60 Day Notice

134

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

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. 2021–28440 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0361, SEC File No.
270–318]

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Submission for OMB Review;
Comment Request; Extension: Form
ADV–E
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 (the
‘‘Commission’’) has submitted to the
Office of Management and Budget a
request for extension of the previously
approved collection of information
discussed below.
Form ADV–E (17 CFR 279.8) is the
cover sheet for certificates of accounting
filed pursuant to rule 206(4)–2 under
the Investment Advisers Act of 1940 (17
CFR 275.206(4)–2). The rule further
requires that the public accountant file
with the Commission a Form ADV–E
and accompanying statement within
four business days of the resignation,
dismissal, removal or other termination
of its engagement.
The Commission has estimated that
compliance with the requirement to
complete Form ADV–E imposes a total
burden of approximately 0.05 hours (3
minutes) per respondent. Based on
current information from advisers
registered with the Commission, the
Commission staff estimates that 1,743
filings will be submitted with respect to
surprise examinations and 33 filings
will be submitted with respect to
termination of accountants. Based on
these estimates, the total estimated
annual burden would be 88.80 hours
((1,743 filings × .05 hours) + (33 filings
× .05 hours)).
The information provided on Form
ADV–E is mandatory. Responses will
not be kept confidential. An agency may
not conduct or sponsor a collection of
information unless it displays a

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currently valid OMB control number.
No person shall be subject to any
penalty for failing to comply with a
collection of information subject to the
PRA that does not display a 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 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. 2021–28435 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–101, OMB Control No.
3235–0082]

assess the performance of the stock plan
or investment vehicle. The information
collected must be filed with the
Commission and is publicly available.
Form 11–K takes approximately 30
hours per response and is filed by 1,302
respondents for total of 39,060 burden
hours (30 hours per response × 1,302
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. 2021–28436 Filed 12–30–21; 8:45 am]

Submission for OMB Review;
Comment Request; Extension: Form
11–K
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 11–K (17 CFR 249.311) is the
annual report designed for use by
employee stock purchase, savings and
similar plans to comply with the
reporting requirements under Section
15(d) of the Securities and Exchange Act
of 1934 (the ‘‘Exchange Act’’) (15 U.S.C.
78o(d)). Section 15(d) establishes a
periodic reporting obligation for every
issuer of securities registered under the
Securities Act of 1933 (the ‘‘Securities
Act’’) (15 U.S.C. 77a et seq.). Form 11–
K provides employees of an issuer with
financial information so that they can

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[SEC File No. 270–149, OMB Control No.
3235–0130]

Proposed Collection; Comment
Request; Extension: Rule 17Ad–2(c),
(d), and (h)
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’’) is soliciting comments
on the existing collection of information
provided for in Rule 17Ad–2(c), (d), and
(h), (17 CFR 240.17Ad–2(c), (d), and
(h)), 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.

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khammond on DSKJM1Z7X2PROD with NOTICES

Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices
Rule 17Ad–2(e),(d), and (h)
enumerates the requirements with
which transfer agents must comply to
inform the Commission or the
appropriate regulator of a transfer
agent’s failure to meet the minimum
performance standards set by the
Commission rule by filing a notice.
The Commission receives
approximately 3 notices a year pursuant
to Rule 17Ad–2(c), (d), and (h). The
estimated annual time burden of these
filings on respondents is minimal in
view of: (a) The readily available nature
of most of the information required to be
included in the notice (since that
information must be compiled and
retained pursuant to other Commission
rules); and (b) the summary fashion in
which such information must be
presented in the notice (most notices are
one page or less in length). In light of
the above, and based on the experience
of the staff regarding the notices, the
Commission staff estimates that, on
average, most notices require
approximately one-half hour to prepare.
Thus, the Commission staff estimates
that the industry-wide total time burden
is approximately 1.5 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
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 John
Pezzullo, 100 F Street NE, Washington,
DC 20549, or send an email to: PRA_
[email protected].
Dated: December 28, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–28433 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–475, OMB Control No.
3235–0536]

Submission for OMB Review;
Comment Request; Extension:
Regulation FD
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.
Regulation FD (17 CFR 243.100 et
seq.)—Other Disclosure Materials
requires public disclosure of material
information from issuers of publicly
traded securities so that investors have
current information upon which to base
investment decisions. The purpose of
the regulation is to require that: (1)
When an issuer intentionally discloses
material information, to do so through
public disclosure, not selective
disclosure; and (2) to make prompt
public disclosure of material
information that was unintentionally
selectively disclosed. Regulation FD was
adopted due to a concern that the
practice of selective disclosure leads to
a loss of investor confidence in the
integrity of our capital markets. All
information is provided to the public for
review. The information required is
filed on occasion and is mandatory. We
estimate that approximately 13,000
issuers make Regulation FD disclosures
approximately five times a year for a
total of 58,000 submissions annually,
not including an estimated 7,000 issuers
who file Form 8–K to comply with
Regulation FD. We estimate that it takes
approximately 5 hours per response
(58,000 responses x 5 hours) for a total
burden of 290,000 hours annually. In
addition, we estimate that 25% of the 5
hours (1.25 hours) is prepared by the
filer for an annual reporting burden of
72,500 hours (1.25 hours per response ×
58,000 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:

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135

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. 2021–28422 Filed 12–30–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–421, OMB Control No.
3235–0481]

Submission for OMB Review;
Comment Request; Extension: Rule
15c2–8
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
(‘‘OMB’’) a request for approval of
extension of the existing collection of
information provided for in the
following rule: Rule 15c2–8 (17 CFR
240.15c2–8), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Rule 15c2–8 requires broker-dealers to
deliver preliminary and/or final
prospectuses to certain people under
certain circumstances. In connection
with securities offerings generally,
including initial public offerings
(‘‘IPOs’’), the rule requires brokerdealers to take reasonable steps to
distribute copies of the preliminary or
final prospectus to anyone who makes
a written request, as well as any brokerdealer who is expected to solicit
purchases of the security and who
makes a request. In connection with
IPOs, the rule requires a broker-dealer to
send a copy of the preliminary
prospectus to any person who is
expected to receive a confirmation of
sale (generally, this means any person

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