60 Day Notice

Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices

33799

Isl

(signature of individual receiving access)
(print name of individual receiving access)
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You may delete the instructional text to complete this form. This form may be filed as an attachment to
the motion for access to non-public materials under 39 CFR 3011.301 (b)(6).

BILLING CODE 7710–FW–C

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–451, OMB Control No.
3235–0509]

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

lotter on DSK11XQN23PROD with NOTICES1

Extension:
Rule 301 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 301 of Regulation
ATS (17 CFR 242.301) 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 provides a regulatory
structure for alternative trading systems.
Rule 301 of Regulation ATS contains
certain record keeping and reporting
requirements, as well as additional
obligations that apply only to alternative
trading systems with significant volume.
The Rule requires all alternative trading
systems that wish to comply with
Regulation ATS to file an initial
operations report on Form ATS.
Alternative trading systems are also
required to supply updates on Form

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ATS to the Commission describing
material changes to the system, file
quarterly transaction reports on Form
ATS–R, and file cessation of operations
reports on Form ATS. An alternative
trading system with significant volume
is required to comply with requirements
for fair access and systems capacity,
integrity, and security. Rule 301 also
imposes certain requirements pertaining
to written safeguards and procedures to
protect subscribers’ confidential trading
information.
The Commission staff estimates that
entities subject to the requirements of
Rule 301 will spend a total of
approximately 2,687 hours a year to
comply with the Rule.
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

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Roscoe, 100 F Street NE, Washington,
DC 20549, or send an email to: PRA_
[email protected].
Dated: June 21, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–13508 Filed 6–24–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–346, OMB Control No.
3235–0392]

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
Extension:
Rule 15g–3

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 15g–3—Broker or
dealer disclosure of quotations and
other information relating to the penny
stock market (17 CFR 240.15g–3) under
the Securities Exchange Act of 1934 (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 15g–3 requires that brokers and
dealers disclose to customers current
quotation prices or similar market
information in connection with
transactions in penny stocks. The

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EN25JN21.008

[FR Doc. 2021–13515 Filed 6–24–21; 8:45 am]

33800

Federal Register / Vol. 86, No. 120 / Friday, June 25, 2021 / Notices

purpose of the rule is to increase the
level of disclosure to investors
concerning penny stocks generally and
specific penny stock transactions.
The Commission estimates that
approximately 178 broker-dealers will
each spend an average of approximately
87.0833333 hours annually to comply
with this rule. Thus, the total time
burden is approximately 15,501 hours
per year.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information to be 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: June 21, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–13507 Filed 6–24–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–347, OMB Control No.
3235–0393]

lotter on DSK11XQN23PROD with NOTICES1

Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
Washington, DC 20549–2736
Extension:
Rule 15g–4

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

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18:38 Jun 24, 2021

Jkt 253001

(‘‘Commission’’) is soliciting comments
on the existing collection of information
provided for in Rule 15g–4—Disclosure
of compensation to brokers or dealers
(17 CFR 240.15g–4) under the Securities
Exchange Act of 1934 (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 15g–4 requires brokers and
dealers effecting transactions in penny
stocks for or with customers to disclose
the amount of compensation received by
the broker-dealer in connection with the
transaction. The purpose of the rule is
to increase the level of disclosure to
investors concerning penny stocks
generally and specific penny stock
transactions.
The Commission estimates that
approximately 178 broker-dealers will
each spend an average of approximately
87.0833333 hours annually to comply
with this rule. Thus, the total time
burden is approximately 15,501 hours
per year.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information to be 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: June 21, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–13505 Filed 6–24–21; 8:45 am]
BILLING CODE 8011–01–P

PO 00000

Frm 00168

Fmt 4703

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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–151, OMB Control No.
3235–0291]

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:
Rules 17Ad–6 and 17Ad–7

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 previously approved
collection of information provided for in
Rule 17Ad–6 (17 CFR 240.17Ad–6) and
Rule 17Ad–7 (17 CFR 240.17Ad–7)
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) (‘‘Exchange
Act’’).
Rule 17Ad–6 under the Exchange Act
requires every registered transfer agent
to make and keep current records about
a variety of information, such as: (1)
Specific operational data regarding the
time taken to perform transfer agent
activities (to ensure compliance with
the minimum performance standards in
Rule 17Ad–2 (17 CFR 240.17Ad–2)); (2)
written inquiries and requests by
shareholders and broker-dealers and
response time thereto; (3) resolutions,
contracts, or other supporting
documents concerning the appointment
or termination of the transfer agent; (4)
stop orders or notices of adverse claims
to the securities; and (5) all canceled
registered securities certificates.
Rule 17Ad–7 under the Exchange Act
requires each registered transfer agent to
retain the records specified in Rule
17Ad–6 in an easily accessible place for
a period of six months to six years,
depending on the type of record or
document. Rule 17Ad–7 also specifies
the manner in which records may be
maintained using electronic, microfilm,
and microfiche storage methods.
These recordkeeping requirements are
designed to ensure that all registered
transfer agents are maintaining the
records necessary for transfer agents to
monitor and keep control over their own
performance and for the Commission to
adequately examine registered transfer
agents on an historical basis for
compliance with applicable rules.
The Commission estimates that
approximately 359 registered transfer

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