60 Day Notice

3235-0128 60 Day Notice.pdf

Exchange Act Rule 12f-1 – Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1)

60 Day Notice

OMB: 3235-0128

Document [pdf]
Download: pdf | pdf
Federal Register / Vol. 86, No. 12 / Thursday, January 21, 2021 / Notices
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 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–CboeBZX–2021–003 and
should be submitted on or before
February 11, 2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.21
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–01132 Filed 1–19–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–90917; File No. SR–NYSE–
2020–95]

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Self-Regulatory Organizations; New
York Stock Exchange LLC, Notice of
Designation of a Longer Period for
Commission Action on a Proposed
Rule Change To Make Permanent
Commentaries to Rule 7.35A and
Commentaries to Rule 7.35B and Make
Related Changes to Rules 7.32, 7.35C,
46B, and 47

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January 13, 2021.

On November 13, 2020, New York
Stock Exchange LLC (‘‘NYSE’’ or the
‘‘Exchange’’) filed with the Securities
21 17

CFR 200.30–3(a)(12).

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20:44 Jan 19, 2021

and Exchange Commission
(‘‘Commission’’), pursuant to Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Act’’) 1 and Rule 19b–4
thereunder,2 a proposed rule change to
make permanent Commentaries .01(a)
and (b) and .06 to Rule 7.35A (DMMFacilitated Core Open and Trading Halt
Auctions) and Commentaries .01 and
.03 to Rule 7.35B (DMM-Facilitated
Closing Auctions) and make related
changes to Rules 7.32 (Order Entry),
7.35C (Exchange-Facilitated Closing
Auctions), 46B (Regulatory Trading
Official), and 47 (Floor Officials—
Unusual Situations). The proposed rule
change was published for comment in
the Federal Register on December 1,
2020.3 The Commission has received no
comment letters on the proposed rule
change.
Section 19(b)(2) of the Act 4 provides
that within 45 days of the publication of
notice of the filing of a propose rule
change, or within such longer period up
to 90 days as the Commission may
designate if it finds such longer period
to be appropriate and published its
reasons for so finding or as to which the
self-regulatory organization consents,
the Commission shall either approve the
proposed rule change, disapprove the
proposed rule change, or institute
proceedings to determine whether the
proposed rule change should be
disapproved. The 45th day after
publication of the Notice for the
proposed rule change is January 15,
2021. The Commission is extending this
45-day period.
The Commission finds that it is
appropriate to designate a longer period
within which to take action on the
proposed rule change so that it has
sufficient time to consider the proposed
rule change. Accordingly, pursuant to
Section 19(b)(2) of the Act,5 the
Commission designates March 1, 2021,
as the date by which the Commission
shall either approve or disapprove, or
institute proceedings to determine
whether to approve or disapprove, the
proposed rule change (File No. SR–
NYSE–2020–95).

Jkt 253001

U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 90495
(November 24, 2020), 85 FR 77304 (December 1,
2020) (SR–NYSE–2020–95).
4 15 U.S.C. 78s(b)(2).
5 15 U.S.C. 78s(b)(2).
2 17

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For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.6
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–01135 Filed 1–19–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–139, OMB Control No.
3235–0128]

Proposed Collection; Comment
Request
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:
Rule 12f–1

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 12f–1 (17 CFR
240.12f–1), under the Securities
Exchange Act of 1934 (‘‘Act’’) (15 U.S.C.
78a et seq.). The Commission plans to
submit this existing collection of
information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Rule 12f–1 (‘‘Rule’’), originally
adopted in 1979 pursuant to Sections
12(f) and 23(a) of the Act, and as further
modified in 1995 and 2005, sets forth
the requirements for filing an exchange
application to reinstate unlisted trading
privileges (‘‘UTP’’) in a security in
which UTP has been suspended by the
Commission pursuant to Section
12(f)(2)(A) of the Act. Under Rule
12f–1, an exchange must submit one
copy of an application for reinstatement
of UTP to the Commission that contains
specified information, as set forth in the
Rule. The application for reinstatement,
pursuant to the Rule, must provide the
name of the issuer, the title of the
security, the name of each national
securities exchange, if any, on which
the security is listed or admitted to
unlisted trading privileges, whether
transaction information concerning the
security is reported pursuant to an
effective transaction reporting plan
contemplated by Rule 601 of Regulation
NMS, the date of the Commission’s
suspension of unlisted trading
privileges in the security on the
6 17

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CFR 200.30–3(a)(31).

