30 Day Notice

3235-0131.pdf

Rule 17a-7; Records of non-resident brokers or dealers.

30 Day Notice

OMB: 3235-0131

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Federal Register / Vol. 87, No. 135 / Friday, July 15, 2022 / Notices
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 95239; File No. SR–CboeBYX–
2021–028]

Self-Regulatory Organizations; Cboe
BYX Exchange, Inc.; Notice of
Withdrawal of a Proposed Rule
Change, as Modified by Amendment
No. 1, To Introduce a New Data
Product To Be Known as the Short
Volume Report
On November 22, 2021, Cboe BYX
Exchange, Inc. (‘‘Exchange’’) filed with
the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’) 1 and Rule
19b–4 thereunder,2 a proposed rule
change to amend Exchange Rule 11.22(f)
to introduce a new data product to be
known as the Short Volume Report. The
proposed rule change was published for
comment in the Federal Register on
December 7, 2021.3 On January 20,
2022, pursuant to Section 19(b)(2) of the
Act,4 the Commission designated a
longer period within which to approve
the proposed rule change, disapprove
the proposed rule change, or institute
proceedings to determine whether to
disapprove the proposed rule change.5
On March 7, 2022, the Commission
instituted proceedings under Section
19(b)(2)(B) of the Act 6 to determine
whether to approve or disapprove the
proposed rule change.7 On March 30,
2022, the Exchange filed Amendment
No. 1 to the proposed rule change,
which superseded the proposed rule
change as originally filed.8 The
proposed rule change, as modified by
Amendment No. 1, was published for
comment in the Federal Register on
April 28, 2022.9 On June 3, 2022, the
Commission extended the period for
1 15

jspears on DSK121TN23PROD with NOTICES1

For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022–15122 Filed 7–14–22; 8:45 am]
BILLING CODE 8011–01–P

July 11, 2022.

U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 See Securities Exchange Act Release No. 93689
(December 1, 2021), 86 FR 69335. The comment
letters received on the proposed rule change are
available on the Commission’s website at: https://
www.sec.gov/comments/sr-cboebyx-2021-028/
srcboebyx2021028.htm.
4 15 U.S.C. 78s(b)(2).
5 See Securities Exchange Act Release No. 94009,
87 FR 4098 (January 26, 2022). The Commission
designated March 7, 2022, as the date by which it
should approve, disapprove, or institute
proceedings to determine whether to disapprove the
proposed rule change.
6 15 U.S.C. 78s(b)(2)(B).
7 See Securities Exchange Act Release No. 94373,
87 FR 14060 (March 11, 2022).
8 Amendment No. 1 is available at https://
www.sec.gov/comments/sr-cboebyx-2021-028/
srcboebyx2021028-20121765-273901.pdf.
9 See Securities Exchange Act Release No. 94787
(April 22, 2022), 87 FR 25309.

VerDate Sep<11>2014

consideration of the proposed rule
change to August 4, 2022.10 On June 28,
2022, the Exchange withdrew the
proposed rule change, as modified by
Amendment No. 1 (SR–CboeBYX–2021–
028).

19:11 Jul 14, 2022

Jkt 256001

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–147, OMB Control No.
3235–0131]

Submission for OMB Review;
Comment Request Extension: Rule
17a–7
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.) (‘‘PRA’’), 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–7 (17 CFR 240.17a–7) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 17a–7 requires a non-resident
broker-dealer (generally, a broker-dealer
with its principal place of business in a
place not subject to the jurisdiction of
the United States) registered or applying
for registration pursuant to Section 15 of
the Exchange Act to maintain—in the
United States—complete and current
copies of books and records required to
be maintained under any rule adopted
under the Exchange Act and furnish to
the Commission a written notice
specifying the address where the copies
are located. Alternatively, Rule 17a–7
provides that non-resident brokerdealers may file with the Commission a
written undertaking to furnish the
requisite books and records to the
Commission upon demand within 14
days of the demand.
The Commission estimates that there
are approximately 30 non-resident
broker-dealers. Based on the
10 See Securities Exchange Act Release No. 95035,
87 FR 35269 (June 9, 2022).
11 17 CFR 200.30–3(a)(12).

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Commission’s experience, the
Commission estimates that the average
amount of time necessary to comply
with Rule 17a–7 is one hour per year
per respondent. Accordingly, the
Commission estimates that the total
industry-wide reporting burden is
approximately 30 hours per year.
Assuming an average cost per hour of
approximately $319 for a compliance
manager, the total internal cost of
compliance for the respondents is
approximately $9,570 per year.1
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 by
August 15, 2022 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: PRA_Mailbox@
sec.gov.
Dated: July 11, 2022.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022–15128 Filed 7–14–22; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–95238; File No. SR–ISE–
2022–14]

Self-Regulatory Organizations; Nasdaq
ISE, LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend Options 4A,
Section 12 and Options 7, Section 3
July 11, 2022.

Pursuant to 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 July 1,
2022, Nasdaq ISE, LLC (‘‘ISE’’ or
1 $319 per hour for a compliance manager is from
SIFMA’s Management & Professional Earnings in
the Securities Industry 2013, modified by
Commission staff for an 1800-hour work-year,
multiplied by 5.35 to account for bonuses, firm size,
employee benefits, and overhead, and adjusted for
inflation.
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.

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