Federal Register 30-Day Notice

2978

Federal Register / Vol. 91, No. 15 / Friday, January 23, 2026 / Notices

Commission, 100 F Street NE,
Washington, DC 20549–1090.
All submissions should refer to file
number SR–IEX–2026–01. This file
number should be included on the
subject line if email is used. To help the
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 filing 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–IEX–2026–01 and
should be submitted on or before
February 13, 2026.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.21
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–01207 Filed 1–22–26; 8:45 am]
BILLING CODE 8011–01–P

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[OMB Control No. 3235–0012]

lotter on DSK11XQN23PROD with NOTICES1

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 15b1–1 and Form BD
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
(‘‘SEC’’ or ‘‘Commission’’) is submitting
to the Office of Management and Budget
(‘‘OMB’’) this request for extension of
the proposed collection of information
provided for in Rule 15b1–1 (17 CFR
240.15b1–1) and Form BD (17 CFR
249.501) under the Securities Exchange
Act of 1934 (17 U.S.C. 78a et seq.)
‘‘Exchange Act’’).
Under the Exchange Act, brokerdealers must register with Commission.
Exchange Act Section 15(a)(1) provides
that it is unlawful for broker-dealers to
solicit or effect transactions in most
21 17

CFR 200.30–3(a)(12).

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securities unless they are registered as
broker-dealers with the Commission
pursuant to Exchange Act Section 15(b).
Exchange Act Section 15B(a)(1) also
provides that it is unlawful for
municipal securities dealers, other than
registered broker-dealers, to solicit or
effect transactions in municipal
securities unless they are registered
with the Commission as municipal
securities dealers pursuant to Exchange
Act Section 15B(a)(2). In addition,
Exchange Act Section 15C(a)(1)
provides that it is unlawful for
government securities broker-dealers,
other than registered broker-dealers and
certain financial institutions, to solicit
or effect transactions in government
securities unless they are registered as
government securities broker-dealers
with the Commission pursuant to
Exchange Act Section 15C(a)(2).
Exchange Act Sections 15(b)(1) and
(2) authorize the Commission to
prescribe by rule an application form for
registration that contains such
information about broker-dealers that is
necessary or appropriate in the public
interest or for the protection of
investors. Exchange Act Section 17(a)(1)
authorizes the Commission to require
registered broker-dealers and registered
municipal securities dealers to make
and file such reports as the Commission
determines as necessary or appropriate
in the public interest or for the
protection of investors.
To implement these provisions, the
Commission adopted Rule 15b1–1 and
Form BD. Form BD is the uniform
application for broker-dealer
registration. Form BD requires the
applicant or registrant filing the form to
provide the Commission with certain
information concerning the nature of its
business and the background of its
principals, controlling persons, and
employees. Form BD is designed to
permit the Commission to determine
whether the applicant meets the
statutory requirements to engage in the
securities business. In addition, Form
BD is used to change information
contained in a previous Form BD filing
that becomes inaccurate.
The total industry-wide annual time
burden imposed by Form BD is
approximately 3,547 hours, based on
approximately 9,481 responses (160
initial filings + 9,321 amendments).
Each application filed on Form BD
requires approximately 2.75 hours to
complete and each amended Form BD
requires approximately 20 minutes to
complete. (160 × 2.75 hours = 440
hours; 9,321 × 0.33333333 hours = 3,107
hours; 440 hours + 3,107 hours = 3,547
hours.) The staff believes that a brokerdealer would have a Compliance

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Manager complete and file both
applications and amendments on Form
BD at a cost of $385/hour.
Consequently, the staff estimates that
the total internal cost of compliance
associated with the annual time burden
is approximately $1,365,595 per year
($385 × 3,547).
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 OMB
Control Number.
The public may view and comment
on this information collection request
at: https://www.reginfo.gov/public/do/
PRAViewICR?ref_nbr=202509-3235-012
or email comment to
MBX.OMB.OIRA.SEC_desk_officer@
omb.eop.gov within 30 days of the day
after publication of this notice, by
February 23, 2026.
Dated: January 21, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–01307 Filed 1–22–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–104636; File No. SR–NYSE–
2026–02]

Self-Regulatory Organizations; New
York Stock Exchange LLC; Notice of
Filing of Proposed Rule Change To
Streamline and Modernize Rule 76
January 20, 2026.

Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934
(‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that on January 8,
2026, New York Stock Exchange LLC
(‘‘NYSE’’ or the ‘‘Exchange’’) filed with
the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by the selfregulatory organization. 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 streamline
and modernize Rule 76. The proposed
rule change is available on the
Exchange’s website at www.nyse.com
and at the principal office of the
Exchange.
1 15

U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
2 15

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