Federal Register 30-Day Notice

2986

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

For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.15
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–01205 Filed 1–22–26; 8:45 am]
BILLING CODE 8011–01–P

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

lotter on DSK11XQN23PROD with NOTICES1

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Request
for a New OMB Control Number: Cost
of AML/CFT Compliance Survey
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 a new OMB
Control Number for the proposed
collection of information. The collection
of information is in the form of a survey
and will seek information on Bank
Secrecy Act (‘‘BSA’’) 1 Anti-Money
Laundering (‘‘AML’’)/Countering the
Financing of Terrorism (‘‘CFT’’)
compliance costs and related topics.
The collection of information is
voluntary. The purpose of the collection
of information is to better understand
the cost of AML/CFT compliance for
entities registered with the Commission
that have AML/CFT obligations under
the BSA. The information collected will
help assess the cumulative impact of
BSA AML/CFT regulations and may
inform efforts to adjust regulatory
obligations and advance deregulatory
proposals consistent with the executive
orders of the Trump administration. The
data may also support the development
of deregulatory rulemakings or guidance
to reduce compliance burden without
compromising the effectiveness of
current AML/CFT frameworks. Subject
to the provisions of the Freedom of
Information Act, 5 U.S.C. 552, and the
Commission’s rules thereunder (17 CFR
200.80(b)(4)(iii)), the Commission will
not generally publish or make available
information contained in any reports,
summaries, analyses, letters, or
memoranda arising out of this
collection. As such, individual
15 17
1 31

CFR 200.30–3(a)(12).
U.S.C. 5311 et seq.

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responses to the survey will not be
made publicly available and will not be
used for examination or enforcement
purposes.
There are approximately 3,289
registered broker-dealers and 1,355
registered mutual funds. The staff
estimates that the average amount of
time necessary to complete the survey
will be eight hours. Each respondent
choosing to respond would only need to
complete the survey once. The total
burden, if all respondents reply, would
therefore be 37,152 hours.
Interested members of the public may
view the proposed survey on at the
following web page: https://
www.sec.gov/files/sec-bsa-aml-cftburden-survey.pdf.
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=202601-3235-009
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. 2026–01306 Filed 1–22–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0670]

Agency Information Collection
Activities; Proposed Collection;
Comment Request; Extension: Rule
201 and Rule 200(g) of Regulation SHO
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 soliciting comments
on the existing collection of information
provided for in Rule 201 (17 CFR
242.201) and Rule 200(g) (17 CFR
242.200(g)) 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.

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Rule 201 is a short sale-related circuit
breaker rule that, if triggered, imposes a
restriction on the prices at which
securities may be sold short. Rule 200(g)
provides that a broker-dealer may mark
certain qualifying sell orders ‘‘short
exempt.’’ The information collected
under Rule 201’s written policies and
procedures requirement applicable to
trading centers, the written policies and
procedures requirement of the brokerdealer provision of Rule 201(c), the
written policies and procedures
requirement of the riskless principal
provision of Rule 201(d)(6), and the
‘‘short exempt’’ marking requirement of
Rule 200(g) enable the Commission and
self-regulatory organizations (‘‘SROs’’)
to examine and monitor for compliance
with the requirements of Rule 201 and
Rule 200(g).
In addition, the information collected
under Rule 201’s written policies and
procedures requirement applicable to
trading centers help ensure that trading
centers do not execute or display any
impermissibly priced short sale orders,
unless an order is marked ‘‘short
exempt,’’ in accordance with the Rule’s
requirements. Similarly, the information
collected under the written policies and
procedures requirement of the brokerdealer provision of Rule 201(c) and the
riskless principal provision of Rule
201(d)(6) help to ensure that brokerdealers comply with the requirements of
these provisions. The information
collected pursuant to the ‘‘short
exempt’’ marking requirement of Rule
200(g) also provides an indication to a
trading center when it must execute or
display a short sale order without regard
to whether the short sale order is at a
price that is less than or equal to the
current national best bid.
It is estimated that SRO and non-SRO
respondents registered with the
Commission and subject to the
collection of information requirements
of Rule 201 and Rule 200(g) incur an
aggregate annual burden of 1,446,553
hours to comply with the Rules and an
aggregate annual external cost of
$248,000.
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.
Written comments are invited on: (a)
whether this proposed collection of
information is necessary for the proper
performance of the functions of the SEC,
including whether the information will
have practical utility; (b) the accuracy of
the SEC’s estimate of the burden
imposed by the proposed collection of
information, including the validity of
the methodology and the assumptions

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