Federal Register 30-Day Submission Notice

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

1210, Supplementary Material .06.
Specifically, the Exchange believes that
the proposed rule change protects
investors and the public interest by
conforming the Exchange’s qualification
examination waiting periods to FINRA’s
amended requirements, thereby
promoting consistency across the
regulatory framework and reducing
potential confusion for Participants and
their associated persons. As described
in detail in the FINRA Rule Change,
changes to the FINRA qualification
program have reduced the risks that
originally informed the current waiting
periods, and the shortened periods
continue to provide sufficient time for
the maintenance of examination
integrity and the investigation of
potential misconduct. The proposed
rule change also fosters cooperation and
coordination with persons engaged in
regulating transactions in securities by
aligning the Exchange’s qualification
examination requirements with those of
FINRA. Further, the proposed rule
change removes impediments to and
perfects the mechanism of a free and
open market by reducing unnecessary
barriers to entry for individuals seeking
to register to work in the securities
industry.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
The Exchange does not believe that
the proposed rule change will impose
any burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act. The
proposed rule change does not impose
any undue burden on competition;
rather, it conforms the Exchange’s
qualification examination waiting
periods to FINRA’s amended
requirements and does not impose any
new obligations or restrictions on
Participants. The proposed rule change
may benefit all Participants by allowing
them to more quickly make personnel
decisions regarding their associated
persons’ qualification examination
retake timing.

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C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others

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

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IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
Electronic Comments
• 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–2026–35 on the subject line.
Paper Comments

No written comments were solicited
or received with respect to the proposed
rule change.

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19(b)(3)(A)(iii) of the Act 12 and Rule
19b–4(f)(6) thereunder.13 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 and Rule 19b–4(f)(6)(iii)
thereunder.
A proposed rule change filed under
Rule 19b–4(f)(6) 14 normally does not
become operative prior to 30 days after
the date of the filing. However, pursuant
to Rule 19b–4(f)(6)(iii),15 the
Commission may designate a shorter
time if such action is consistent with the
protection of investors and the public
interest.
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) 16 of the Act to
determine whether the proposed rule
change should be approved or
disapproved.

• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
12 15 U.S.C. 78s(b)(3)(A)(iii).
13 17 CFR 240.19b–4(f)(6).
14 17 CFR 240.19b–4(f)(6).

All submissions should refer to file
number SR–NYSETEX–2026–35. 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–2026–35
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. 2026–19632 Filed 9–24–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0671]

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 613 of Regulation NMS
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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
connection in connection with a
National Market System (NMS) Plan
filed with the Commission under Rule
613 (17 CFR 242.613), under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 613 of Regulation NMS (17 CFR
part 242) required national securities
exchanges and national securities
associations (collectively, the
‘‘Participants’’) to jointly submit to the

15 17 CFR 240.19b–4(f)(6)(iii).
16 15 U.S.C. 78s(b)(2)(B).

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17 17 CFR 200.30–3(a)(12).

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

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Commission a national market system
(‘‘NMS’’) plan to govern the creation,
implementation, and maintenance of a
consolidated audit trail (‘‘CAT’’) and
Central Repository for the collection of
information for NMS securities. On
February 27, 2015, the Participants
submitted the CAT NMS Plan to the
Commission.1 On April 27, 2016, the
Commission published a notice
soliciting comments from the public
(‘‘CAT NMS Plan Notice’’).2 On
November 15, 2016, the Commission
approved the CAT NMS Plan (‘‘CAT
NMS Plan Order’’), including the
information collections proposed in the
CAT NMS Plan Notice, and certain
additional information collections.3
Since 2017 the Commission has
approved several amendments to the
CAT NMS Plan and issued exemptive
relief from its requirements. Some of
these amendments and/or exemptive
relief orders have resulted in data being
removed from the CAT. For instance,
the Commission has issued exemptive
relief from and approved amendments
to the CAT NMS Plan to enable the
SROs to remove customer and accountlevel information from the CAT.4 The
1 See Letter from Participants to Brent J. Fields,
Secretary, Commission, dated February 27, 2015.
The Participants filed the CAT NMS Plan on
September 30, 2014. See Letter from the
Participants to Brent J. Fields, Secretary,
Commission, dated September 30, 2014. The CAT
NMS Plan filed on February 27, 2015, was an
amendment to and replacement of the Initial CAT
NMS Plan (the ‘‘Amended and Restated CAT NMS
Plan’’). On December 24, 2015, the Participants
submitted an Amendment to the Amended and
Restated CAT NMS Plan. See Letter from
Participants to Brent J. Fields, Secretary,
Commission, dated December 23, 2015 (the
‘‘Amendment’’). On February 9, 2016, the
Participants filed with the Commission an identical,
but unmarked, version of the Amended and
Restated CAT NMS Plan, dated February 27, 2015,
as modified by the Amendment, as well as a copy
of the request for proposal issued by the
Participants to solicit Bids from parties interested
in serving as the Plan Processor for the consolidated
audit trail. Unless the context otherwise requires,
the ‘‘CAT NMS Plan’’ shall refer to the Amended
and Restated CAT NMS Plan, as modified by the
Amendment.
2 See Securities Exchange Act Release No. 77724
(April 27, 2016), 81 FR 30613 (May 17, 2016). The
burdens associated with the CAT NMS Plan Notice
were submitted under OMB number 3235–0671
which relates to the NMS Plan required to be filed
under Rule 613.
3 See Securities Exchange Act Release No. 79318
(November 15, 2016), 81 FR 84696 (November 23,
2016), available at https://www.sec.gov/rules/sro/
nms/2016/34-79318.pdf (‘‘CAT NMS Plan Order’’).
4 See, e.g., Securities Exchange Act Release No.
88393 (Mar. 17, 2020), 85 FR 16152 (Mar. 20, 2020)
(the ‘‘2020 PII Exemptive Relief Order’’) (providing
conditional exemptive relief from CAT NMS Plan
requirements obligating the SROs to collect social
security numbers (‘‘SSNs’’) and/or individual tax
payer identification numbers (‘‘ITINs’’), dates of
birth, and account numbers associated with natural
persons); Securities Exchange Act Release No.
102386 (Feb. 10, 2025), 90 FR 9642, 9643 (Feb. 14,

