30 Day Notice

3235-0649 30 Day Notice.pdf

Rule 17g-5 Conflicts of Interest

30 Day Notice

OMB: 3235-0649

Document [pdf]
Download: pdf | pdf
36172

Federal Register / Vol. 86, No. 128 / Thursday, July 8, 2021 / Notices

• Send an email to rule-comments@
sec.gov. Please include File Number SR–
NYSE–2021–37 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
All submissions should refer to File
Number SR–NYSE–2021–37. This file
number should be included on the
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–NYSE–2021–37 and should
be submitted on or before July 29, 2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–14500 Filed 7–7–21; 8:45 am]

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BILLING CODE 8011–01–P

11 17

CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE
COMMISSION
[Extension: Rule 17g–8 & 9; OMB Control
No. 3235–0693]

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.
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
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17g–8 and 17g–9 (17 CFR 240.17g–
8 and 9) under the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.)
(‘‘Exchange Act’’).
Rule 17g–8 contains certain
requirements for Nationally Recognized
Statistical Rating Organizations
(‘‘NRSROs’’) to have policies and
procedures with respect to the
procedures and methodologies the
NRSRO uses to determine credit ratings,
with respect to the symbols, numbers, or
scores it uses to denote credit ratings, to
address instances in which a look-back
review determines that a conflict of
interest influenced a credit rating, and
to consider certain prescribed factors for
an effective internal structure. Rule 17g–
9 contains requirements for NRSROs to
ensure that any person employed by an
NRSRO to determine credit ratings
meets standards necessary to produce
accurate ratings. Currently, there are 9
credit rating agencies registered as
NRSROs with the Commission. The
Commission estimates that the total
burden for respondents to comply with
Rule 17g–8 is 1,305 hours and to
comply with Rule 17g–9 is 32,335
hours.
An agency may not conduct or
sponsor a collection of information
unless it displays a currently valid OMB
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a 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

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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: July 2, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–14581 Filed 7–7–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Extension: Rule 17g–5, OMB Control No.
3235–0649]

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
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
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17g–5 (17 CFR 240.17g–5) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
Rule 17g–5 requires the disclosure of
and establishment of procedures to
manage certain NRSRO conflicts of
interest, prohibits certain other NRSRO
conflicts of interest, and contains
requirements regarding the disclosure of
information in the case of the conflict of
interest of an NRSRO issuing or
maintaining a credit rating on an assetbacked security that was paid for by the
issuer, sponsor, or underwriter of the
security. The Commission currently
estimates that the total annual burden
for respondents to comply with Rule
17g–5 is 263,306 hours.
An agency may not conduct or
sponsor a collection of information
unless it displays a currently valid OMB
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid OMB control number.
The public may view background
documentation for this information
collection at the following website:

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Federal Register / Vol. 86, No. 128 / Thursday, July 8, 2021 / Notices
>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: July 2, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–14580 Filed 7–7–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–92321; File No. SR–NYSE–
Arca2021–29]

Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Designation of a
Longer Period for Commission Action
on a Proposed Rule Change To List
and Trade the Shares of
ConvexityShares 1x SPIKES Futures
ETF Under NYSE Arca Rule 8.200–E
(Trust Issued Receipts)

lotter on DSK11XQN23PROD with NOTICES1

July 2, 2021.

On May 13, 2021, NYSE Arca, Inc.
(‘‘NYSE Arca’’) filed with the Securities
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
list and trade shares of the
ConvexityShares 1x SPIKES Futures
ETF under NYSE Arca Rule 8.200–E,
Commentary .02 (Trust Issued Receipts).
The proposed rule change was
published for comment in the Federal
Register on May 26, 2021.3 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 proposed 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 publishes its
reasons for so finding, or as to which the
self-regulatory organization consents,
the Commission shall either approve the
1 15

U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 91952
(May 20, 2021), 86 FR 28410.
4 15 U.S.C. 78s(b)(2).
2 17

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that the total burden for respondents to
comply with Rule 17g–7 is 695,253
based on the number of NRSROs and
the number of credit rating actions.
An agency may not conduct or
sponsor a collection of information
unless it displays a currently valid OMB
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a 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].

SECURITIES AND EXCHANGE
COMMISSION

Dated: July 2, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.

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 this
proposed rule change is July 10, 2021.
The Commission is extending this 45day time period.
The Commission finds it 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, the Commission, pursuant
to Section 19(b)(2) of the Act,5
designates August 24, 2021 as the date
by which the Commission shall either
approve or disapprove, or institute
proceedings to determine whether to
disapprove, the proposed rule change
(File No. SR–NYSEArca–2021–29).
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.6
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–14607 Filed 7–7–21; 8:45 am]

[Extension: Rule 17g–7, OMB Control No.
3235–0656]

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
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
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17g–7 (17 CFR 240.17g–7) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
Rule 17g–7 contains disclosure
requirements for Nationally Recognized
Statistical Rating Organizations
(‘‘NRSROs’’) including certain
information to be published when
taking a rating action with respect to a
credit rating. There are 9 credit rating
agencies registered as NRSROs with the
Commission. The Commission estimates

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6 17

CFR 200.30–3(a)(31).

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[FR Doc. 2021–14583 Filed 7–7–21; 8:45 am]
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DEPARTMENT OF STATE
[Public Notice 11454]

Notice of Determinations; Culturally
Significant Objects Being Imported for
Exhibition—Determinations: ‘‘A Superb
Baroque: Art in Genoa, 1600–1750’’
Exhibition
Notice is hereby given of the
following determinations: I hereby
determine that certain objects being
imported from abroad pursuant to
agreements with their foreign owners or
custodians for temporary display in the
exhibition ‘‘A Superb Baroque: Art in
Genoa, 1600–1750’’ at the National
Gallery of Art, Washington, District of
Columbia, and at possible additional
exhibitions or venues yet to be
determined, are of cultural significance,
and, further, that their temporary
exhibition or display within the United
States as aforementioned is in the
national interest. I have ordered that
Public Notice of these determinations be
published in the Federal Register.
FOR FURTHER INFORMATION CONTACT: Chi
D. Tran, Program Administrator, Office
of the Legal Adviser, U.S. Department of
State (telephone: 202–632–6471; email:
SUMMARY:

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