Form SF-3 30 Day Federal Register Notice

38518

Federal Register / Vol. 86, No. 137 / Wednesday, July 21, 2021 / Notices

change provides further transparency to
investors with respect to the process the
Exchange will use in the event the
circumstances discussed above
transpire.
The proposed rule change would
promote the public interest and the
protection of investors by eliminating
the need for manual determinations and
replacing it with a more consistent and
transparent procedure that would be
applied by the Exchange’s trading
systems on an automated basis. Indeed,
instead of relying on Trade Desk staff to
manually halt or re-open trading, the
trading halt or resumption of trading
would automatically take place in the
manner detailed above. Additionally,
notwithstanding the proposed
automated processes, the Exchange
would continue to have the authority to
manually halt and resume trading
outside of these processes if it’s
determined to be in the interests of a fair
and orderly market or under other
enumerated circumstances set forth
under Rules 5.20(a) and (b).
The Exchange believes the proposed
rule change is designed to help ensure
that halting and resumption of trading
happens in an automated and efficient
fashion, while also maintaining the
important link between the trading of
index options on the Exchange and the
trading of related futures on CME during
GTH.
B. Self-Regulatory Organization’s
Statement on Burden on Competition

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The Exchange does not believe that
the proposed rule change would impose
any burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act. The
proposed rule change is designed to
facilitate a more efficient and automated
halting of trading and resumption of
trading in limited circumstances during
the Exchange’s GTH session and is not
designed to address any competitive
issues. The Exchange therefore does not
believe that the proposed rule change
would have any significant impact on
competition. Rather than impact the
competitive environment, the proposed
rule change would benefit members and
investors by eliminating the need for
manual processes under certain
circumstances and provide further
transparency in the rules.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were solicited
or received on the proposed rule
change.

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17:26 Jul 20, 2021

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III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule
change does not:
A. Significantly affect the protection
of investors or the public interest;
B. impose any significant burden on
competition; and
C. become operative for 30 days from
the date on which it was filed, or such
shorter time as the Commission may
designate, it has become effective
pursuant to Section 19(b)(3)(A) of the
Act 25 and Rule 19b–4(f)(6) 26
thereunder. At any time within 60 days
of the filing of the proposed rule change,
the Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act. If the
Commission takes such action, the
Commission will institute proceedings
to determine whether the proposed rule
change should be approved or
disapproved.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
Electronic Comments
• Use the Commission’s internet
comment form (http://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
CBOE–2021–040 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–CBOE–2021–040. 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

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25 15
26 17

U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(6).

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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–CBOE–2021–040 and
should be submitted on or before
August 11, 2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.27
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–15441 Filed 7–20–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–638, OMB Control No.
3235–0690]

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:
Form SF–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
request for extension of the previously
approved collection of information
discussed below.
Form SF–3 (17 CFR 239.45) is a short
form registration statement used for
non-shelf issuers of asset-backed
securities to register a public offering of
their securities under the Securities Act
of 1933 (15 U.S.C. 77a et seq.). Form
27 17

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CFR 200.30–3(a)(12).

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Federal Register / Vol. 86, No. 137 / Wednesday, July 21, 2021 / Notices
SF–3 takes approximately 1,380 hours
per response and is filed by
approximately 71 issuers annually. The
information collected is intended to
ensure that the information required to
be filed by the Commission permits
verification of compliance with
securities law requirements and assures
the public availability of such
information in the asset-backed
securities market. We estimate that 25%
of the 1,383.21 hours per response
(345.80 hours) is prepared by the issuer
for a total annual reporting burden of
24,552 hours (345.80 hours per response
× 71 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].
Dated: July 1, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–15435 Filed 7–20–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION

Dated: July 15, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.

[SEC File No. 270–334, OMB Control No.
3235–0380]

Submission for OMB Review;
Comment Request

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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
request for extension of the previously

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1 44

BILLING CODE 8011–01–P

Extension:
Form F–10

17:26 Jul 20, 2021

on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Rule 22c–2 (17 CFR 270.22c–2) under
the Investment Company Act of 1940
(15 U.S.C. 80a) (the ‘‘Investment
Company Act’’ or ‘‘Act’’) requires the
board of directors (including a majority
of independent directors) of most
registered open-end investment
companies (‘‘funds’’) to either approve a
redemption fee of up to two percent or
determine that imposition of a
redemption fee is not necessary or
appropriate for the fund. Rule 22c–2
also requires a fund to enter into written
agreements with their financial
intermediaries (such as broker-dealers
and retirement plan administrators)
under which the fund, upon request,
can obtain certain shareholder identity
and trading information from the
intermediaries. The written agreement
must also allow the fund to direct the
intermediary to prohibit further
purchases or exchanges by specific
shareholders that the fund has
identified as being engaged in
transactions that violate the fund’s
market timing policies. These
requirements enable funds to obtain the
information that they need to monitor
the frequency of short-term trading in
omnibus accounts and enforce their
market timing policies.
The rule includes three ‘‘collections
of information’’ within the meaning of
the Paperwork Reduction Act of 1995
(‘‘PRA’’).1 First, the rule requires boards
to either approve a redemption fee of up
to two percent or determine that
imposition of a redemption fee is not
necessary or appropriate for the fund.
Second, funds must enter into
information sharing agreements with all
of their ‘‘financial intermediaries’’ 2 and
maintain a copy of the written
information sharing agreement with
each intermediary in an easily

[FR Doc. 2021–15431 Filed 7–20–21; 8:45 am]

Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736

VerDate Sep<11>2014

approved collection of information
discussed below.
Form F–10 (17 CFR 239.40) is a
registration statement under the
Securities Act of 1933 (15 U.S.C. 77a et
seq.) that may be used by a foreign
private issuer that: Is incorporated or
organized in Canada; has been subject
to, and in compliance with, Canadian
reporting requirements for at least 12
months; and has an aggregate market
value of common stock held by nonaffiliates of at least $75 million. The
purpose of this information collection is
to permit verification of compliance
with securities law requirements and
assure the public availability of such
information. We estimate that Form F–
10 takes 28.98 hours per response and
is filed by 77 respondents. We further
estimate that 25% of the 28.98 hours per
response (7.25 hours) is prepared by the
issuer for an annual reporting burden of
558 hours (7.25 hours per response × 77
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].

38519

U.S.C. 3501–3520.
rule defines a Financial Intermediary as: (i)
Any broker, dealer, bank, or other person that holds
securities issued by the fund in nominee name; (ii)
a unit investment trust or fund that invests in the
fund in reliance on section 12(d)(i)(E) of the Act;
and (iii) in the case of a participant directed
employee benefit plan that owns the securities
issued by the fund, a retirement plan’s
administrator under section 316(A) of the Employee
Retirement Security Act of 1974 (29 U.S.C.
1002(16)(A) or any person that maintains the plans’
participant records. Financial Intermediary does not
include any person that the fund treats as an
individual investor with respect to the fund’s
policies established for the purpose of eliminating
or reducing any dilution of the value of the
outstanding securities issued by the fund. Rule 22c–
2(c)(1).
2 The

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–541, OMB Control No.
3235–0620]

Proposed Collection; Comment
Request; Extension: Rule 22c–2
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 (the
‘‘Commission’’) is soliciting comments

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