count program for security-based swap dealers 
not dually registered as a broker-dealer or regulated by a prudential 
regulator (``stand-alone SBSDs''). Specifically, Rule 18a-9 requires 
stand-alone SBSDs to examine and count the securities they physically 
hold, account for the securities that are subject to their control and 
direction but are not in their physical possession, verify the 
locations of securities under certain circumstances, and compare the 
results of the count and verification with their records.
    Stand-alone SBSDs are required to perform a securities count each 
quarter, either as of a date certain or on a cyclical basis. Rule 18a-9 
requires stand-alone SBSDs to note any discrepancies between the count 
and the firm's records, and to record in the firm's record any 
discrepancies that remain unresolved seven business days after the date 
of the examination, count, and verification.
    The Commission estimates that the total hour burden under Rule 18a-
9 is approximately 1,100 hours per year. Since the last approval of 
this information collection, the estimated total burden hours per year 
has increased due to an increase in the estimated number of respondents 
subject to the requirements of 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 July 15, 2024 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: June 11, 2024.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-13173 Filed 6-13-24; 8:45 am]
BILLING CODE 8011-01-P
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