30 Day Notice

78800

Federal Register / Vol. 88, No. 220 / Thursday, November 16, 2023 / Notices

Agreements in the Mail Classification
Schedule’s Competitive Products List.
DATES: Date of required notice:
November 16, 2023.
FOR FURTHER INFORMATION CONTACT:
Sean Robinson, 202–268–8405.
SUPPLEMENTARY INFORMATION: The
United States Postal Service® hereby
gives notice that, pursuant to 39 U.S.C.
3642 and 3632(b)(3), on November 8,
2023, it filed with the Postal Regulatory
Commission a USPS Request to Add
Priority Mail & USPS Ground
Advantage® Contract 102 to
Competitive Product List. Documents
are available at www.prc.gov, Docket
Nos. MC2024–48, CP2024–48.
Sean Robinson,
Attorney, Corporate and Postal Business Law.
[FR Doc. 2023–25258 Filed 11–15–23; 8:45 am]
BILLING CODE 7710–12–P

POSTAL SERVICE
Product Change—Priority Mail and
USPS Ground Advantage® Negotiated
Service Agreement

ACTION:

Notice.

SUMMARY: The Postal Service gives
notice of filing a request with the Postal
Regulatory Commission to add a
domestic shipping services contract to
the list of Negotiated Service
Agreements in the Mail Classification
Schedule’s Competitive Products List.

Date of required notice:
November 16, 2023.

DATES:

FOR FURTHER INFORMATION CONTACT:

Sean Robinson, 202–268–8405.
The
United States Postal Service® hereby
gives notice that, pursuant to 39 U.S.C.
3642 and 3632(b)(3), on November 8,
2023, it filed with the Postal Regulatory
Commission a USPS Request to Add
Priority Mail & USPS Ground
Advantage® Contract 103 to
Competitive Product List. Documents
are available at www.prc.gov, Docket
Nos. MC2024–49, CP2024–49.
SUPPLEMENTARY INFORMATION:

Sean Robinson,
Attorney, Corporate and Postal Business Law.
[FR Doc. 2023–25261 Filed 11–15–23; 8:45 am]
BILLING CODE 7710–12–P

Postal ServiceTM.
ACTION: Notice.
AGENCY:

POSTAL SERVICE

The Postal Service gives
notice of filing a request with the Postal
Regulatory Commission to add a
domestic shipping services contract to
the list of Negotiated Service
Agreements in the Mail Classification
Schedule’s Competitive Products List.
DATES: Date of required notice:
November 16, 2023.
FOR FURTHER INFORMATION CONTACT:
Sean Robinson, 202–268–8405.
SUPPLEMENTARY INFORMATION: The
United States Postal Service® hereby
gives notice that, pursuant to 39 U.S.C.
3642 and 3632(b)(3), on November 9,
2023, it filed with the Postal Regulatory
Commission a USPS Request to Add
Priority Mail & USPS Ground
Advantage® Contract 104 to
Competitive Product List. Documents
are available at www.prc.gov, Docket
Nos. MC2024–50, CP2024–50.
SUMMARY:

Sean Robinson,
Attorney, Corporate and Postal Business Law.
[FR Doc. 2023–25262 Filed 11–15–23; 8:45 am]

lotter on DSK11XQN23PROD with NOTICES1

BILLING CODE 7710–12–P

POSTAL SERVICE
Product Change—Priority Mail and
USPS Ground Advantage® Negotiated
Service Agreement
AGENCY:

Postal ServiceTM.

VerDate Sep<11>2014

17:01 Nov 15, 2023

Product Change—Priority Mail and
USPS Ground Advantage® Negotiated
Service Agreement
Postal ServiceTM.
ACTION: Notice.
AGENCY:

SUMMARY: The Postal Service gives
notice of filing a request with the Postal
Regulatory Commission to add a
domestic shipping services contract to
the list of Negotiated Service
Agreements in the Mail Classification
Schedule’s Competitive Products List.

Date of required notice:
November 16, 2023.

DATES:

FOR FURTHER INFORMATION CONTACT:

Sean Robinson, 202–268–8405.
The
United States Postal Service® hereby
gives notice that, pursuant to 39 U.S.C.
3642 and 3632(b)(3), on November 8,
2023, it filed with the Postal Regulatory
Commission a USPS Request to Add
Priority Mail & USPS Ground
Advantage® Contract 101 to
Competitive Product List. Documents
are available at www.prc.gov, Docket
Nos. MC2024–47, CP2024–47.
SUPPLEMENTARY INFORMATION:

Sean Robinson,
Attorney, Corporate and Postal Business Law.
[FR Doc. 2023–25263 Filed 11–15–23; 8:45 am]
BILLING CODE 7710–12–P

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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–325, OMB Control No.
3235–0385]

