Federal Register 30-Day Submission Notice​

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Federal Register / Vol. 91, No. 140 / Thursday, July 23, 2026 / Notices

C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were solicited
or received with respect to the proposed
rule change.
D. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were solicited
or received with respect to the proposed
rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The Exchange has filed the proposed
rule change pursuant to Section
19(b)(3)(A)(iii) of the Act 26 and Rule
19b–4(f)(6) thereunder.27 Because the
proposed rule change does not: (i)
significantly affect the protection of
investors or the public interest; (ii)
impose any significant burden on
competition; and (iii) become operative
prior to 30 days from the date on which
it was filed, or such shorter time as the
Commission may designate, if
consistent with the protection of
investors and the public interest, the
proposed rule change has become
effective pursuant to Section 19(b)(3)(A)
of the Act 28 and Rule 19b–4(f)(6)(iii)
thereunder.29
At any time within 60 days of the
filing of such proposed rule change, the
Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act. If the
Commission takes such action, the
Commission shall institute proceedings
under Section 19(b)(2)(B) 30 of the Act to
determine whether the proposed rule
change should be approved or
disapproved.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,

28 15 U.S.C. 78s(b)(3)(A).

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29 17 CFR 240.19b–4(f)(6). In addition, Rule 19b–

4(f)(6) requires a self-regulatory organization to give
the Commission written notice of its intent to file
the proposed rule change, along with a brief
description and text of the proposed rule change,
at least five business days prior to the date of filing
of the proposed rule change, or such shorter time
as designated by the Commission. The Exchange
has satisfied this requirement.
30 15 U.S.C. 78s(b)(2)(B).

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• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include file number SR–
NYSETEX–2026–28 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
All submissions should refer to file
number SR–NYSETEX–2026–28. 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–NYSETEX–2026–28
and should be submitted on or before
August 13, 2026.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.31
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–14858 Filed 7–22–26; 8:45 am]
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Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 206(4)–6

27 17 CFR 240.19b–4(f)(6).

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Electronic Comments

[OMB Control No. 3235–0571]

26 15 U.S.C. 78s(b)(3)(A)(iii).

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including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:

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

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31 17 CFR 200.30–3(a)(12).

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(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 extension of the
previously approved collection of
information discussed below.
The title for the collection of
information is ‘‘Rule 206(4)–6’’ under
the Investment Advisers Act of 1940 (15
U.S.C. 80b–1 et seq.) (‘‘Advisers Act’’)
and the collection has been approved
under OMB Control No. 3235–0571. The
Commission adopted rule 206(4)–6 (17
CFR 275.206(4)–6), the proxy voting
rule, to address an investment adviser’s
fiduciary obligation to clients who have
given the adviser authority to vote their
securities. Under the rule, an
investment adviser that exercises voting
authority over client securities is
required to: (i) adopt and implement
policies and procedures that are
reasonably designed to ensure that the
adviser votes securities in the best
interest of clients, including procedures
to address any material conflict that
may arise between the interest of the
adviser and the client; (ii) disclose to
clients how they may obtain
information on how the adviser has
voted with respect to their securities;
and (iii) describe to clients the adviser’s
proxy voting policies and procedures
and, on request, furnish a copy of the
policies and procedures to the
requesting client. The rule is designed
to assure that advisers that vote proxies
for their clients vote those proxies in
their clients’ best interest and provide
clients with information about how
their proxies were voted.
Rule 206(4)–6 contains ‘‘collection of
information’’ requirements within the
meaning of the Paperwork Reduction
Act. 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 collection is
mandatory and responses to the
disclosure requirement are not kept
confidential.
The respondents are investment
advisers registered with the Commission
that vote proxies with respect to clients’
securities. Advisory clients of these
investment advisers use the information
required by the rule to assess
investment advisers’ proxy voting
policies and procedures and to monitor
the advisers’ performance of their proxy
voting activities. The information
required by Advisers Act rule 204–2, a
recordkeeping rule, also is used by the
Commission staff in its examination and
oversight program. Without the
information collected under the rules,
advisory clients would not have

