30 Day Notice

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Federal Register / Vol. 84, No. 209 / Tuesday, October 29, 2019 / Notices

all members by using only the STANS
base amount, plus certain add-on
charges, in the Clearing Fund allocation
process. Under the proposed change,
Clearing Members with segregated
futures accounts would typically see
their Clearing Fund requirements
decrease, while other Clearing Members’
requirements would generally increase
to balance out the full allocation of the
Clearing Fund. While OCC
acknowledges the impact of the
proposed change on individual Clearing
Member contribution requirements,
OCC believes that using the same
margin risk measurement for all
Clearing Members/accounts when
determining Clearing Fund allocations
allows for a more equitable comparison
across all accounts. As a result, OCC
believes the proposed change would
promote competition by standardizing
its Clearing Fund allocation formula and
treating all Clearing Members similarly
in the allocation process.
In addition, OCC proposes changes to
its cooling-off period and associated
assessment cap rules that would ensure
that the cooling-off period and
associated assessment caps are
consistently applied for any
proportionate charge resulting from any
of the events described in clauses (i)
through (vi) of Rule 1006(a). These
changes would apply equally to all
Clearing Members and therefore OCC
does not believe the proposed changes
would have any impact or burden on
competition.
Finally, OCC proposes to make
clarifying changes to its Methodology
Description, which are not expected to
have any impact on competition. The
proposed changes are not intended to
materially change OCC’s Clearing Fund
or stress testing rules but are simply
designed to provide more accuracy and
clarity in OCC’s methodology
documentation. As a result, OCC does
not believe the proposed changes would
have any impact or burden on
competition.
For the reasons set forth above, OCC
believes that the proposed rule change
would not impose any burden on
competition not necessary or
appropriate in furtherance of the
purposes of the Act
C. Clearing Agency’s Statement on
Comments on the Proposed Rule
Change Received From Members,
Participants or Others
Written comments on the proposed
rule change were not and are not
intended to be solicited with respect to
the proposed rule change and none have
been received.

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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 Exchange
Act. Comments may be submitted by
any of the following methods:
Electronic Comments
• Use the Commission’s internet
comment form (http://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
OCC–2019–009 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–OCC–2019–009. 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 (http://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
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for

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inspection and copying at the principal
office of OCC and on OCC’s website at
https://www.theocc.com/about/
publications/bylaws.jsp.
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–OCC–2019–009 and should
be submitted on or before November 19,
2019.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.58
Jill M. Petersen,
Assistant Secretary.
[FR Doc. 2019–23550 Filed 10–28–19; 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,
100 F Street NE, Washington, DC
20549–2736
Extension:
Rule 17a–1, SEC File No. 270–244, OMB
Control No. 3235–0208

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 17a–1 (17 CFR 240.17a–1) under
the Securities Exchange Act of 1934, as
amended (the ‘‘Act’’) (15 U.S.C. 78a et
seq.).
Rule 17a–1 requires that every
national securities exchange, national
securities association, registered
clearing agency, and the Municipal
Securities Rulemaking Board keep on
file for a period of not less than five
years, the first two years in an easily
accessible place, at least one copy of all
documents, including all
correspondence, memoranda, papers,
books, notices, accounts, and other such
records made or received by it in the
course of its business as such and in the
conduct of its self-regulatory activity,
58 17

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CFR 200.30–3(a)(12).

