60 Day Notice

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Federal Register / Vol. 86, No. 126 / Tuesday, July 6, 2021 / Notices

Applicants’ Condition
Applicants agree that any order
granting the requested relief will be
subject to the following condition:
Each Fund relying on the requested
order will comply with the provisions of
rules 6c–10, 12b–1, 17d–3, 18f–3, 22d–
1 and, where applicable, 11a–3 under
the 1940 Act, as amended from time to
time or replaced, as if those rules
applied to closed-end management
investment companies, and will comply
with FINRA Rule 2341, as amended
from time to time, as if that rule applies
to all closed-end management
investment companies.
For the Commission, by the Division of
Investment Management, under delegated
authority.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–14261 Filed 7–2–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–450, OMB Control No.
3235–0505]

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 303 of Regulation ATS

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 303 of Regulation
ATS (17 CFR 242.303) under 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.
Regulation ATS sets forth a regulatory
regime for ‘‘alternative trading systems’’
(‘‘ATSs’’), which are entities that carry
out exchange functions but are not
required to register as national securities
exchanges under the Act. In lieu of
exchange registration, an ATS can
instead opt to register with the
Commission as a broker-dealer and, as
a condition to not having to register as
an exchange, must instead comply with
Regulation ATS. Rule 303 of Regulation
ATS (17 CFR 242.303) describes the

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record preservation requirements for
ATSs. Rule 303 also describes how such
records must be maintained, what
entities may perform this function, and
how long records must be preserved.
Under Rule 303, ATSs are required to
preserve all records made pursuant to
Rule 302, which includes information
relating to subscribers, trading
summaries, and time-sequenced order
information. Rule 303 also requires
ATSs to preserve any notices provided
to subscribers, including, but not
limited to, notices regarding the ATSs
operations and subscriber access. For an
ATS subject to the fair access
requirements described in Rule
301(b)(5)(ii) of Regulation ATS, Rule
303 further requires the ATS to preserve
at least one copy of its standards for
access to trading, all documents relevant
to the ATS’s decision to grant, deny, or
limit access to any person, and all other
documents made or received by the ATS
in the course of complying with Rule
301(b)(5) of Regulation ATS. For an ATS
subject to the capacity, integrity, and
security requirements for automated
systems under Rule 301(b)(6) of
Regulation ATS, Rule 303 requires an
ATS to preserve all documents made or
received by the ATS related to its
compliance, including all
correspondence, memoranda, papers,
books, notices, accounts, reports, test
scripts, test results, and other similar
records. Rule 303(a)(1)(v) of Regulation
ATS requires every ATS to preserve the
written safeguards and written
procedures mandated under Rule
301(b)(10). As provided in Rule
303(a)(1), ATSs are required to keep all
of these records, as applicable, for a
period of at least three years, the first
two in an easily accessible place. In
addition, Rule 303 requires ATSs to
preserve records of partnership articles,
articles of incorporation or charter,
minute books, stock certificate books,
copies of reports filed pursuant to Rule
301(b)(2) and Rule 304, and records
made pursuant to Rule 301(b)(5) for the
life of the ATS. ATSs that trade both
NMS Stock and securities other than
NMS Stock are required to file, and also
preserve under Rule 303, both Form
ATS and related amendments and Form
ATS–N and related amendments.
The information contained in the
records required to be preserved by Rule
303 will be used by examiners and other
representatives of the Commission, state
securities regulatory authorities, and the
self-regulatory organizations to ensure
that ATSs are in compliance with
Regulation ATS as well as other
applicable rules and regulations.
Without the data required by the Rule,
regulators would be limited in their

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ability to comply with their statutory
obligations, provide for the protection of
investors, and promote the maintenance
of fair and orderly markets. Respondents
consist of ATSs that choose to register
as broker-dealers and comply with the
requirements of Regulation ATS.
There are currently 94 respondents.
The Commission believes that the
average ongoing hourly burden for a
respondent to comply with the baseline
record preservation requirements under
Rule 303 is approximately 15 hours per
year. We thus estimate that the average
aggregate ongoing burden to comply
with the baseline Rule 303 record
preservation requirements is
approximately 1,410 hours per year (94
ATSs × 15 hours = 1,410 hours). In
addition, there are currently two ATSs
that transact in both NMS stock and
non-NMS stock on their ATSs. These
two ATSs have a slightly greater burden
because they have to keep both Form
ATS and Form ATS–N and related
documents (e.g., amendments). For
these two ATS’s, we estimate that the
ongoing burden above the current
baseline estimate for preserving records
will be approximately 1 hour annually
per ATS for a total annual burden above
the current baseline burden estimate of
2 hours for all respondents. Thus, the
estimated average annual aggregate
burden for alternative trading systems to
comply with Rule 303 is approximately
1,412 hours (1,410 hours + 2 hours).
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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Federal Register / Vol. 86, No. 126 / Tuesday, July 6, 2021 / Notices
Dated: June 29, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.

SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #17005 and #17006;
FLORIDA Disaster Number FL–00167]

[FR Doc. 2021–14263 Filed 7–2–21; 8:45 am]
BILLING CODE 8011–01–P

Administrative Declaration of a
Disaster for the State of Florida

SECURITIES AND EXCHANGE
COMMISSION

TIME AND DATE:

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

2 p.m. on Thursday, July

8, 2021.
The meeting will be held via
remote means and/or at the
Commission’s headquarters, 100 F
Street NE, Washington, DC 20549.
STATUS: This meeting will be closed to
the public.
MATTERS TO BE CONSIDERED:
Commissioners, Counsel to the
Commissioners, the Secretary to the
Commission, and recording secretaries
will attend the closed meeting. Certain
staff members who have an interest in
the matters also may be present.
In the event that the time, date, or
location of this meeting changes, an
announcement of the change, along with
the new time, date, and/or place of the
meeting will be posted on the
Commission’s website at https://
www.sec.gov.
The General Counsel of the
Commission, or his designee, has
certified that, in his opinion, one or
more of the exemptions set forth in 5
U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B)
and (10) and 17 CFR 200.402(a)(3),
(a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and
(a)(10), permit consideration of the
scheduled matters at the closed meeting.
The subject matter of the closed
meeting will consist of the following
topics:
Institution and settlement of
injunctive actions;
Institution and settlement of
administrative proceedings;
Resolution of litigation claims; and
Other matters relating to examinations
and enforcement proceedings.
At times, changes in Commission
priorities require alterations in the
scheduling of meeting agenda items that
may consist of adjudicatory,
examination, litigation, or regulatory
matters.
CONTACT PERSON FOR MORE INFORMATION:
For further information; please contact
Vanessa A. Countryman from the Office
of the Secretary at (202) 551–5400.

jbell on DSKJLSW7X2PROD with NOTICES

PLACE:

Dated: July 1, 2021.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2021–14427 Filed 7–1–21; 11:15 am]

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Jkt 253001

Isabella Guzman,
Administrator.
[FR Doc. 2021–14305 Filed 7–2–21; 8:45 am]

This is a notice of an
Administrative declaration of a disaster
for the State of FLORIDA dated 06/29/
2021.
Incident: Surfside Building Collapse.
Incident Period: 06/24/2021.
DATES: Issued on 06/29/2021.
Physical Loan Application Deadline
Date: 08/30/2021.
Economic Injury (EIDL) Loan
Application Deadline Date: 03/29/2022.
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,
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
Administrator’s disaster declaration,
applications for disaster loans may be
filed 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: Miami-Dade.
Contiguous Counties:
Florida: Broward, Collier, Monroe.
The Interest Rates are:
SUMMARY:

Percent
For Physical Damage:
Homeowners with Credit Available Elsewhere ......................
Homeowners without Credit
Available Elsewhere ..............
Businesses with Credit Available Elsewhere ......................
Businesses
without
Credit
Available Elsewhere ..............
Non-Profit Organizations with
Credit Available Elsewhere ...
Non-Profit Organizations without Credit Available Elsewhere .....................................
For Economic Injury:
Businesses & Small Agricultural
Cooperatives without Credit
Available Elsewhere ..............
Non-Profit Organizations without Credit Available Elsewhere .....................................

BILLING CODE 8011–01–P

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The number assigned to this disaster
for physical damage is 17005 U and for
economic injury is 17006 0.
The State which received an EIDL
Declaration # is Florida.
(Catalog of Federal Domestic Assistance
Number 59008)

AGENCY:

Sunshine Act Meetings

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3.250
1.625
5.760
2.880

BILLING CODE 8026–03–P

SMALL BUSINESS ADMINISTRATION
Reporting and Recordkeeping
Requirements Under OMB Review
Small Business Administration.
30-Day notice.

AGENCY:
ACTION:

The Small Business
Administration (SBA) is seeking
approval from the Office of Management
and Budget (OMB) for the information
collection described below. In
accordance with the Paperwork
Reduction Act and OMB procedures,
SBA is publishing this notice to allow
all interested member of the public an
additional 30 days to provide comments
on the proposed collection of
information.

SUMMARY:

Submit comments on or before
August 5, 2021.
ADDRESSES: Written comments and
recommendations for this information
collection request should be sent within
30 days of publication of this notice to
www.reginfo.gov/public/do/PRAMain.
Find this particular information
collection request by selecting ‘‘Small
Business Administration’’; ‘‘Currently
Under Review,’’ then select the ‘‘Only
Show ICR for Public Comment’’
checkbox. This information collection
can be identified by title and/or OMB
Control Number.
FOR FURTHER INFORMATION CONTACT: You
may obtain a copy of the information
collection and supporting documents
from the Agency Clearance Office at
[email protected]; (202) 205–7030, or
from www.reginfo.gov/public/do/
PRAMain.
DATES:

As
authorized by the Coronavirus
Preparedness and Response
Supplemental Appropriations Act,
2.000 2020, the Coronavirus Aid, Relief, and
Economic Security Act (CARES Act),
the Paycheck Protection Program and
Health Care Enhancement Act, and the
2.880 new Economic Aid to Hard-Hit Small
Businesses, Nonprofits, and Venues Act,
the Small Business Administration
2.000
(SBA) has been providing COVID–19
SUPPLEMENTARY INFORMATION:

2.000

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