30 Day Notice

3235-0485.pdf

Rule 15c2-1; Hypothecation of Customer Securities

30 Day Notice

OMB: 3235-0485

Document [pdf]
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Federal Register / Vol. 88, No. 244 / Thursday, December 21, 2023 / Notices
associated with the information
collection requirements.
The estimate of average burden hours
is made solely for purposes of the
Paperwork Reduction Act and is not
derived from a comprehensive or even
a representative survey or study of the
cost of Commission rules. The
collection of information required by
rule 2a–5 is necessary to obtain the
benefits of the rule. Other information
provided to the Commission in
connection with staff examinations or
investigations is kept confidential
subject to the provisions of applicable
law. If information collected pursuant to
rule 2a–5 is reviewed by the
Commission’s examination staff, it is
accorded the same level of
confidentiality accorded to other
responses provided to the Commission
in the context of its examination and
oversight program. 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 by January 22, 2024 to (i)
MBX.OMB.OIRA.SEC_desk_officer@
omb.eop.gov 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 18, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–28115 Filed 12–20–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION

khammond on DSKJM1Z7X2PROD with NOTICES

[SEC File No. 270–418, OMB Control No.
3235–0485]

Submission for OMB Review;
Comment Request; Extension: Rule
15c2–1
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736

VerDate Sep<11>2014

18:15 Dec 20, 2023

Jkt 262001

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 15c2–1, (17 CFR 240.15c2–1),
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 15c2–1 prohibits broker-dealers
from commingling under the same lien
securities of their margin customers
with securities of the broker-dealer and
those of other customers without their
written consent. The rule also prohibits
the re-hypothecation of customers’
margin securities for a sum in excess of
the customer’s aggregate indebtedness.
Respondents must collect information
necessary to prevent the rehypothecation of customer securities,
issue and retain copies of notices of
hypothecation of customer securities,
and collect written consents from
customers.
There are approximately 59
respondents. Each of these respondents
makes an estimated 45 responses per
year and each response takes
approximately 0.5 hours to complete,
resulting in an industry-wide annual
burden of approximately 1,327 hours.
The retention period for the
recordkeeping requirement under Rule
15c2–1 is not less than two years
following the date the notice is
submitted. The recordkeeping
requirement under this rule is
mandatory to assist the Commission in
monitoring respondents who fail to
collect the information required under
the rule. This rule 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
January 22, 2024 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].

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Dated: December 18, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–28114 Filed 12–20–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–99189; File No. SR–MRX–
2023–25]

Self-Regulatory Organizations; Nasdaq
MRX, LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend Options 7,
Section 6
December 15, 2023.

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 December
5, 2023, Nasdaq MRX, LLC (‘‘MRX’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission (‘‘SEC’’ or
‘‘Commission’’) the proposed rule
change as described in Items I, II, and
III below, which Items have been
prepared by the Exchange. 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 amend its
Rules at Options 7, Section 6, Ports and
Other Services.3
The text of the proposed rule change
is available on the Exchange’s website at
https://listingcenter.nasdaq.com/
rulebook/mrx/rules, at the principal
office of the Exchange, and at the
Commission’s Public Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
the most significant aspects of such
statements.
1 15

U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 The Exchange initially filed the proposed
pricing changes on November 28, 2023 (SR–MRX–
2023–23). On December 5, 2023, the Exchange
withdrew that filing and submitted this filing.
2 17

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