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Federal Register / Vol. 86, No. 12 / Thursday, January 21, 2021 / Notices

exchange, and any other pertinent
information related to whether the
reinstatement of UTP in the subject
security is consistent with the
maintenance of fair and orderly markets
and the protection of investors. Rule
12f–1 further requires a national
securities exchange seeking to reinstate
its ability to extend unlisted trading
privileges in a security to indicate that
it has provided a copy of such
application to the issuer of the security,
as well as to any other national
securities exchange on which the
security is listed or admitted to unlisted
trading privileges.
The information required by Rule
12f–1 enables the Commission to make
the necessary findings under the Act
prior to granting applications to
reinstate unlisted trading privileges.
This information is also made available
to members of the public who may wish
to comment upon the applications.
Without the Rule, the Commission
would be unable to fulfill these
statutory responsibilities.
There are currently 24 national
securities exchanges subject to Rule
12f–1. The burden of complying with
Rule 12f–1 arises when a potential
respondent seeks to reinstate its ability
to extend unlisted trading privileges to
any security for which unlisted trading
privileges have been suspended by the
Commission, pursuant to Section
12(f)(2)(A) of the Act. The staff estimates
that each application would require
approximately one hour to complete.
Thus each potential respondent would
incur on average one burden hour in
complying with the Rule.
The Commission staff estimates that
there could be as many as 24 responses
annually for an aggregate annual hour
burden for all respondents of
approximately 24 hours (24 responses ×
1 hour per response). Each respondent’s
related internal cost of compliance for
Rule 12f–1 would be approximately
$221.00, or, the cost of one hour of
professional work of a paralegal needed
to complete the application. The total
annual cost of compliance for all
potential respondents, therefore, is
approximately $5,304 (24 responses ×
$221.00 per response).
Compliance with Rule 12f–1 is
mandatory. Rule 12f–1 does not have a
record retention requirement per se.
However, responses made pursuant to
Rule 12f–1 are subject to the
recordkeeping requirements of Rules
17a–3 and 17a–4 of the Act. Information
received in response to Rule 12f–1 shall
not be kept confidential; the information
collected is public information.
Written comments are invited on: (a)
Whether the proposed collection of

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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].
Dated: January 14, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–01245 Filed 1–19–21; 8:45 am]
BILLING CODE 8011–01–P

SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #16846 and #16847;
Georgia Disaster Number GA–00123]

Presidential Declaration of a Major
Disaster for Public Assistance Only for
the State of Georgia

U.S. Small Business Administration,
409 3rd Street SW, Suite 6050,
Washington, DC 20416, (202) 205–6734.
SUPPLEMENTARY INFORMATION: Notice is
hereby given that as a result of the
President’s major disaster declaration on
01/12/2021, Private Non-Profit
organizations that provide essential
services of a governmental nature may
file disaster loan applications at the
address listed above or other locally
announced locations.
The following areas have been
determined to be adversely affected by
the disaster:
Primary Counties: Banks, Carroll,
Cherokee, Dawson, Douglas,
Fannin, Forsyth, Franklin, Gilmer,
Habersham, Hall, Haralson, Heard,
Lumpkin, Paulding, Pickens,
Rabun, Stephens, Towns, Union,
White.
The Interest Rates are:
Percent
For Physical Damge:
Non-Profit Oganization With
Credit Available Elsewhere ...
Non-Profit Oganization Without
Credit Available Elsehere ......
For Economic Injury:
Non-Profit Organizations Without Credit Available Elsewhere .....................................

2.750
2.750

2.750

The number assigned to this disaster
for physical damage is 168468 and for
economic injury is 168470.
(Catalog of Federal Domestic Assistance
Number 59008)
Cynthia Pitts,
Acting Associate Administrator for Disaster
Assistance.
[FR Doc. 2021–01183 Filed 1–19–21; 8:45 am]

U.S. Small Business
Administration.
ACTION: Notice.

BILLING CODE 8026–03–P

This is a Notice of the
Presidential declaration of a major
disaster for Public Assistance Only for
the State of Georgia (FEMA–4579–DR),
dated 01/12/2021.
Incident: Tropical Storm Zeta.
Incident Period: 10/29/2020.
DATES: Issued on 01/12/2021.
Physical Loan Application Deadline
Date: 03/15/2021.
Economic Injury (EIDL) Loan
Application Deadline Date: 10/12/2021.
ADDRESSES: Submit completed loan
applications to: U.S. Small Business
Administration, Processing and
Disbursement Center, 14925 Kingsport
Road, Fort Worth, TX 76155.
FOR FURTHER INFORMATION CONTACT: A.
Escobar, Office of Disaster Assistance,

[Disaster Declaration #16842 and #16843;
Louisiana Disaster Number LA–00106]

AGENCY:

SUMMARY:

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SMALL BUSINESS ADMINISTRATION

Presidential Declaration of a Major
Disaster for the State of Louisiana
U.S. Small Business
Administration.
ACTION: Notice.
AGENCY:

This is a Notice of the
Presidential declaration of a major
disaster for the State of Louisiana
(FEMA–4577–DR), dated 1/12/2021.
Incident: Hurricane Zeta.
Incident Period: 10/26/2020 through
10/29/2020.
DATES: Issued on 01/12/2021.
Physical Loan Application Deadline
Date: 03/15/2021.
SUMMARY:

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