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Federal Register / Vol. 84, No. 209 / Tuesday, October 29, 2019 / Notices
and that such documents be available
for examination by the Commission.
There are 34 entities required to
comply with the rule: 23 National
securities exchanges, 1 national
securities association, 9 registered
clearing agencies, and the Municipal
Securities Rulemaking Board. The
Commission staff estimates that the
average number of hours necessary for
compliance with the requirements of
Rule 17a–1 is 52 hours per year. In
addition, 4 national securities
exchanges notice-registered pursuant to
Section 6(g) of the Act (15 U.S.C. 78f(g))
are required to preserve records of
determinations made under Rule 3a55–
1 under the Act (17 CFR 240.3a55–1),
which the Commission staff estimates
will take 1 hour per exchange, for a total
of 4 hours. Accordingly, the
Commission staff estimates that the total
number of hours necessary to comply
with the requirements of Rule 17a–1 is
1,772 hours. The total internal cost of
compliance for all respondents is
$124,040, based on an average cost per
hour of $70.
Compliance with Rule 17a–1 is
mandatory. Rule 17a–1 does not assure
confidentiality for the records
maintained pursuant to the rule. The
records required by Rule 17a–1 are
available only for examination by the
Commission staff, state securities
authorities, and the self-regulatory
organizations. Subject to the provisions
of the Freedom of Information Act, 5
U.S.C. 522, and the Commission’s rules
thereunder (17 CFR 200.80(b)(4)(iii)),
the Commission does not generally
publish or make available information
contained in any reports, summaries,
analyses, letters, or memoranda arising
out of, in anticipation of, or in
connection with an examination or
inspection of the books and records of
any person or any other investigation.
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,

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DC 20549, or by sending an email to:
[email protected]. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: October 24, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019–23601 Filed 10–28–19; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release Nos. 33–10721; 34–87398; File No.
265–28]

Investor Advisory Committee Meeting
Securities and Exchange
Commission.
ACTION: Notice of meeting of Securities
and Exchange Commission Dodd-Frank
Investor Advisory Committee.
AGENCY:

The Securities and Exchange
Commission Investor Advisory
Committee, established pursuant to
Section 911 of the Dodd-Frank Wall
Street Reform and Consumer Protection
Act of 2010, is providing notice that it
will hold a public meeting. The public
is invited to submit written statements
to the Committee.
DATES: The meeting will be held on
Thursday, November 7, 2019 from 9:30
a.m. until 3:00 p.m. (ET). Written
statements should be received on or
before November 7, 2019.
ADDRESSES: The meeting will be held in
Multi-Purpose Room LL–006 at the
Commission’s headquarters, 100 F
Street NE, Washington, DC 20549. The
meeting will be webcast on the
Commission’s website at www.sec.gov.
Written statements may be submitted by
any of the following methods:
SUMMARY:

Electronic Statements
D Use the Commission’s internet
submission form (http://www.sec.gov/
rules/other.shtml); or
D Send an email message to [email protected]. Please include File
No. 265–28 on the subject line; or
Paper Statements
D Send paper statements to Vanessa
A. Countryman, Secretary, Securities
and Exchange Commission, 100 F Street
NE, Washington, DC 20549–1090.
All submissions should refer to File No.
265–28. This file number should be
included on the subject line if email is
used. To help us process and review
your statement more efficiently, please
use only one method.
Statements also will be available for
website viewing and printing in the

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57921

Commission’s Public Reference Room,
100 F Street NE, Room 1503,
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. All statements
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.
FOR FURTHER INFORMATION CONTACT:
Marc Oorloff Sharma, Chief Counsel,
Office of the Investor Advocate, at (202)
551–3302, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549.
SUPPLEMENTARY INFORMATION: The
meeting will be open to the public,
except during that portion of the
meeting reserved for an administrative
work session during lunch. Persons
needing special accommodations to take
part because of a disability should
notify the contact person listed in the
section above entitled FOR FURTHER
INFORMATION CONTACT.
The agenda for the meeting includes:
Welcome remarks; a discussion
regarding whether investors use
environmental, social, and governance
(ESG) data in investment/capital
allocation decisions; a discussion
regarding the SEC’s Concept Release on
Harmonization of Securities Offering
Exemptions; subcommittee reports; and
a nonpublic administrative work session
during lunch.
Dated: October 24, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019–23607 Filed 10–28–19; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–87385; File No. SR–
NYSEArca–2019–51]

Self-Regulatory Organizations; NYSE
Arca, Inc.; Order Instituting
Proceedings To Determine Whether To
Approve or Disapprove a Proposed
Rule Change Regarding Investments of
the Janus Henderson MortgageBacked Securities ETF Currently
Listed and Traded on the Exchange
Under NYSE Arca Rule 8.600–E
October 23, 2019.

On July 9, 2019, NYSE Arca, Inc.
(‘‘NYSE Arca’’ or ‘‘Exchange’’) filed
with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities

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