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]

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
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

VerDate Sep<11>2014

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].

20755

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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