60 Day Notice

8658

Federal Register / Vol. 86, No. 24 / Monday, February 8, 2021 / Notices

cohabitate after completing the
Personnel Security Forms, or after
having been granted an NRC access
authorization or employment clearance.
Form 354 identifies the respondent, the
marriage, and data on the spouse and
spouse’s parents. This information
permits the NRC to make initial security
determinations and to assure there is no
increased risk to the common defense
and security.

Week of March 1, 2021—Tentative
There are no meetings scheduled for
the week of March 1, 2021.

Dated: February 3, 2021.
For the Nuclear Regulatory Commission.
David C. Cullison,
NRC Clearance Officer, Office of the Chief
Information Officer.

CONTACT PERSON FOR MORE INFORMATION:

[FR Doc. 2021–02510 Filed 2–5–21; 8:45 am]
BILLING CODE 7590–01–P

NUCLEAR REGULATORY
COMMISSION
[NRC–2021–0001]

Sunshine Act Meetings
Weeks of February 8, 15,
22, March 1, 8, 15, 2021.
PLACE: Commissioners’ Conference
Room, 11555 Rockville Pike, Rockville,
Maryland.
STATUS: Public.
TIME AND DATE:

Week of February 8, 2021
Thursday, February 11, 2021
9:00 a.m. Discussion of NRC’s
Regulatory Framework for Dry Cask
Storage and Transportation of Spent
Nuclear Fuel and Related Research
Activities (Public Meeting) (Contact:
Damaris Marcano: 301–415–7328)
Additional Information: Due to
COVID–19, there will be no physical
public attendance.
The public is invited to attend the
Commission’s meeting live by webcast
at the Web address—https://
video.nrc.gov/.

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Week of February 15, 2021—Tentative
Thursday, February 18, 2021
10:00 a.m. Briefing on Equal
Employment Opportunity,
Affirmative Employment, and Small
Business (Public Meeting) (Contact:
Nadim Khan: 301–415–1119)
Additional Information: Due to
COVID–19, there will be no physical
public attendance.
The public is invited to attend the
Commission’s meeting live by webcast
at the Web address—https://
video.nrc.gov/.
Week of February 22, 2021—Tentative
There are no meetings scheduled for
the week of February 22, 2021.

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Week of March 8, 2021—Tentative
There are no meetings scheduled for
the week of March 8, 2021.
Week of March 15, 2021—Tentative
There are no meetings scheduled for
the week of March 15, 2021.
For more information or to verify the
status of meetings, contact Wesley Held
at 301–287–3591 or via email at
[email protected]. The schedule for
Commission meetings is subject to
change on short notice.
The NRC Commission Meeting
Schedule can be found on the internet
at: https://www.nrc.gov/public-involve/
public-meetings/schedule.html.
The NRC provides reasonable
accommodation to individuals with
disabilities where appropriate. If you
need a reasonable accommodation to
participate in these public meetings or
need this meeting notice or the
transcript or other information from the
public meetings in another format (e.g.,
braille, large print), please notify Anne
Silk, NRC Disability Program Specialist,
at 301–287–0745, by videophone at
240–428–3217, or by email at
[email protected]. Determinations on
requests for reasonable accommodation
will be made on a case-by-case basis.
Members of the public may request to
receive this information electronically.
If you would like to be added to the
distribution, please contact the Nuclear
Regulatory Commission, Office of the
Secretary, Washington, DC 20555, at
301–415–1969, or by email at
[email protected].
The NRC is holding the meetings
under the authority of the Government
in the Sunshine Act, 5 U.S.C. 552b.
Dated: February 4, 2021.
For the Nuclear Regulatory Commission.
Wesley W. Held,
Policy Coordinator, Office of the Secretary.
[FR Doc. 2021–02672 Filed 2–4–21; 4:15 pm]
BILLING CODE 7590–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–614, OMB Control No.
3235–0682]

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

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Extension:
Rule 13h–1 and Form 13H.

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 Rule 13h–1 (17 CFR
240.13h–1) and Form 13H—registration
of large traders 1 submitted pursuant to
Section 13(h) of the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.)
(‘‘Exchange Act’’). The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Rule 13h–1 and Form 13H under
Section 13(h) of the Exchange Act
established a large trader reporting
framework.2 The framework assists the
Commission in identifying and
obtaining certain baseline information
about traders that conduct a substantial
amount of trading activity, as measured
by volume or market value, in the U.S.
securities markets.
The identification, recordkeeping, and
reporting framework provides the
Commission with a mechanism to
identify large traders and obtain
additional information on their trading
activity. Specifically, the system
requires large traders to identify
themselves to the Commission and file
certain interim updates with the
Commission on Form 13H. Upon receipt
of Form 13H, the Commission issues a
unique identification number to the
large trader, which the large trader then
provides to its registered broker-dealers.
Certain registered broker-dealers are
required to maintain transaction records
for each large trader, and are required to
report that information to the
Commission upon request.3 In addition,
certain registered broker-dealers are
required to adopt procedures to monitor
their customers for activity that would
1 Rule 13h–1(a)(1) defines ‘‘large trader’’ as any
person that directly or indirectly, including through
other persons controlled by such person, exercises
investment discretion over one or more accounts
and effects transactions for the purchase or sale of
any NMS security for or on behalf of such accounts,
by or through one or more registered broker-dealers,
in an aggregate amount equal to or greater than the
identifying activity level or voluntarily registers as
a large trader by filing electronically with the
Commission Form 13H.
2 See Securities Exchange Act Release No. 64976
(July 27, 2011), 76 FR 46959 (August 3, 2011).
3 The Commission, pursuant to Rule 17a–25 (17
CFR 240.17a–25), currently collects transaction data
from registered broker-dealers through the
Electronic Blue Sheets (‘‘EBS’’) system to support
its regulatory and enforcement activities. The large
trader framework added two new fields, the time of
the trade and the identity of the trader, to the EBS
system.

