30 Day Notice

Federal Register / Vol. 86, No. 75 / Wednesday, April 21, 2021 / Notices
All submissions should refer to File No.
265–32. 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. 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:
Jenny Choi, Attorney, 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.
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.
SUPPLEMENTARY INFORMATION:

Dated: April 16, 2021.
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. 2021–08253 Filed 4–20–21; 8:45 am]
BILLING CODE 8011–01–P

Dated: April 15, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–125, OMB Control No.
3235–0104]

[FR Doc. 2021–08139 Filed 4–20–21; 8:45 am]

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Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
Extension:
Form 3

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 this

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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
extension of 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’’).
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 rule 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
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

BILLING CODE 8011–01–P

Submission for OMB Review;
Comment Request

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request for extension of the previously
approved collection[s] of information
discussed below.
Under Section 16(a) of the Securities
Exchange Act of 1934 (‘‘Exchange Act’’)
(15 U.S.C. 78a et seq.), every person
who owns more than ten percent of any
class of equity security (other than an
exempted security) which is requested
under Section 12 of the Exchange Act,
or who is a director or an officer of the
issuer of such security (collectively
‘‘reporting persons’’) are required to file
statements disclosing their ownership of
the issuer’s equity securities. Form 3
must be filed within ten days after the
event by which the person becomes a
reporting person. Approximately 21,968
insiders file Form 3 annually and it
takes approximately 0.50 hours to
prepare for a total of 10,984 annual
burden hours (0.50 hours per response
× 21,968 responses).
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 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].

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

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 13h–1 and Form 13H

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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. 75 / Wednesday, April 21, 2021 / Notices

Extension:
Form F–6

(‘‘Commission’’) has submitted to the
Office of Management and Budget this
request for extension of the previously
approved collection of information
discussed below.
Form F–6 (17 CFR 239.36) is a form
used by foreign companies to register
the offer and sale of American
Depositary Receipts (ADRs) under the
Securities Act of 1933 (15 U.S.C. 77a et
seq.). Form F–6 requires disclosure of
information regarding the terms of the
depository bank, fees charged, and a
description of the ADRs. No special
information regarding the foreign
company is required to be prepared or
disclosed, although the foreign company
must be one which periodically
furnishes information to the
Commission. The information is needed
to ensure that investors in ADRs have
full disclosure of information
concerning the deposit agreement and
the foreign company. Form F–6 takes
approximately 1.35 hour per response to
prepare and is filed by 643 respondents
annually. We estimate that 25% of the
1.35 hour per response (0.338 hours) is
prepared by the filer for a total annual
reporting burden of 217 hours (0.338
hours per response x 643 responses).
The information provided on Form F–6
is mandatory to best ensure full
disclosure of ADRs being issued in the
U.S. All information provided to the
Commission is available for public
review upon request.
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 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].

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

Dated: April 15, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.

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 Rule 13h–1 is considered
confidential subject to the limited
exceptions provided by the Freedom of
Information Act.4
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: April 15, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–08135 Filed 4–20–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–270, OMB Control No.
3235–0292]

Submission for OMB Review;
Comment Request

khammond on DSKJM1Z7X2PROD with NOTICES

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

[FR Doc. 2021–08142 Filed 4–20–21; 8:45 am]
4 See

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

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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–609, OMB Control
No.3235–0706]

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:
Form ABS–EE

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 this
request for extension of the previously
approved collection of information
discussed below.
Form ABS–EE (17 CFR 249.1401) is
filed by asset-backed issuers to provide
asset-level information for registered
offerings of asset-backed securities at
the time of securitization and on an
ongoing basis required by Item 1111(h)
of Regulation AB (17 CFR 229.1111(h)).
The purpose of the information
collected on Form ABS–EE is to
implement the disclosure requirements
of Section 7(c) of the Securities Act of
1933 (15 U.S.C. 77g(c)) to provide
information regarding the use of
representations and warranties in the
asset-backed securities markets. We
estimate that approximately 13,374
securitizers will file Form ABS–EE
annually at estimated 170,089 burden
hours per response. In addition, we
estimate that 25% of the 50.87152 hours
per response (12.71788 hours) is carried
internally by the securitizers for a total
annual reporting burden of 170,089
hours (12.71788 hours per response ×
13,374 responses).
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 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,

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