60-day Notice

89 FR 43915 (OMB 3235-0392).pdf

Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market

60-day Notice

OMB: 3235-0392

Document [pdf]
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Federal Register / Vol. 89, No. 98 / Monday, May 20, 2024 / Notices
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://www.sec.gov/
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
a.m. and 3 p.m. Copies of the filing also
will be available for inspection and
copying at the principal office of the
Exchange. Do not include personal
identifiable information in submissions;
you should submit only information
that you wish to make available
publicly. We may redact in part or
withhold entirely from publication
submitted material that is obscene or
subject to copyright protection. All
submissions should refer to file number
SR-CboeEDGX–2024–023 and should be
submitted on or before June 10, 2024.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.23
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024–10950 Filed 5–17–24; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–346, OMB Control No.
3235–0392]

lotter on DSK11XQN23PROD with NOTICES1

Proposed Collection; Comment
Request; Extension: Rule 15g–3
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
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Securities and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the existing collection of information
provided for in Rule 15g–3—Broker or
dealer disclosure of quotations and
23 17

other information relating to the penny
stock market (17 CFR 240.15g–3) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.). The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Rule 15g–3 requires that brokers and
dealers disclose to customers current
quotation prices or similar market
information in connection with
transactions in penny stocks. The
purpose of the rule is to increase the
level of disclosure to investors
concerning penny stocks generally and
specific penny stock transactions.
The Commission estimates that
approximately 170 broker-dealers will
each spend an average of approximately
87.0833333 hours annually to comply
with this rule. Thus, the total time
burden is approximately 14,804 hours
per year.
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
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
July 19, 2024.
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, 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: May 15, 2024.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024–10976 Filed 5–17–24; 8:45 am]
BILLING CODE 8011–01–P

CFR 200.30–3(a)(12).

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43915

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–100141; File No. SR–FICC–
2024–003]

Self-Regulatory Organizations; Fixed
Income Clearing Corporation; Notice of
Filing of Partial Amendment No. 1 and
Order Instituting Proceedings To
Determine Whether To Approve or
Disapprove a Proposed Rule Change,
as Modified by Partial Amendment No.
1, Concerning the Adoption of a
Minimum Margin Amount at GSD
May 14, 2024.

I. Introduction
On February 27, 2024, Fixed Income
Clearing Corporation (‘‘FICC’’) filed
with the Securities and Exchange
Commission (‘‘Commission’’) proposed
rule change SR–FICC–2024–003
pursuant to section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’) 1 and Rule 19b–4 thereunder.2
The notice of filing of the proposed rule
change was published for comment in
the Federal Register on March 15,
2024.3 On March 25, 2024, the
Commission extended the review period
of the proposed rule change, pursuant to
section 19(b)(2) of the Act,4 until June
13, 2024, as the date by which the
Commission shall either approve,
disapprove, or institute proceedings to
determine whether to disapprove the
proposed rule change.5 The Commission
has received comments regarding the
proposed rule change.6
On April 5, 2024, FICC filed Partial
Amendment No. 1 to the proposed rule
change to correct errors FICC discovered
regarding the impact analysis filed as
Exhibit 3 and discussed in the filing
narrative, as well as correct a typo in the
methodology formula in Exhibit 5b.7
1 15

U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 Securities Exchange Act Release No. 99711
(March 11, 2024), 89 FR 18991 (March 15, 2024)
(SR–FICC–2024–003).
4 15 U.S.C. 78s(b)(2)(ii).
5 Securities Exchange Act Release No. 99769
(March 19, 2024), 89 FR 20716 (March 25, 2024)
(SR–FICC–2024–003).
6 Comments on the proposed rule change are
available at https://www.sec.gov/comments/sr-ficc2024-003/srficc2024003.htm.
7 To promote the public availability and
transparency of its post-notice partial amendment,
FICC submitted a copy of Partial Amendment No.
1 through the Commission’s electronic public
comment letter mechanism. Accordingly, Partial
Amendment No. 1 has been posted to the
Commission’s website at https://www.sec.gov/
comments/sr-ficc-2024-003/srficc2024003-4556111167714.pdf and thus been publicly available since
April 5, 2024. FICC has requested confidential
treatment pursuant to 17 CFR 240.24b-2 with
respect to Exhibit 3 and Exhibit 5b.
2 17

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