Submission for OMB Review; Comment Request; Extension: Rule 206(4)-7, 81612 [2024-23161]

Download as PDF 81612 Federal Register / Vol. 89, No. 195 / Tuesday, October 8, 2024 / Notices 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–IEX–2024–20 and should be submitted on or before October 29, 2024. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.41 Vanessa A. Countryman, Secretary. [FR Doc. 2024–23166 Filed 10–7–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–523, OMB Control No. 3235–0585] ddrumheller on DSK120RN23PROD with NOTICES1 Submission for OMB Review; Comment Request; Extension: Rule 206(4)–7 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 (the ‘‘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 title for the collection of information is ‘‘Investment Advisers Act rule 206(4)–7, 17 CFR 275.206(4)–7, Compliance procedures and practices.’’ This collection of information is found at 17 CFR 275.206(4)–7, and is mandatory. Rule 206(4)–7 under the 41 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:23 Oct 07, 2024 Jkt 265001 Investment Advisers Act of 1940 (‘‘Advisers Act’’) requires each investment adviser registered with the Commission to (1) adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and its rules, (2) review those compliance policies and procedures annually, and (3) designate a chief compliance officer who is responsible for administering the compliance policies and procedures. The rule is designed to protect investors by fostering better compliance with the securities laws. The collection of information under rule 206(4)–7 is necessary to help ensure that investment advisers maintain comprehensive internal programs that promote the advisers’ compliance with the Advisers Act and its rules. The Commission’s examination and oversight staff may review the information collected to assess investment advisers’ compliance programs. Responses provided to the Commission pursuant to the rule in the context of the Commission’s examination and oversight program are generally kept confidential. 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. The respondents to this information collection are investment advisers registered with the Commission. Updated data indicate that there were 15,441 advisers registered with the Commission as of December 31, 2023. Each respondent would produce one response, per year. Commission staff has estimated that compliance with rule 206(4)–7 imposes an annual burden of approximately 90 hours per response. Based on this figure, Commission staff estimates a total annual burden of 1,389,690 hours for this collection of information. 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 November 7, 2024 to (i) MBX.OMB.OIRA.SEC_desk_officer@ omb.eop.gov and (ii) Austin Gerig, Director/Chief Data Officer, Securities and Exchange Commission, c/o Oluwaseun Ajayi, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. PO 00000 Frm 00196 Fmt 4703 Sfmt 4703 Dated: October 2, 2024. Vanessa A. Countryman, Secretary. [FR Doc. 2024–23161 Filed 10–7–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–462, OMB Control No. 3235–0696] Proposed Collection; Comment Request; Extension: Rules 15Fb1–1 through 15Fb6–2 and Forms SBSE, SBSE–A, SBSE–BD, SBSE–C and SBSE–W 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’’) is soliciting comments on the existing collection of information provided for in Rules 15Fb1–1 through 15Fb6–2 and Forms SBSE, SBSE–A, SBSE–BD, SBSE–C and SBSE–W (17 CFR 240.15Fb1–1 through 240.15Fb6–2, and 17 CFR 249.1600, 249.1600a, 249.1600b, 249.1600c and 249.1601), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. The Commission adopted Rules 15Fb1–1 through 15Fb6–2 and Forms SBSE, SBSE–A, SBSE–BD, SBSE–C and SBSE–W on August 5, 2015 to create a process to register SBS Entities. Forms SBSE, SBSE–A, and SBSE–BD and SBSE–C were designed to elicit certain information from applicants. The Commission uses the information disclosed by applicants through the SBS Entity registration rules and forms to: (1) determine whether an applicant meets the standards for registration set forth in the provisions of the Exchange Act; and (2) develop an information resource regarding SBS Entities where members of the public may obtain relevant, up-todate information about SBS Entities, and where the Commission may obtain information for examination and enforcement purposes. Without the information provided through these SBS Entity registration rules and forms, the Commission could not effectively determine whether the applicant meets the standards for registration or implement policy objectives of the Exchange Act. E:\FR\FM\08OCN1.SGM 08OCN1

Agencies

[Federal Register Volume 89, Number 195 (Tuesday, October 8, 2024)]
[Notices]
[Page 81612]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-23161]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-523, OMB Control No. 3235-0585]


Submission for OMB Review; Comment Request; Extension: Rule 
206(4)-7

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 (the ``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 title for the collection of information is ``Investment 
Advisers Act rule 206(4)-7, 17 CFR 275.206(4)-7, Compliance procedures 
and practices.'' This collection of information is found at 17 CFR 
275.206(4)-7, and is mandatory. Rule 206(4)-7 under the Investment 
Advisers Act of 1940 (``Advisers Act'') requires each investment 
adviser registered with the Commission to (1) adopt and implement 
written policies and procedures reasonably designed to prevent 
violations of the Advisers Act and its rules, (2) review those 
compliance policies and procedures annually, and (3) designate a chief 
compliance officer who is responsible for administering the compliance 
policies and procedures. The rule is designed to protect investors by 
fostering better compliance with the securities laws. The collection of 
information under rule 206(4)-7 is necessary to help ensure that 
investment advisers maintain comprehensive internal programs that 
promote the advisers' compliance with the Advisers Act and its rules. 
The Commission's examination and oversight staff may review the 
information collected to assess investment advisers' compliance 
programs. Responses provided to the Commission pursuant to the rule in 
the context of the Commission's examination and oversight program are 
generally kept confidential. 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.
    The respondents to this information collection are investment 
advisers registered with the Commission. Updated data indicate that 
there were 15,441 advisers registered with the Commission as of 
December 31, 2023. Each respondent would produce one response, per 
year. Commission staff has estimated that compliance with rule 206(4)-7 
imposes an annual burden of approximately 90 hours per response. Based 
on this figure, Commission staff estimates a total annual burden of 
1,389,690 hours for this collection of information.
    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 November 7, 2024 to (i) [email protected] 
and (ii) Austin Gerig, Director/Chief Data Officer, Securities and 
Exchange Commission, c/o Oluwaseun Ajayi, 100 F Street NE, Washington, 
DC 20549, or by sending an email to: [email protected].

    Dated: October 2, 2024.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2024-23161 Filed 10-7-24; 8:45 am]
BILLING CODE 8011-01-P
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