30 Day Notice

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Federal Register / Vol. 84, No. 224 / Wednesday, November 20, 2019 / Notices

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 the Exchange. All comments
received will be posted without change.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–NYSEArca–2019–81 and
should be submitted on or before
December 11, 2019.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.25
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–25101 Filed 11–19–19; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
Washington, DC 20549–2736
Extension:
Rule 201 and Rule 200(g) of Regulation
SHO, SEC File No. 270–606, OMB
Control No. 3235–0670

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 approval of
extension of the previously approved
collection of information provided for in
Rule 201 (17 CFR 242.201) and Rule
200(g) (17 CFR 242.200(g)) under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 201 is a short sale-related circuit
breaker rule that, if triggered, imposes a
restriction on the prices at which
securities may be sold short. Rule 200(g)
provides that a broker-dealer may mark
certain qualifying sell orders ‘‘short
exempt.’’ The information collected
25 17

CFR 200.30–3(a)(12).

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under Rule 201’s written policies and
procedures requirement applicable to
trading centers, the written policies and
procedures requirement of the brokerdealer provision of Rule 201(c), the
written policies and procedures
requirement of the riskless principal
provision of Rule 201(d)(6), and the
‘‘short exempt’’ marking requirement of
Rule 200(g) enable the Commission and
self-regulatory organizations (‘‘SROs’’)
to examine and monitor for compliance
with the requirements of Rule 201 and
Rule 200(g).
In addition, the information collected
under Rule 201’s written policies and
procedures requirement applicable to
trading centers helps ensure that trading
centers do not execute or display any
impermissibly priced short sale orders,
unless an order is marked ‘‘short
exempt,’’ in accordance with the Rule’s
requirements. Similarly, the information
collected under the written policies and
procedures requirement of the brokerdealer provision of Rule 201(c) and the
riskless principal provision of Rule
201(d)(6) helps to ensure that brokerdealers comply with the requirements of
these provisions. The information
collected pursuant to the ‘‘short
exempt’’ marking requirement of Rule
200(g) also provides an indication to a
trading center when it must execute or
display a short sale order without regard
to whether the short sale order is at a
price that is less than or equal to the
current national best bid.
It is estimated that SRO and non-SRO
respondents registered with the
Commission and subject to the
collection of information requirements
of Rule 201 and Rule 200(g) incur an
aggregate annual burden of 1,621,571
hours to comply with the Rules and an
aggregate annual external cost of
$220,000.
Any records generated in connection
with Rule 201’s requirements that
trading centers and broker-dealers (with
respect to the broker-dealer and riskless
principal provisions) establish written
policies and procedures must be
preserved in accordance with, and for
the periods specified in, Exchange Act
Rules 17a–1 for SRO trading centers and
17a–4(e)(7) for non-SRO trading centers
and registered broker-dealers. The
amendments to Rule 200(g) and Rule
200(g)(2) do not contain any new record
retention requirements. All registered
broker-dealers that are subject to the
amendments are currently required to
retain records in accordance with Rule
17a-4(e)(7) under the Exchange Act.
Compliance with Rule 201 and Rule
200(g) is mandatory. We expect that the
information collected pursuant to Rule
201’s required policies and procedures

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for trading centers will be
communicated to the members,
subscribers, and employees (as
applicable) of all trading centers. In
addition, the information collected
pursuant to Rule 201’s required policies
and procedures for trading centers will
be retained by the trading centers and
will be available to the Commission and
SRO examiners upon request, but not
subject to public availability. The
information collected pursuant to Rule
201’s broker-dealer provision and the
riskless principal exception will be
retained by the broker-dealers and will
be available to the Commission and SRO
examiners upon request, but not subject
to public availability. The information
collected pursuant to the ‘‘short
exempt’’ marking requirements in Rule
200(g) and Rule 200(g)(2) will be
submitted to trading centers and will be
available to the Commission and SRO
examiners upon request. The
information collected pursuant to the
‘‘short exempt’’ marking requirement
may be publicly available because it
may be published, in a form that would
not identify individual broker-dealers,
by SROs that publish on their internet
websites aggregate short selling volume
data in each individual equity security
for that day and, on a one-month
delayed basis, information regarding
individual short sale transactions in all
exchange-listed equity securities.
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. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503,
or by sending an email to:
[email protected]; and (ii)
Charles Riddle, Acting Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Candace
Kenner, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
[email protected]. Comments must be
submitted to OMB within 30 days of
this notice.
Dated: November 14, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–25093 Filed 11–19–19; 8:45 am]
BILLING CODE 8011–01–P

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