Submission for OMB Review;
Comment Request; Extension: Rule
15g–9
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.
Section 15(c)(2) of the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (the ‘‘Exchange Act’’) authorizes
the Commission to promulgate rules
that prescribe means reasonably
designed to prevent fraudulent,
deceptive, or manipulative practices in
connection with over-the-counter
(‘‘OTC’’) securities transactions.
Pursuant to this authority, the
Commission in 1989 adopted Rule
15c2–6, which was subsequently
redesignated as Rule 15g–9 (17 CFR
240.15g–9) (the ‘‘Rule’’). The Rule
requires broker-dealers to produce a
written suitability determination for,
and to obtain a written customer
agreement to, certain recommended
transactions in penny stocks that are not
registered on a national securities
exchange, and whose issuers do not
meet certain minimum financial
standards. The Rule is intended to
prevent the indiscriminate use by
broker-dealers of fraudulent, high
pressure telephone sales campaigns to
sell penny stocks to unsophisticated
customers.
The Commission staff estimates that
approximately five percent of registered
broker-dealers, or 175 broker-dealers,1
are subject to the Rule (5% ×
approximately 3,497 registered brokerdealers = 175 broker-dealers). As
indicated above, the burden of the Rule
on a respondent varies widely
depending on the frequency with which
new customers are solicited. On
average, for all respondents, the staff has
estimated that respondents process
three new customers per week, or
approximately 156 new customers
1 As of July 1, 2023, there are 3,497 registered
broker-dealers. 5% of 3,497 is 174.85, rounded up
to 175.

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Federal Register / Vol. 88, No. 220 / Thursday, November 16, 2023 / Notices
requiring suitability determinations per
year. We also estimate that a brokerdealer would take approximately onehalf hour per new customer in
obtaining, reviewing, and processing
(including transmitting to the customer)
the information required by Rule 15g–9,
and each respondent would
consequently spend 78 hours annually
(156 new customers × .5 hours)
obtaining the information required in
the Rule. This would result in 27,300
annual responses per year for all
respondents (175 respondents × 156
new customer suitability determinations
per year). We determined, based on the
estimate of 175 broker-dealer
respondents, that the annual hour
burden of Rule 15g–9 is 13,650 hours
(175 respondents × 78 hours).
The broker-dealer must keep the
written suitability determination and
customer agreement required by the
Rule for at least three years. Completing
the suitability determination and
obtaining the customer agreement in
writing is mandatory for broker-dealers
who effect transactions in penny stocks
and do not qualify for an exemption, but
does not involve the collection of
confidential information.
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
December 18, 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].

lotter on DSK11XQN23PROD with NOTICES1

Dated: November 13, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–25355 Filed 11–15–23; 8:45 am]
BILLING CODE 8011–01–P

VerDate Sep<11>2014

19:37 Nov 15, 2023

Jkt 262001

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–096, OMB Control No.
3235–0151]

Submission for OMB Review;
Comment Request; Extension: Rule
17Ac3–1(a) and Form TA–W
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
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17Ac3–1(a) (17 CFR 240.17Ac3–
1(a)) and Form TA–W (17 CFR
249b.101), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Section 17A(c)(4)(B) of the Securities
Exchange Act of 1934 (15 U.S.C.
78c(a)(34)(B) authorizes transfer agents
registered with an appropriate
regulatory agency (‘‘ARA’’) to withdraw
from registration by filing with the ARA
a written notice of withdrawal and by
agreeing to such terms and conditions as
the ARA deems necessary or
appropriate in the public interest, for
the protection of investors, or in the
furtherance of the purposes of Section
17A.
In order to implement Section
17A(c)(4)(B) of the Exchange Act, the
Commission promulgated Rule 17Ac3–
1(a) and accompanying Form TA–W on
September 1, 1977. Rule 17Ac3–1(a)
provides that notice of withdrawal of
registration as a transfer agent with the
Commission shall be filed on Form TA–
W. Form TA–W requires the
withdrawing transfer agent to provide
the Commission with certain
information, including: (1) the locations
where transfer agent activities are or
were performed; (2) the reasons for
ceasing the performance of such
activities; (3) disclosure of unsatisfied
judgments or liens; and (4) information
regarding successor transfer agents.
The Commission uses the information
disclosed on Form TA–W to determine
whether the registered transfer agent
applying for withdrawal from
registration as a transfer agent should be
allowed to deregister and, if so, whether
the Commission should attach to the
granting of the application any terms or
conditions necessary or appropriate in

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78801

the public interest, for the protection of
investors, or in furtherance of the
purposes of Section 17A of the
Exchange Act. Without Rule 17Ac3–1(a)
and Form TA–W, transfer agents
registered with the Commission would
not have a means to voluntarily
deregister it is necessary or appropriate
to do so.
On average, respondents have filed
approximately 50 Form TA–Ws with the
Commission annually from 2020 to
2023. A Form TA–W filing occurs only
once, when a transfer agent is seeking
deregistration. In view of the readily
available information requested by Form
TA–W, its short and simple
presentation, and the Commission’s
experience with the filers, we estimate
that approximately 30 minutes is
required to complete and file Form TA–
W. Thus, the total annual time burden
to the transfer agent industry is
approximately 25 hours (50 filings × 0.5
hours). We estimate that the internal
labor cost of compliance per filing $39
(0.5 hours × $78 average hourly rate for
clerical staff time).1 Thus, the total
internal compliance cost per year is thus
approximately $975 (25 hours × $39 =
$975).
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
December 18, 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: November 13, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–25362 Filed 11–15–23; 8:45 am]
BILLING CODE 8011–01–P
1 The $78 per hour figure for clerical staff time is
from SIFMA’s Office Salaries in the Securities
Industry 2013, modified by Commission staff to
account for an 1,800-hour work-year and inflation,
and multiplied by 2.93 to account for bonuses, firm
size, employee benefits and overhead.

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