Federal Register 30-Day Notice

Federal Register / Vol. 91, No. 20 / Friday, January 30, 2026 / Notices
as well as what types of accounts and
services are appropriate for their needs.
The information that must be
collected pursuant to Rule 17a–14 and
Form CRS is necessary to provide
broker-dealer retail customers,
prospective retail customers, and the
Commission with information about the
relationships and services the firm
offers to retail investors, fees and costs
that the retail investor will pay, specific
conflicts of interest and standards of
conduct, legal or disciplinary history,
and how to obtain additional
information about the firm. The
Commission uses the information to
manage its regulatory and examination
programs. Retail investors can use the
information required in the relationship
summary to determine whether to hire
or retain a broker-dealer, as well as what
types of accounts and services are
appropriate for their needs. The
information will therefore help establish
a framework that protects investors and
promotes efficiency, competition, and
capital formation.
The aggregate annual hour burden for
all respondents to comply with the
information collection requirements of
Rule 17a–14 and Form CRS is estimated
to be approximately 7,424,299 hours per
year. Under Rule 17a–14 and Form CRS,
respondents will also incur cost
burdens. The aggregate annual initial
cost burden for all respondents is
estimated to be approximately $142,554
per year.
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=202511-3235-004
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
March 2, 2026.
Dated: January 28, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–01889 Filed 1–29–26; 8:45 am]
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SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
35918; 812–15958]

Carillon Series Trust and Carillon
Tower Advisers, Inc.
January 27, 2026.

Securities and Exchange
Commission (‘‘Commission’’ or ‘‘SEC’’).
ACTION: Notice.
AGENCY:

Notice of an application under
Section 6(c) of the Investment Company
Act of 1940 (‘‘Act’’) for an exemption
from Section 15(c) of the Act.
SUMMARY OF APPLICATION: The requested
exemption would permit a Trust’s board
of trustees to approve new sub-advisory
agreements and material amendments to
existing sub- advisory agreements
without complying with the in-person
meeting requirement of Section 15(c) of
the Act.
APPLICANTS: Carillon Series Trust and
Carillon Tower Advisers, Inc.
FILING DATES: The application was filed
on December 18, 2025.
HEARING OR NOTIFICATION OF HEARING:
An order granting the requested relief
will be issued unless the Commission
orders a hearing. Interested persons may
request a hearing on any application by
emailing the SEC’s Secretary at
[email protected] and serving
the Applicants with a copy of the
request by email, if an email address is
listed for the relevant Applicant below,
or personally or by mail, if a physical
address is listed for the relevant
Applicant below. The email should
include the file number referenced
above. Hearing requests should be
received by the Commission by 5:30
p.m., Eastern time, on February 23,
2026, and should be accompanied by
proof of service on the Applicants, in
the form of an affidavit or, for lawyers,
a certificate of service. Pursuant to rule
0–5 under the Act, hearing requests
should state the nature of the writer’s
interest, any facts bearing upon the
desirability of a hearing on the matter,
the reason for the request, and the issues
contested. Persons who wish to be
notified of a hearing may request
notification by emailing the
Commission’s Secretary.
ADDRESSES: The Commission:
[email protected]. Applicants:
Susan L. Walzer, Carillon Series Trust,
[email protected], with a
copy to: Kathy Kresch Ingber, Esq., K&L
Gates LLP, [email protected].
FOR FURTHER INFORMATION CONTACT:
Trace W. Rakestraw, Senior Special

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Counsel, at (202) 551–6825 (Division of
Investment Management, Chief
Counsel’s Office).
SUPPLEMENTARY INFORMATION: For
Applicants’ representations, legal
analysis, and conditions, please refer to
Applicants’ application, dated
December 18, 2025, which may be
obtained via the Commission’s website
by searching for the file number at the
top of this document, or for an
Applicant using the Company name
search field, on the SEC’s EDGAR
system. The SEC’s EDGAR system may
be searched at https://www.sec.gov/
search-filings.
You may also call the SEC’s Office of
Investor Education and Advocacy at
(202) 551–8090.
For the Commission, by the Division of
Investment Management, under delegated
authority.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–01829 Filed 1–29–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0444]

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 10b–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.), 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 10b–10 (17 CFR
240.10b–10) under the Securities and
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Rule 10b–10 requires broker-dealers
to disclose specified information to
customers regarding their securities
transactions. The information required
by the rule includes the date and time
of the transaction, the identity and
number of shares bought or sold, and
whether the broker-dealer acts as agent
for the customer or as principal for its
own account. In addition, depending on
whether the broker-dealer acts as agent
for the customer or as principal for its
own account, the rule requires the
disclosure of commissions and, under

