30 Day Notice

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Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices

who is expected to actually purchase
the security in the offering) at least 48
hours prior to the sending of such
confirmation. This requirement is
sometimes referred to as the ‘‘48 hour
rule.’’
Additionally, managing underwriters
are required to take reasonable steps to
ensure that all broker-dealers
participating in the distribution of or
trading in the security have sufficient
copies of the preliminary or final
prospectus, as requested by them, to
enable such broker-dealer to satisfy their
respective prospectus delivery
obligations pursuant to Rule 15c2–8, as
well as Section 5 of the Securities Act
of 1933.
Rule 15c2–8 implicitly requires that
broker-dealers collect information, as
such collection facilitates compliance
with the rule. There is no requirement
to submit collected information to the
Commission. In order to comply with
the rule, broker-dealers participating in
a securities offering must keep accurate
records of persons who have indicated
interest in an IPO or requested a
prospectus, so that they know to whom
they must send a prospectus.
The Commission estimates that the
time broker-dealers will spend
complying with the collection of
information required by the rule is
24,200 hours for equity IPOs and 29,320
hours for other offerings. The
Commission estimates that the total
annualized cost burden (copying and
postage costs) is $48,400,000 for IPOs
and $1,172,800 for other offerings.
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.
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) MBX.OMB.OIRA.SEC_desk_
[email protected] and (ii) David
Bottom, Director/Chief Information
Officer, Securities and Exchange
Commission, c/o John R. Pezzullo, 100
F Street NE, Washington, DC 20549, or
by sending an email to: PRA_Mailbox@
sec.gov.

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Dated: December 28, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–28428 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. S7–23–15, OMB Control No.
3235–0763]

Submission for OMB Review;
Comment Request; Extension: Rule
304 of Regulation ATS and Form ATS
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
(‘‘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 304 of Regulation ATS (17 CFR
242.304) and Form ATS–N under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
Regulation ATS provides a regulatory
structure for alternative trading systems.
Rule 304 of Regulation ATS provides
conditions for NMS Stock ATSs seeking
to rely on the exemption from the
definition of ‘‘exchange’’ provided by
Rule 3a1–1(a) of the Exchange Act,
including to file a Form ATS–N, and for
that Form ATS–N to become effective.
Form ATS–N requires NMS Stock ATSs
to provide information about their
manner of operations, the broker-dealer
operator, and the ATS-related activities
of the broker-dealer operator and its
affiliates to comply with the conditions
provided under Rule 304. Form ATS–N
promotes more efficient and effective
market operations by providing more
transparency to market participants
about the operations of NMS Stock
ATSs and the potential conflicts of
interest of the controlling broker-dealer
operator and its affiliates, and helps
brokers meet their best execution
obligations to their customers.
Operational transparency rules,
including Form ATS–N, are designed to
increase competition among trading
centers in regard to order routing and
execution quality.
The Commission staff estimates that
entities subject to the requirements of
Rule 304 and Form ATS–N will spend

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a total of approximately 2,042 hours a
year to comply with the Rule.
Regulation ATS requires ATSs to
preserve any records, for at least three
years, made in the process of complying
with the systems capacity, integrity and
security requirements.
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.
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 John R. Pezzullo, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: [email protected].
Dated: December 28, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–28434 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–289, OMB Control No.
3235–0327]

Submission for OMB Review Comment
Request; Extension: Form SE
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 this
request for extension of the previously
approved collection of information
discussed below.
Form SE (17 CFR 239.64) is used by
registrants to file paper copies of
exhibits, reports or other documents
that would be difficult or impossible to
submit electronically, as provided in
Rule 311 of Regulation S–T (17 CFR
232.311). The information contained in
Form SE is used by the Commission to
identify paper copies of exhibits. Form

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Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices
SE is a public document and is filed on
occasion. Form SE is filed by
individuals, companies or other entities
that are required to file documents
electronically. Approximately 19
registrants file Form SE and it takes an
estimated 0.10 hours per response for a
total annual burden of 2 hours (0.10
hours per response × 19 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 John Pezzullo, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: [email protected].
Dated: December 28, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–28439 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–028, OMB Control No.
3235–0032]

khammond on DSKJM1Z7X2PROD with NOTICES

Submission for OMB Review;
Comment Request; Extension: Rule
17f–1(b)
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
(‘‘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 17f–1(b) (17 CFR 240.17f–1(b)),
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Under Rule 17f–1(b) under the
Exchange Act, approximately 10,000
entities in the securities industry are

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registered in the Lost and Stolen
Securities Program (‘‘Program’’).
Registration fulfills a statutory
requirement that entities report and
inquire about missing, lost, counterfeit,
or stolen securities. Registration also
allows entities in the securities industry
to gain access to a confidential database
that stores information for the Program.
The Commission staff estimates that
10 new entities will register in the
Program each year. The staff estimates
that the average number of hours
necessary to comply with Rule 17f–1(b)
is one-half hour. Accordingly, the staff
estimates that the total annual burden
for all participants is 5 hours (10 × onehalf hour). The Commission staff
estimates that compliance staff work at
subject entities results in an internal
cost of compliance, at an estimated
hourly wage of $283, of $141.50 per year
per entity (.5 hours × $283 per hour =
$141.50 per year). Therefore, the
aggregate annual internal cost of
compliance is approximately $1,415
($141.50 × 10 = $1,415).
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.
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 John R. Pezzullo, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: [email protected].
Dated: December 28, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–28431 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

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137

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–642, OMB Control No.
3235–0696]

Submission for OMB Review;
Comment Request; Extension: Rules
15Fb1–1 Through 15Fb6–2 and Forms
SBSE, SBSE–A, SBSE–BD, SBSE–C
and SBSE–W
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
(‘‘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 extension of the
previously approved collection of
information discussed below. The Code
of Federal Regulation citations
associated with this collection of
information are 17 CFR 240.15Fb1–1
through 240.15Fb6–2, and 17 CFR
249.1600, 249.1600a, 249.1600b,
249.1600c and 249.1601.
The Commission adopted Rules
15Fb1–1 through 15Fb6–2 and Forms
SBSE, SBSE–A, SBSE–BD, SBSE–C and
SBSE–W on August 5, 2015 to create a
process to register SBS Entities. Forms
SBSE, SBSE–A, and SBSE–BD and
SBSE–C were designed to elicit certain
information from applicants. The
Commission uses the information
disclosed by applicants through the SBS
Entity registration rules and forms to: (1)
Determine whether an applicant meets
the standards for registration set forth in
the provisions of the Exchange Act; and
(2) develop an information resource
regarding SBS Entities where members
of the public may obtain relevant, up-todate information about SBS Entities,
and where the Commission may obtain
information for examination and
enforcement purposes. Without the
information provided through these SBS
Entity registration rules and forms, the
Commission could not effectively
determine whether the applicant meets
the standards for registration or
implement policy objectives of the
Exchange Act.
The information collected pursuant to
Rule 15Fb3–2 and Form SBSE–W allows
the Commission to determine whether it
is appropriate to allow an SBS Entity to
withdraw from registration and to
facilitate that withdrawal. Without this
information, the Commission would be
unable to effectively determine whether
it was appropriate to allow an SBS

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