60 Day Notice

3235-0686 (REVISED) 60 Day Notice.pdf

Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 Form WB-APP and Form TCR

60 Day Notice

OMB: 3235-0686

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Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Notices
POSTAL SERVICE
Product Change—Priority Mail
Negotiated Service Agreement
AGENCY:
ACTION:

Postal ServiceTM.

Notice.

SUMMARY: The Postal Service gives
notice of filing a request with the Postal
Regulatory Commission to add a
domestic shipping services contract to
the list of Negotiated Service
Agreements in the Mail Classification
Schedule’s Competitive Products List.

Date of required notice:
December 23, 2020.

DATES:

FOR FURTHER INFORMATION CONTACT:

Sean Robinson, 202–268–8405.
The
United States Postal Service® hereby
gives notice that, pursuant to 39 U.S.C.
3642 and 3632(b)(3), on December 11,
2020, it filed with the Postal Regulatory
Commission a USPS Request to Add
Priority Mail Contract 683 to
Competitive Product List. Documents
are available at www.prc.gov, Docket
Nos. MC2021–44, CP2021–45.
SUPPLEMENTARY INFORMATION:

Sean Robinson,
Attorney, Corporate and Postal Business Law.
[FR Doc. 2020–28446 Filed 12–22–20; 8:45 am]
BILLING CODE 7710–12–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–625, OMB Control No.
3235–0686]

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

jbell on DSKJLSW7X2PROD with NOTICES

Extension:
Implementing the Whistleblower
Provisions of Section 21F of the
Securities Exchange Act of 1934—Form
TCR and Form WB–APP

Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
Securities and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit an extension for this
current collection of information to the
Office of Management and Budget for
approval.

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21:21 Dec 22, 2020

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In Release No. 34–64545,1 the
Commission adopted rules (‘‘Rules’’)
and forms to implement Section 21F of
the Securities Exchange Act of 1934
entitled ‘‘Securities Whistleblower
Incentives and Protection,’’ which was
created by Section 922 of the DoddFrank Wall Street Reform and Consumer
Protection Act (‘‘Dodd-Frank Act’’).2
The Rules describe the whistleblower
program that the Commission has
established pursuant to the Dodd-Frank
Act which requires the Commission to
pay an award, subject to certain
limitations and conditions, to
whistleblowers who voluntarily provide
the Commission with original
information about a violation of the
federal securities laws that leads to the
successful enforcement of a covered
judicial or administrative action, or of a
related action. The Rules define certain
terms critical to the operation of the
whistleblower program, outline the
procedures for applying for awards and
the Commission’s procedures for
making decisions on claims, and
generally explain the scope of the
whistleblower program to the public
and to potential whistleblowers.
Form TCR is a form submitted by
whistleblowers who wish to provide
information to the Commission and its
staff regarding potential violations of the
securities laws. Form TCR is required
for submission of information under the
Rules. The Commission estimates that it
takes a whistleblower, on average, one
and one-half hours to complete Form
TCR. Based on the receipt of
approximately 560 annual responses on
average for the past three fiscal years,
the Commission estimates that the
annual PRA burden of Form TCR is 840
hours.
Form WB–APP is a form that is
submitted by whistleblowers filing a
claim for a whistleblower award. Form
WB–APP is required for application for
an award under the Rules. On December
4, 2020, the Commission approved an
updated version of the WB–APP in
accordance with its newly amended
rules.3 The updated WB–APP removes
the requirement for the filer to submit
their Social Security Number and
modified the order of the questions on
the form. No substantive changes were
made to the WB–APP. The Commission
estimates that it takes a whistleblower,
on average, two hours to complete Form
1 Implementation

of the Whistleblower Provisions
of Section 21F of the Securities Exchange Act of
1934, Release No. 34–64545; File No. S7–33–10
(adopted May 25, 2011).
2 Public Law 111–203, 922(a), 124 Stat 1841
(2010).
3 Whistleblower Program Rules, 85 FR 70898
(Nov. 5, 2020).

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WB–APP. The completion time depends
largely on the complexity of the alleged
violation and the amount of information
the whistleblower possesses in support
of his or her application for an award.
Based on the receipt of approximately
215 annual responses on average for the
past three fiscal years, the Commission
estimates that the annual PRA burden of
Form WB–APP is 430 hours. The total
estimated annual reporting burden for
Form TCR and Form WB–APP is 1,270
hours.
Written comments are invited on: (a)
Whether this collection of information
is necessary for the proper performance
of the functions of the agency, including
whether the information will have
practical utility; (b) the accuracy of the
agency’s estimate of the burden imposed
by the 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. Please direct your written
comments to David Bottom, Director/
Chief Information Officer, Securities
and Exchange Commission, c/o Cynthia
Roscoe, 100 F St. NE, Washington DC
20549; or send an email to: PRA_
[email protected].
Dated: December 18, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–28425 Filed 12–22–20; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–90695; File No. SR–
NYSEArca–2020–110]

Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change Regarding the
Description of the ‘‘Indicative
Partnership Value’’ Disseminated in
Connection With Trading of ‘‘Units’’ of
the United States Oil Fund, LP
December 17, 2020.

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 December
1 15

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

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