Form TH 30 Day Federal Register Notice

Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices
The total estimated annual time
burden associated with Rules 6a–1 and
6a–2 is thus approximately 7,480 hours
(880 + 6,600).
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. 2021–28432 Filed 12–30–21; 8:45 am]
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[SEC File No. 270–199, OMB Control No.
3235–0199]

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Submission for OMB Review;
Comment Request; Extension: Rule
17a–5(c)
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 17a–5(c), (17 CFR 240.17a–5(c)),

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under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 17a–5(c) generally requires
broker-dealers who carry customer
accounts to provide statements of the
broker-dealer’s financial condition to
their customers. Paragraph (c)(5) of Rule
17a–5 provides a conditional exemption
from this requirement. A broker-dealer
that elects to take advantage of the
exemption must publish its statements
on its website in a prescribed manner,
and must maintain a toll-free number
that customers can call to request a copy
of the statements.
The purpose of the Rule is to ensure
that customers of broker-dealers are
provided with information concerning
the financial condition of the firm that
may be holding the customers’ cash and
securities. The Commission, when
adopting the Rule in 1972, stated that
the goal was to ‘‘directly’’ send a
customer essential information so that
the customer could ‘‘judge whether his
broker or dealer is financially sound.’’
The Commission adopted the Rule in
response to the failure of several brokerdealers holding customer funds and
securities in the period between 1968
and 1971.
The Commission estimates that
approximately 163 broker-dealer
respondents carrying approximately 186
million public customer accounts incur
a burden of approximately 228,024
hours per year to comply with the Rule.
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_
[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:
[email protected].
Dated: December 28, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–28429 Filed 12–30–21; 8:45 am]
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SECURITIES AND EXCHANGE
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[SEC File No. 270–377, OMB Control No.
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Submission for OMB Review;
Comment Request; Extension: Form
TH
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 TH (17 CFR 239.65, 17 CFR
249.447, 269.10 and 17 CFR 274.404)
under the Securities Act of 1933 (15
U.S.C. 77a et seq.), the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.), the Trust Indenture Act of 1939
(15 U.S.C. 77aaa et seq.) and the
Investment Company Act of 1940 (15
U.S.C. 80a–1 et seq.) is used by
registrants to notify the Commission
that an electronic filer is relying on the
temporary hardship exemption for the
filing of a document in paper form that
would otherwise be required to be filed
electronically as required by Rule 201(a)
of Regulation S–T. (17 CFR. 232.201(a)).
Form TH is a public document and is
filed on occasion. Form TH must be
filed every time an electronic filer
experiences unanticipated technical
difficulties preventing the timely
preparation and submission of a
required electronic filing.
Approximately 5 registrants file Form
TH and it takes an estimated 0.33 hours
per response for a total annual burden
of 2 hours (0.33 hours per response × 5
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/

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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
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[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]
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[SEC File No. 270–101, OMB Control No.
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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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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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