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Federal Register / Vol. 86, No. 24 / Monday, February 8, 2021 / Notices
trigger the identification requirements of
the rule.
The respondents to the collection of
information required by Rule 13h–1 and
Form 13H are large traders and
registered broker-dealers. The
Commission estimates that the total
annual time burden associated with
Rule 13h–1 and Form 13H is
approximately 185,200 hours per year.
This burden is comprised of 23,500
hours for initial filings by large traders
on Form 13H, 58,500 hours for updates
by large traders, 96,000 hours for brokerdealer reporting, and 7,200 hours for
broker-dealer monitoring.
Compliance with Rule 13h–1 is
mandatory. The information collection
under proposed Rule 13h–1 is
considered confidential subject to the
limited exceptions provided by the
Freedom of Information Act.4
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
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.
Please direct your written comments
to: David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549, or send an email to: PRA_
[email protected].

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Dated: February 3, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–02505 Filed 2–5–21; 8:45 am]

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–91039; File No. SR–
NYSEAMER–2021–05]

Self-Regulatory Organizations; NYSE
American LLC; Notice of Filing of
Proposed Rule Change To Amend Rule
970NY and Rule 970.1NY To Eliminate
the Use of Dark Series on the
Exchange
February 2, 2021.

Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that, on January
26, 2021, NYSE American LLC (‘‘NYSE
American’’ or the ‘‘Exchange’’) filed
with the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by the selfregulatory organization. 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 amend
Rule 970NY (Firm Quotes) and Rule
970.1NY (Quote Mitigation) to eliminate
the use of dark series on the Exchange.
The proposed rule change is available
on the Exchange’s website at
www.nyse.com, 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
self-regulatory organization 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 those 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 parts of such
statements.

BILLING CODE 8011–01–P

1 15

U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
2 15

4 See

5 U.S.C. 552 and 15 U.S.C. 78m(h)(7).

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8659

A. Self-Regulatory Organization’s
Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The purpose of this rule change is to
eliminate the exclusion of inactive or
‘‘dark’’ series (as described below) from
the requirements of Rule 970NY (Firm
Quotes). In addition, the Exchange
proposes to delete Rule 970.1NY (Quote
Mitigation) in its entirety.
Rule 970NY describes the obligations
of the Exchange to collect, process and
make available to quotation vendors the
best bid and best offer for each option
series that is a reported security.4
However, under Rule 970.1NY, the only
quote messages that the Exchange sends
to Options Price Reporting Authority
(‘‘OPRA’’) are quotes for ‘‘active’’ series,
which are defined as any series that: (i)
Has traded on any options exchange in
the previous 14 calendar days; (ii) is
solely listed on the Exchange; (iii) has
been trading ten days or less; or (iv) is
a series in which the Exchange has an
order.5 Any options series that falls
outside of the above categories of
‘‘active’’ series are deemed inactive or
‘‘dark’’ series. As such, under Rule
970.1NY, the Exchange still accepts
quotes from ATP Holders in these
series; however, such quotes are not
disseminated to OPRA. The Exchange
proposes to modify Rule 970NY and to
delete Rule 970.1NY to eliminate the
use of ‘‘dark’’ series.
By way of background, Rules 970NY
and 970.1NY were adopted over a
decade ago in conformance with the
NYSE Arca Rule 6.86–O in connection
with the Penny Pilot Program, which
has since been made permanent.6 In
2007, when NYSE Arca Rule 6.86–O
was adopted, there were five options
exchanges and an industry-wide
concern about ‘‘capacity issues related
4 See

Rule 970.10NY.
series may be considered ‘‘active’’ on an
intraday basis if: (i) the series trades at any options
exchange; (ii) the Exchange receives an order in the
series; or (iii) the Exchange receives a request for
quote from a Customer in that series.’’ See Rule
970.1NY.
6 See Securities Exchange Act Release Nos. 59142
(December 22, 2008), 73 FR 80494, 80501
(December 31, 2008) (notice citing fact that Rules
970NY and 970.1NY copy the NYSE Arca quote
mitigation rule); 59472 (February 29, 2009), 74 FR
9843 (March 6, 2009) (order approving adoption of
Rules 970NY and 970.1NY) See also Securities
Exchange Act Release Nos. 88532 (April 1, 2020),
85 FR 19545 (April 7, 2020) (File No. 4–443) (order
approving Amendment No. 5 to the Plan for the
Purpose of Developing and Implementing
Procedures to Facilitate the Listing and Trading of
Standardized Options); 55162 (January 24, 2007), 72
FR 4738 (February 1, 2007) (SR–Amex–2006–106)
(approval of Penny Pilot Program and original quote
mitigation strategy).
5A

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