Federal Register 30-Day Submission Notice

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Federal Register / Vol. 91, No. 170 / Thursday, September 3, 2026 / Notices

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0385]

khammond on DSK9W7S144PROD with NOTICE

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 15g-9
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 15g-9 (17 CFR
240.15g-9), under the Securities
Exchange Act of 1934 (15 U.S. C. 78a et
seq.) (‘‘Exchange Act’’).
Section 15(c)(2) of the Exchange Act
authorizes the Commission to
promulgate rules reasonably designed to
prevent fraudulent, deceptive, or
manipulative device or contrivance in
connection with the over-the-counter
market. Pursuant to this authority, the
Commission adopted Rule 15g-9 to
require broker-dealers, prior to effecting
a person’s transaction in a penny stock,
to: (1) approve their account for
transactions in penny stocks by, among
other things: (a) obtaining from them
information concerning their financial
situation, investment experience, and
investment objectives; (b) reasonably
determining that transactions in penny
stocks are suitable for them, and that he
or she (or their independent adviser) has
sufficient knowledge and experience in
financial matters and is capable of
evaluating the risks of transactions in
penny stocks; and (c) delivering to them
a written statement: (i) setting forth the
basis on which the broker-dealer made
the suitability determination; (ii) stating
in a highlighted format that it is
unlawful for the broker-dealer to effect
a transaction in a penny stock unless the
broker-dealer has received, prior to the
transaction, a written agreement to the
transaction from the person; and (iii)
stating in a highlighted format
immediately preceding the person’s
signature line that: (A) the broker-dealer
is required to provide the person with
the written statement; and (B) the
person should not sign and return the
written statement to the broker-dealer if
it does not accurately reflect their
financial situation, investment
experience, and investment objectives;

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and (d)(i) obtaining from the person a
signed and dated copy of the statement;
and (ii) waiting at least two business
days after sending the statement to
effect the penny stock transaction.
As of May 1, 2026, there are 3,248
registered broker-dealers. Of the 3,248
broker-dealers, approximately five
percent, or 162 broker-dealers, are
engaged in penny stock transactions and
thereby subject to Rule 15g-9 (5% ×
3,248 broker-dealers = 162 brokerdealers). The Commission estimates that
each of these broker-dealers effects 3
persons’ first penny stock transaction
per week. Thus, each respondent
delivers approximately 156 penny stock
written statements per year (52 weeks
per year × 3 transactions per week) for
a total aggregate of approximately
25,272 responses per year (162
respondents × 156 penny stock written
statements per year).
The Commission estimates that a
broker-dealer would take approximately
one-half hour per new penny stock
investor to obtain, review, and process
(including delivering to the person) the
information required by Rule 15g-9, or
approximately 78 hours per year (156
new persons × .5 hours), for a total
aggregate burden of approximately
12,636 hours per year (162 respondents
× 78 hours per year) for this third-party
disclosure obligation.
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=202606-3235-016
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
October 5, 2026.
Dated: August 31, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–18006 Filed 9–2–26; 8:45 am]
BILLING CODE 8011–01–P

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SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–106245; File No. SR–
NYSEAMER–2026–75]

Self-Regulatory Organizations; NYSE
American LLC; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change To Modify the NYSE
American Options Fee Schedule
Regarding Fees and Rebates
Applicable to Manual Transactions
August 31, 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 August
18, 2026, NYSE American LLC (‘‘NYSE
American’’ or the ‘‘Exchange’’) filed
with the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I and II below, which Items have
been prepared by the self-regulatory
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 modify the
NYSE American Options Fee Schedule
(‘‘Fee Schedule’’) regarding fees and
rebates applicable to Manual
transactions. The proposed rule change
is available on the Exchange’s website at
www.nyse.com and at the principal
office of the Exchange.
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,
and basis for, the proposed rule change
and discussed any comments it received
on the proposed rule change. The text
of those statements may be examined at
the places specified in Item IV below.
The Exchange has prepared summaries,
set forth in sections A, B, and C below,
of the most significant parts of such
statements.

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

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