30 Day Notice

Federal Register / Vol. 86, No. 9 / Thursday, January 14, 2021 / Notices
included on the subject line if email is
used. To help us process and review
your statement more efficiently, please
use only one method. The Commission
will post all statements on the SEC’s
website at www.sec.gov.
Statements also 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. (ET).
All statements received will be posted
without change; we do not edit personal
identifying information from
submissions. You should submit only
information that you wish to make
available publicly.
FOR FURTHER INFORMATION CONTACT: Julie
Z. Davis, Senior Special Counsel, Office
of the Advocate for Small Business
Capital Formation, at (202) 551–5407,
Securities and Exchange Commission,
100 F Street NE, Washington, DC
20549–3628.
SUPPLEMENTARY INFORMATION: The
meeting will be open to the public.
Persons needing special
accommodations 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 matters
relating to rules and regulations
affecting small and emerging companies
and their investors under the federal
securities laws.
Dated: January 11, 2021.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2021–00764 Filed 1–13–21; 8:45 am]
BILLING CODE P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–422, OMB Control No.
3235–0471]

Submission for OMB Review;
Comment Request

khammond on DSKJM1Z7X2PROD with NOTICES

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

extension of the previously approved
collection of information provided for in
Rule 15c1–5 (17 CFR 240.15c1–5) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 15c1–5 states that any brokerdealer controlled by, controlling, or
under common control with the issuer
of a security that the broker-dealer is
trying to sell to or buy from a customer
must give the customer written
notification disclosing the control
relationship at or before completion of
the transaction. The Commission
estimates that 181 respondents provide
notifications annually under Rule 15c1–
5 and that each respondent would
spend approximately 10 hours per year
complying with the requirements of the
rule for a total burden of approximately
1,810 hours per year. There is no
retention period requirement under
Rule 15c1–5. This Rule does not involve
the collection of confidential
information.
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
within 30 days of publication of this
notice to (i) www.reginfo.gov/public/do/
PRAMain and (ii) David Bottom,
Director/Chief Information Officer,
Securities and Exchange Commission, c/
o Cynthia Roscoe, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: [email protected].
Dated: January 11, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–00732 Filed 1–13–21; 8:45 am]
BILLING CODE 8011–01–P

Extension:
Rule 15c1–5

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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of

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SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–90880; File No. SR–Phlx–
2021–03]

Self-Regulatory Organizations; Nasdaq
PHLX LLC; Notice of Filing of
Proposed Rule Change To Modify Phlx
Options 8, Section 26, ‘‘Trading Halts,
Business Continuity and Disaster
Recovery’’
January 8, 2021.

Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on January 7,
2021 Nasdaq PHLX LLC (‘‘Phlx’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission (‘‘SEC’’ or
‘‘Commission’’) the proposed rule
change as described in Items I, II, and
III, below, which Items have been
prepared by the Exchange. The
Commission is publishing this notice to
solicit comments on the proposed rule
change from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to modify
Phlx Options 8, Section 26, ‘‘Trading
Halts, Business Continuity and Disaster
Recovery’’ to permit a Virtual Trading
Crowd in the event that the Trading
Floor is unavailable.
The text of the proposed rule change
is available on the Exchange’s website at
https://listingcenter.nasdaq.com/
rulebook/phlx/rules, at the principal
office of the Exchange, and at the
Commission’s Public Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
the most significant aspects of such
statements.
1 15
2 17

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U.S.C. 78s(b)(1).
CFR 240.19b–4.

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