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Federal Register / Vol. 91, No. 20 / Friday, January 30, 2026 / Notices

specified circumstances, mark-up and
mark-down information. For
transactions in debt securities (other
than U.S. savings bonds and municipal
securities) the rule requires the
disclosure of redemption and yield
information. For transactions in
securities futures products in a futures
account, the rule permits the disclosure
of alternative information. This
alternative information includes: the
date the transaction was executed; the
identity and number of shares bought or
sold; the price, the delivery month, and
the exchange on which the transaction
was executed; the source and amount of
any remuneration received or to be
received by the broker-dealer in
connection with the transaction;
whether the broker receives payment for
order flow for such transactions; and the
fact that other specified information,
including whether the broker-dealer is
acting as agent or principal, will be
available upon written request. Rule
10b–10 also requires broker-dealers to
inform their customers if they are not
members of the Securities Investor
Protection Corporation (‘‘SIPC’’).
The confirmation has long been a
customary document in the securities
industry, and it serves several functions,
which include: broker-dealers use it as
a billing statement; it serves as a
customer invoice; it informs customers
of the details of transactions and
facilitates their checking for errors or
misunderstandings; it provides
information that helps investors
evaluate the cost and quality of services
provided by broker-dealers; it discloses
conflicts of interest that may arise
between investors and broker-dealers;
and it safeguards against fraud by
helping customers detect problems with
transactions.
Rule 10b–10 potentially applies to all
the approximately 3,292 broker-dealers
that are registered with the Commission
and that effect transactions for or with
customers. Based on information
provided by registered broker-dealers to
the Commission in annual Form X–17a–
5 Schedule I FOCUS Reports filed from
January 1, 2022 to December 31, 2024,
the Commission staff estimates that on
average, registered broker-dealers
process approximately 36,202,574,610
order tickets per year for transactions for
or with customers. Each order ticket
representing a transaction effected for or
with a customer generally results in one
confirmation. Therefore, the
Commission staff estimates that
approximately 36,202,574,610
confirmations are sent to customers
annually. Based on information
provided by industry participants,
Commission staff estimates that it takes

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approximately 30 seconds to generate
and send a confirmation. As a result, the
Commission staff estimates that the
annual burden to brokers-dealers to
comply with the confirmation delivery
requirements of Rule 10b–10 would be
approximately 301,688,122 hours
(36,202,574,610 confirmation × 0.5
minutes/confirmation × 1 hour/60
minutes).
Based on informal discussions with
securities industry representatives, as
well as representations made in requests
for exemptive and no-action letters,
Commission staff estimates that brokerdealers use electronic confirmations as
their sole confirmations for
approximately 35 percent of
transactions. Commission staff estimates
that broker-dealers continue to send
paper confirmations for the remaining
65 percent of transactions. Accordingly,
approximately 23,531,673,497 paper
confirmations are mailed to customers
each year (36,202,574,610 × 0.65) and
12,670,901,114 wholly electronic
confirmations are sent each year
(36,202,574,610 × 0.35).
According to information provided by
industry participants, the Commission
staff estimates that the average cost for
a paper confirmation is 85 cents and the
average cost for a wholly electronic
confirmation is 40 cents. Accordingly,
the Commission staff estimates that the
total annual cost associated with
generating and mailing paper
confirmations is approximately
$20,001,922,473 (23,531,673,497 paper
confirmations × $0.85 per confirmation)
and the total annual cost associated
with generating and sending wholly
electronic confirmations is
approximately $5,068,360,446
(12,670,901,114 electronic
confirmations × $0.40 per confirmation).
Accordingly, Commission staff
estimates that the total annual cost
associated with generating and
delivering to investors the information
required under Rule 10b–10 is
approximately $25,070,282,919
($20,001,922,473 + $5,068,360,446).
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=202511-3235-005
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
March 2, 2026.

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Dated: January 28, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–01890 Filed 1–29–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–104694; File No. SR–BOX–
2026–02]

Self-Regulatory Organizations; BOX
Exchange LLC; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change To Amend BOX Rule 5050
(Series of Options Contracts Open for
Trading) To Permit the Listing of Up to
Two Monday and Wednesday
Expirations for Options on Certain
Individual Stocks or Exchange-Traded
Fund Shares
January 27, 2026.

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 January
20, 2026, BOX Exchange LLC
(‘‘Exchange’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which Items have been prepared
by the Exchange. The Commission is
publishing this notice to solicit
comments on the proposed rule from
interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend
BOX Rule 5050 (Series of Options
Contracts Open for Trading).
Specifically, the Exchange proposes to
amend BOX IM–5050–6 (Short Term
Option Series Program) to permit the
listing of up to two Monday and
Wednesday expirations for options on
certain individual stocks or ExchangeTraded Fund Shares. The text of the
proposed rule change is available from
the principal office of the Exchange, at
the Commission’s Public Reference
Room and also on the Exchange’s
internet website at https://rules.box
exchange.com/rulefilings.
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
self-regulatory organization included
statements concerning the purpose of,
1 15
2 17

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U.S.C. 78s(b)(1).
CFR 240.19b–4.

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