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Federal Register / Vol. 91, No. 140 / Thursday, July 23, 2026 / Notices
information they need to assess the
adviser’s services and monitor the
adviser’s handling of their accounts, and
the Commission would be less efficient
and effective in its programs.
The estimated number of investment
advisers subject to the collection of
information requirements under the rule
is 15,996. It is estimated that each of
these advisers is required to spend on
average 10 hours annually documenting
its proxy voting procedures under the
requirements of the rule, for a total
burden of 159,960 hours. We further
estimate that on average, approximately
377 clients of each adviser would
request copies of the underlying policies
and procedures. We estimate that it
would take these advisers 0.1 hours per
client to deliver copies of the policies
and procedures, for a total burden of
603,049 hours. Accordingly, we
estimate that rule 206(4)–6 results in an
annual aggregate burden of collection
for SEC-registered investment advisers
of a total of 763,009.2 hours.
Records related to an adviser’s proxy
voting policies and procedures and
proxy voting history are separately
required under the Advisers Act
recordkeeping rule 204–2 (17 CFR
275.204–2). The standard retention
period required for books and records
under rule 204–2 is five years, in an
easily accessible place, the first two
years in an appropriate office of the
investment adviser. OMB has previously
approved the collection with this
retention period.
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=202605-3235-004
or send an email comment to
MBX.OMB.OIRA.SEC_desk_officer@
omb.eop.gov within 30 days of the day
after publication of this notice by
August 24, 2026.
Dated: July 21, 2026.
Sherry R. Haywood,
Assistant Secretary.
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SECURITIES AND EXCHANGE
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[OMB Control No. 3235–0078]

Agency Information Collection
Activities; Proposed Collection;
Comment Request; Extension: Rule
15c3–3
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 15c3–3 (17 CFR
240.15c3–3), 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.
With respect to the extension of the
previously approved collection of
information, Rule 15c3–3 requires that a
broker-dealer that holds customer
securities obtain and maintain
possession and control of fully-paid and
excess margin securities they hold for
customers. In addition, the Rule
requires that a broker-dealer that holds
customer funds make either a weekly or
monthly computation to determine
whether certain customer funds need to
be segregated in a special reserve bank
account for the exclusive benefit of the
firm’s customers. It also requires that a
broker-dealer maintain a written
notification from each bank where a
Special Reserve Bank Account is held
acknowledging that all assets in the
account are for the exclusive benefit of
the broker-dealer’s customers, and to
provide written notification to the
Commission (and its designated
examining authority) under certain,
specified circumstances. In addition, it
requires broker-dealers that sell
securities futures products to customers
to provide certain notifications to
customers and make a record of any
changes of account type. Finally, it
includes segregation and notice
requirements for broker-dealers with
respect to their security-based swap
activity.
A broker-dealer required to maintain
the Special Reserve Bank Account
prescribed by Rule 15c3–3 must obtain
and retain a written notification from
each bank in which it has a Special
Reserve Bank Account to evidence the
bank’s acknowledgement that assets

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deposited in the Account are being held
by the bank for the exclusive benefit of
the broker-dealer’s customers. In
addition, a broker-dealer must
immediately notify the Commission and
its designated examining authority if it
fails to make a required deposit to its
Special Reserve Bank Account.
In 2024, the Commission adopted
amendments to require carrying brokerdealers to compute the reserve
computation on a daily instead of
weekly basis, provided that such brokerdealers have average total credits above
a minimum threshold.
The Commission staff estimates that
the aggregate annual information
collection burden associated with Rule
15c3–3 is approximately 1,459,681
hours and $5,076,465.
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.
Written comments are invited on: (a)
whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the proposed collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information to be 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 in
writing within 60 days of this
publication.
Please direct your written comments
on this 60-Day Collection Notice to
Austin Gerig, Director/Chief Data
Officer, Securities and Exchange
Commission, c/o Tanya Ruttenberg via
email to PaperworkReductionAct@
sec.gov by September 21, 2026.
Dated: July 21, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–14929 Filed 7–22–26; 8:45 am]
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