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Commission has also issued exemptive
relief from and approved amendments
to the CAT NMS Plan to enable the
SROs to shorten the retention period for
the data collected by the CAT.5
This Notice addresses both the
ongoing information collection
requirements noted above, the
remaining information collection
requirements contained in the CAT
NMS Plan Notice, and certain additional
information collections of the CAT NMS
Plan Order, which includes an
assessment of the projected impact of
any Material Systems Change on the
Maximum Error Rate, prior to the
implementation of such Material
Systems Change from the Participants.6
The CAT NMS Plan, which governs
the CAT, improves the quality of the
data available to regulators in four areas
that affect the ultimate effectiveness of
core regulatory efforts—completeness,
accuracy, accessibility and timeliness.7
The improvements in these data
qualities substantially improve
regulators’ ability to perform analysis
and reconstruction of market events,
and market analysis and research to
inform policy decisions, as well as
perform regulatory activities, in
particular market surveillance,
examinations, investigations, and other
enforcement functions.
The Commission estimates that 1,199
respondents 8 will require an aggregate

total of approximately 4,122,488 hours
per year to comply with the collection
of information. The Commission further
estimates that the aggregate cost to
comply with the collection of
information will be approximately
$384,727,051 per year.
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=202607-3235-010
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.

2025) (the ‘‘2025 PII Exemptive Relief Order’’)
(providing conditional exemptive relief from CAT
NMS Plan requirements obligating the SROs to
collect names, addresses, and years of birth for U.S.
natural persons); Securities Exchange Act Release
No. 104586 (Jan. 13, 2026), 91 FR 2164 (Jan. 16,
2026) (the ‘‘CAIS Order’’) (codifying the 2020 PII
Exemptive Relief Order and the 2025 PII Exemptive
Relief Order and, among other things, enabling the
SROs to eliminate: (1) historical customer and
account-level data, including, among other things,
names, addresses, and years of birth, (2) names,
addresses, and years of birth (where applicable) for
foreign natural persons, for legal entities, and for
authorized traders, and (3) employer identification
numbers).
5 See, e.g., Securities Exchange Act Release No.
104144 (Sept. 30, 2025), FR 90 47853, 47854–55
(Oct. 2, 2025) (providing exemptive relief from
certain requirements related to data storage and
retention); Securities Exchange Act Release No.
105107 (Mar. 27, 2026), 91 FR 16284, 16307 (Apr.
1, 2026) (approving amendments to the CAT NMS
Plan that permit the SROs to: (1) delete all CAT
Data older than three years; (2) delete options
market maker quotes on Listed Options older than
six months; (3) delete Interim Operational Data
older than 15 days; and (4) delete Options SIP Data
older than six months).
6 Id. at 84942. The Commission believes that one
assessment would be filed annually.
7 See CAT NMS Plan Order, supra note 3, at
45727 (discussing four ‘‘qualities’’ of trade and
order data that impact the effectiveness of core
Participant and Commission regulatory efforts:
accuracy, completeness, accessibility, and
timeliness).
8 The Commission notes that 27 Participants (the
26 national securities exchanges and one national

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 17Ac3–1(a) (17
CFR 240.17Ac3–1(a)) and Form TA–W
(17 CFR 249b.101), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Section 17A of the Exchange Act 1
generally requires transfer agents
performing any transfer agent function
with respect to any security registered
under Section 12 of the Exchange Act 2
or issued by certain insurance or
investment companies to register with
an appropriate regulatory agency

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Dated: September 22, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026–19620 Filed 9–24–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0151]

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 17Ac3–1 and Form TA–W

securities association) and 1,172 broker-dealers are
subject to information collection requirements
pursuant to Rule 613 and the CAT NMS Plan.
1 15 U.S.C. 78q–1.
2 15 U.S.C. 78l.

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