30 Day Notice

Federal Register / Vol. 87, No. 108 / Monday, June 6, 2022 / Notices
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–536, OMB Control No.
3235–0596]

lotter on DSK11XQN23PROD with NOTICES1

Submission for OMB Review;
Comment Request; Extension: Rule
204A–1
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.
The title for the collection of
information is ‘‘Rule 204A–1 (17 CFR
275.204A–1) under the Investment
Advisers Act of 1940.’’ (15 U.S.C. 80b–
1 et seq.) Rule 204A–1 (the ‘‘Code of
Ethics Rule’’) requires investment
advisers registered with the SEC to (i)
set forth standards of conduct expected
of advisory personnel (including
compliance with the federal securities
laws); (ii) safeguard material nonpublic
information about client transactions;
and (iii) require the adviser’s ‘‘access
persons’’ to report their personal
securities transactions, including
transactions in any mutual fund
managed by the adviser. The Code of
Ethics Rule requires access persons to
obtain the adviser’s approval before
investing in an initial public offering
(‘‘IPO’’) or private placement. The Code
of Ethics Rule also requires prompt
reporting, to the adviser’s chief
compliance officer or another person
designated in the code of ethics, of any
violations of the code. Finally, the Code
of Ethics Rule requires the adviser to
provide each supervised person with a
copy of the code of ethics and any
amendments, and require the
supervised persons to acknowledge, in
writing, their receipt of these copies.
The purposes of the information
collection requirements are to (i) ensure
that advisers maintain codes of ethics
applicable to their supervised persons;
(ii) provide advisers with information
about the personal securities
transactions of their access persons for
purposes of monitoring such
transactions; (iii) provide advisory
clients with information with which to
evaluate advisers’ codes of ethics; and
(iv) assist the Commission’s
examination staff in assessing the

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adequacy of advisers’ codes of ethics
and assessing personal trading activity
by advisers’ supervised persons.
The respondents to this information
collection are investment advisers
registered with the Commission. The
Commission has estimated that
compliance with rule 204A–1 imposes a
burden of approximately 87 hours per
adviser annually based on an average
adviser having 60 access persons. Our
latest data indicate that there were
14,705 advisers registered with the
Commission. Based on this figure, the
Commission estimates a total annual
burden of 1,275,659 hours for this
collection of information.
Rule 204A–1 does not require
recordkeeping or record retention. The
collection of information requirements
under the rule is mandatory. The
information collected pursuant to the
rule is not filed with the Commission,
but rather takes the form of
communications between advisers and
their supervised persons. Investment
advisers use the information collected to
control and assess the personal trading
activities of their supervised persons.
Responses to the reporting requirements
will be kept confidential to the extent
each investment adviser provides
confidentiality under its particular
practices and procedures. 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 by July 6, 2022 to (i)
MBX.OMB.OIRA.SEC_desk_officer@
omb.eop.gov 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: May 31, 2022.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022–12022 Filed 6–3–22; 8:45 am]
BILLING CODE 8011–01–P

PO 00000

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–95005; File No. SR–
EMERALD–2022–21]

Self-Regulatory Organizations; MIAX
Emerald, LLC; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change To Amend Its Fee
Schedule
May 31, 2022.

Pursuant to the provisions of Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Act’’) 1 and Rule 19b–4
thereunder,2 notice is hereby given that
on May 18, 2022, MIAX Emerald, LLC
(‘‘MIAX Emerald’’ or ‘‘Exchange’’), filed
with the Securities and Exchange
Commission (‘‘Commission’’) a
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by the Exchange.
The Commission is publishing this
notice to solicit comments on the
proposed rule change from interested
persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange is filing a proposal to
amend the MIAX Emerald Fee Schedule
(the ‘‘Fee Schedule’’).
The text of the proposed rule change
is available on the Exchange’s website at
http://www.miaxoptions.com/rulefilings/emerald, at MIAX’s principal
office, and at the Commission’s Public
Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
the most significant aspects of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The Exchange proposes to amend
Section 1)a)i) of the Fee Schedule to
amend the Simple Maker (defined
1 15
2 17

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U.S.C. 78s(b)(1).
CFR 240.19b–4.

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