60 Day Notice

3235-0206.pdf

Rule 19d-1-SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security

60 Day Notice

OMB: 3235-0206

Document [pdf]
Download: pdf | pdf
Federal Register / Vol. 87, No. 71 / Wednesday, April 13, 2022 / Notices
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
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–Phlx–2022–16 and should
be submitted on or before May 4, 2022.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022–07854 Filed 4–12–22; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–242, OMB Control No.
3235–0206]

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

jspears on DSK121TN23PROD with NOTICES1

Extension:
Rule 19d–1

Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
Securities and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the existing collection of information
provided for in Rule 19d–1 (17 CFR
240.19d–1) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (‘‘Exchange Act’’). The
Commission plans to submit this
11 17

CFR 200.30–3(a)(12).

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18:05 Apr 12, 2022

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existing collection of information to the
Office of Management and Budget)
(‘‘OMB’’) for extension and approval.
Rule 19d–1 prescribes the form and
content of notices to be filed with the
Commission by self-regulatory
organizations (‘‘SROs’’) for which the
Commission is the appropriate
regulatory agency concerning the
following final SRO actions: (1)
Disciplinary actions with respect to any
person; (2) denial, bar, prohibition, or
limitation of membership, participation
or association with a member or of
access to services offered by an SRO or
member thereof; (3) summarily
suspending a member, participant, or
person associated with a member, or
summarily limiting or prohibiting any
persons with respect to access to or
services offered by the SRO or a member
thereof; and (4) delisting a security.
The Rule enables the Commission to
obtain reports from the SROs containing
information regarding SRO
determinations to delist a security,
discipline members or associated
persons of members, deny membership
or participation or association with a
member, and similar adjudicated
findings. The Rule requires that such
actions be promptly reported to the
Commission. The Rule also requires that
the reports and notices supply sufficient
information regarding the background,
factual basis and issues involved in the
proceeding to enable the Commission:
(1) To determine whether the matter
should be called up for review on the
Commission’s own motion; and (2) to
ascertain generally whether the SRO has
adequately carried out its
responsibilities under the Exchange Act.
It is estimated that approximately 19
respondents will file a total of
approximately 912 submissions per year
(an average of 48 per respondent). The
Commission estimates that the average
number of hours necessary to comply
with the requirements of Rule 19d–1 for
each submission is 1 hour. The total
annual burden for all respondents is
thus 912 hours. The Commission
estimates that the internal compliance
cost per respondent is approximately
$319 per response. The annual internal
cost of compliance for all respondents is
thus approximately $290,928 (19
respondents × 48 responses × $319 per
response).
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

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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 by
June 13, 2022.
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, Acting 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: April 7, 2022.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022–07833 Filed 4–12–22; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–94629; File No. SR–
NYSEArca–2022–17]

Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To List and Trade Shares
of the FMC Excelsior Focus Equity ETF
Under Rule 8.900–E (Managed Portfolio
Shares)
April 7, 2022.

Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934
(‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that on April 1,
2022, NYSE Arca, Inc. (‘‘NYSE Arca’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which Items have been prepared
by the self-regulatory organization. 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 proposes to list and
trade shares of the following under Rule
8.900–E (Managed Portfolio Shares):
FMC Excelsior Focus Equity ETF. The
1 15

U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
2 15

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