Federal Register 30-Day Submission Notice

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Federal Register / Vol. 91, No. 185 / Friday, September 25, 2026 / Notices

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–NYSE–2026–44 and
should be submitted on or before
October 16, 2026.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.17
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–19634 Filed 9–24–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0031]

lotter on DSK8BHNXB4PROD with NOTICES1

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 17f–2(e)
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 17f–2(e) (17 CFR
240.17f–2(e)), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Section 17(f)(2) requires, in pertinent
part, that every member of a national
securities exchange, broker, dealer,
registered transfer agent, and registered
clearing agency (collectively, ‘‘covered
entities’’) require that each of their
partners, directors, officers, and
employees be fingerprinted and submit
(or cause to be submitted) such
fingerprints to the U.S. Attorney General
for identification and appropriate
processing.1 Section 17(f)(2) also
authorizes the Commission, by rule, to
exempt from the fingerprinting
requirements of Section 17(f)(2) upon
specified terms, conditions, and
periods, any class of partners, directors,
officers, and employees of a covered
entity, if the Commission finds that
such action is not inconsistent with the
public interest or the protection of

investors. Rule 17f–2 promulgated
under Section 17(f)(2) provides for
certain exemptions from the
fingerprinting requirement of Section
17(f)(2).2 Under Rule 17f–2, a covered
entity may claim an exemption from the
fingerprint requirements of Rule 17f–2
provided they make and keep current a
statement entitled ‘‘Notice Pursuant to
Rule 17f–2’’ containing the information
specified in Rule 17f–2(e)(1) to support
their claim of exemption (‘‘Notice’’).3
Rule 17f–2(e)(2) requires covered
entities to keep a copy of the Notice in
an easily accessible place at the
organization’s principal office and at the
office employing the persons for whom
exemptions are claimed, and to make
the Notice available for inspection upon
request by the Commission, appropriate
regulatory agency (if not the
Commission), or other designated
examining authority. Notices prepared
pursuant to Rule 17f–2(e) must be
maintained for different lengths of time
depending on the type of entity
maintaining the Notice. Under Rule
240.17a–1, every registered clearing
agency must keep and preserve at least
one copy of all documents made or
received by it in the course of its
business for a period of not less than
five years. Under Rule 240.17a–4 certain
members of national securities
exchanges, brokers, and dealers must
maintain the Notice during the life of
their enterprise. Under Rule 240.17Ad–
7, registered transfer agents must
maintain the Notice in an easily
accessible place. The recordkeeping
requirement under Rule 17f–2(e) assists
the Commission and other regulatory
agencies with helping ensure
compliance with Rule 17f–2.
Based on the Commission’s
experience with Rule 17f–2(e), we
estimate that approximately 75
respondents will incur an average
burden of 30 minutes per year to
comply with this rule, which represents
the time it takes for a staff person at a
covered entity to properly document a
claimed exemption from the
fingerprinting requirements of Rule 17f–
2 in the required Notice (0.4 hours,
constituting a reporting type of burden)
and to properly retain the Notice
according to the entity’s record
retention policies and procedures (0.1
hours, constituting a recordkeeping type
of burden). The estimated aggregate
annual burden for all covered entities is
approximately 38 hours (75 entities ×
0.5 hours, rounded up).
An agency may not conduct or
sponsor, and a person is not required to

17 17 CFR 200.30–3(a)(12).

2 17 CFR 240.17f–2.

1 15 U.S.C. 78q(f)(2).

3 17 CFR 240.17f–2(e).

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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=202607-3235-008
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 26, 2026.
Dated: September 22, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–19614 Filed 9–24–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–106464; File No. SR–
NYSETEX–2026–35]

Self-Regulatory Organizations; NYSE
Texas, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend NYSE Texas
Article 6, Rule 13
September 22, 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
September 10, 2026, the NYSE Texas,
Inc. (‘‘NYSE Texas’’ 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 amend
NYSE Texas Article 6, Rule 13
(Registration Requirements) applicable
to Participants 4 to align with a recent
amendment by the Financial Industry
Regulatory Authority, Inc. (‘‘FINRA’’).
1 15 U.S.C. 78s(b)(1).
2 15 U.S.C. 78a.
3 17 CFR 240.19b–4.
4 In general, the term ‘‘Participant’’ means any
Participant Firm that holds a valid Trading Permit
and any person associated with a Participant Firm
who is registered with the Exchange under Articles
16 and 17 as a Market Maker Authorized Trader or
Institutional Broker Representative, respectively. A
Participant shall be considered a ‘‘member’’ of the
Exchange for purposes of the Exchange Act. See
Article 1, Rule 1(s). For a complete definition of the
term ‘‘Participant,’’ see Article 1, Rule 1(s).

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