Federal Register 30-Day Submission Notice

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Federal Register / Vol. 91, No. 184 / Thursday, September 24, 2026 / Notices
All submissions should refer to file
number SR–NYSETEX–2026–36. 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–2026–36
and should be submitted on or before
October 15, 2026.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.19
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–19511 Filed 9–23–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0806]

khammond on DSK9W7S144PROD with NOTICE

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 17a–4(b)(17)
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 approval of
extension of the previously approved
collection of information provided in
Rule 17a–4(b)(17) (17 CFR 240.17a–
4(b)(17), under the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.).
Rule 17a–4(b)(17) requires brokerdealers to preserve the written
probability of default determination
relied upon pursuant to the exception in
Rule 101(c)(2)(i) or Rule 102(d)(2)(i), as
applicable. Rule 17a–4(b)(17) requires
broker-dealers relying on either of those
exceptions to preserve for a period of
19 17 CFR 200.30–3(a)(12).

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not less than three years, the first two
years in an easily accessible place, the
written probability of default
determination made pursuant to Rule
101(c)(2)(i). Rule 17a–4(b)(17)’s record
preservation requirements involving the
written probability of default
determinations are mandatory if a
broker-dealer relies on the exception in
Rule 101(c)(2)(i) or Rule 102(d)(2)(i).
The burden imposed by Rule 17a–
4(b)(17) is limited to the maintenance
and preservation of the written records.
The information required by Rule
17a–4(b)(17) is designed to facilitate
Commission examinations of brokerdealers who rely on the exception in
Rule 101 or Rule 102, as applicable, for
nonconvertible debt securities and
nonconvertible preferred securities
(together ‘‘Nonconvertible Securities’’)
of certain credit-worthy issuers. Without
Rule 17a–4(b)(17), the Commission
would not have the same access to
necessary records in conducting
examinations of broker-dealers relying
on either of the exceptions.
Rule 17a–4(b)(17) results in two
information collections: initial and
ongoing recordkeeping burdens related
to preserving the written probability of
default calculation relied upon pursuant
to the exception in Rule 101(c)(2)(i) or
Rule 102(d)(2)(i), as applicable.
Initial Burden
To the extent there are new (in
relation to the previous 2023 estimate)
respondents relying on the applicable
exception in Rule 101(c)(2)(i) or Rule
102(d)(2)(i), the Commission estimates
that the record preservation
requirements under Rule 17a–4(b)(17)
will impose an initial burden of 25
hours per respondent for updating the
applicable policies and systems
required to account for preserving the
records made pursuant to Rule 101.
Assuming that all 275 respondents are
new entrants to the Nonconvertible
Securities markets and need to update
their policies and systems required to
account for preserving the records made
pursuant to Rule 101(c)(2)(i) (i.e.,
because they have not already done so),
the Commission estimates that the total
annual industry-wide initial burden for
this requirement is 2,292 hours.
Ongoing Burden
The Commission estimates that
respondents will incur an internal
ongoing annual burden of 10 hours per
firm for maintaining such records, as
well as to make additional updates to
the applicable record preservation
policies and systems to account for
preserving the records pursuant to Rule
17a–4(b)(17). The Commission estimates

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that the total annual ongoing burden is
2,750 hours.
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=202607-3235-009
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
October 26, 2026.
Dated: September 22, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–19558 Filed 9–23–26; 8:45 am]
BILLING CODE 8011–01–P

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[Release No. 34–106450; File No. SR–TXSE–
2026–032]

Self-Regulatory Organizations; Texas
Stock Exchange LLC; Notice of Filing
and Immediate Effectiveness of a
Proposed Rule Change To Modify the
Processing of Orders During a
Regulatory Halt and Certain Aspects of
the Exchange’s IPO Auctions, Halt
Auctions, and Volatility Closing
Auctions
September 21, 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
September 15, 2026, Texas Stock
Exchange LLC (the ‘‘Exchange’’ or
‘‘TXSE’’) 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 change from interested
persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange is filing with the
Securities and Exchange Commission
(‘‘Commission’’) a proposed rule change
to amend Rules 11.020H and 11.022 to
modify the processing of orders during
a Regulatory Halt and certain aspects of
the Exchange’s IPO Auctions, Halt
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.

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