30 Day Notice

Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices
5 U.S.C. chapter 71, when relevant and
necessary to their duties of exclusive
representation concerning personnel
policies, practices, and matters affecting
conditions of employment.
POLICIES AND PRACTICE FOR STORAGE OF
RECORDS:

Records in this system of records are
stored electronically or on paper in
secure facilities. Electronic records are
stored on the SEC’s secure network and/
or an SEC-approved cloud storage
location. Access to and use of these
records is limited to those persons
whose official duties require such
access.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:

These records are cross-indexed by
the name of the individual who reports
harassment, the name of the alleged
target of harassment, if any, and the
name of the alleged harasser. The
records may be retrieved by any of the
above three indexes and other indexes,
as appropriate.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:

These records are maintained for
three years after the report of
harassment is closed and are then
deleted or destroyed in accordance with
NARA, General Records Schedule (GRS)
023, Item 40 and the SEC
Comprehensive Records Schedule.
Authorized staff follow the SEC’s
records management procedures for
safeguarding and disposing of records
related to reports of harassment that
have met their retention period.

lotter on DSK11XQN23PROD with NOTICES1

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:

Access to SEC facilities, data centers,
and information or information systems
is limited to authorized personnel with
official duties requiring access. SEC
facilities are equipped with security
cameras, and, at certain SEC facilities,
24-hour security guard service.
Computerized records are safeguarded
in a secured environment. Records are
maintained in a secure, passwordprotected electronic system that will
utilize commensurate safeguards that
may include: firewalls, intrusion
detection and prevention systems, and
role-based access controls. Additional
safeguards will vary by program. All
records are protected from unauthorized
access through appropriate
administrative, operational, and
technical safeguards. These safeguards
include restricting access to authorized
personnel who have a ‘‘need to know’’
and using locked file cabinets and/or
locked offices or file rooms. Contractors

VerDate Sep<11>2014

17:18 Oct 30, 2023

Jkt 262001

and other recipients providing services
to the Commission shall be required to
maintain equivalent safeguards.
RECORDS ACCESS PROCEDURES:

Persons seeking to gain access to any
record contained in this system of
records must submit a written request in
accordance with instructions in SEC
Privacy Act Regulations; 17 CFR
200.301 et seq. Address such request to:
FOIA/PA Officer, Securities and
Exchange Commission, 100 F Street NE,
Mail Stop 5100, Washington, DC 20549–
2465.
CONTESTING RECORD PROCEDURES:

Persons seeking to contest the content
of any record contained in this system
of records may inquire in writing in
accordance with instructions in SEC
Privacy Act Regulations, 17 CFR
200.301 et seq. Address such requests
to: FOIA/PA Officer, Securities and
Exchange Commission, 100 F Street NE,
Mail Stop 5100, Washington, DC 20549–
2736.
NOTIFICATION PROCEDURES:

See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE:

None.
HISTORY:

New SORN.
By the Commission.
Dated: October 26, 2023.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2023–23981 Filed 10–30–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–154, OMB Control No.
3235–0122]

Submission for OMB Review;
Comment Request; Extension: Rule
17a–10
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 extension of the
previously approved collection of
information discussed below.
The primary purpose of Rule 17a–10
is to obtain the economic and statistical

PO 00000

Frm 00153

Fmt 4703

Sfmt 9990

74553

data necessary for an ongoing analysis
of the securities industry. Paragraph
(a)(1) of Rule 17a–10 generally requires
broker-dealers that are exempt from the
filing requirements of paragraph (a) of
Exchange Act Rule 17a–5 (17 CFR
240.17a–5) to file with the Commission
the Facing Page, a Statement of Income
(Loss), and balance sheet from Part IIA
of Form X–17A–5 1 (17 CFR 249.617),
and Schedule I of Form X–17A–5 not
later than 17 business days after the end
of each calendar year.
Paragraph (a)(2) of Rule 17a–10
requires a broker-dealer subject to
paragraph (a) of Rule 17a–5 to submit
Schedule I of Form X–17A–5 with its
Form X–17A–5 for the calendar quarter
ending December 31 of each year.
Paragraph (b) of Rule 17a–10 provides
that the provisions of paragraph (a) do
not apply to members of national
securities exchanges or registered
national securities associations that
maintain records containing the
information required by Form X–17A–5
and which transmit to the Commission
copies of the records pursuant to a plan
which has been declared effective by the
Commission.
The Commission staff estimates that
the total hour burden under Rule 17a–
10 is approximately 44,892 hours per
year and the total cost burden is $0 per
year. 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
November 30, 2023 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: October 26, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–23974 Filed 10–30–23; 8:45 am]
BILLING CODE 8011–01–P
1 Form X–17A–5 is the Financial and Operational
Combined Uniform Single Report (‘‘FOCUS
Report’’), which is used by broker-dealers to
provide certain required information to the
Commission.

E:\FR\FM\31OCN1.SGM

31OCN1