Federal Register 30-Day Submission Notice

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

operative for 30 days after the date on
which it was filed, or such shorter time
as the Commission may designate, it has
become effective pursuant to Section
19(b)(3)(A)(iii) of the Act 14 and
subparagraph (f)(6) of Rule 19b–4
thereunder.15
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.
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–
NYSE–2026–45 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–NYSE–2026–45. 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

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14 15 U.S.C. 78s(b)(3)(A)(iii).
15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b–
4(f)(6)(iii) 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.
16 15 U.S.C. 78s(b)(2)(B).

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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–2026–45 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. 2026–19630 Filed 9–24–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0500]

Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Extension:
Rule 608
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
Rule 608 (17 CFR 242.608) under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 608 specifies procedures for
filing or amending national market
system plans (‘‘NMS Plans’’). Selfregulatory organizations (‘‘SROs’’) filing
a new NMS Plan must submit the text
of the NMS Plan to the Commission,
along with a statement of purpose, and,
if applicable, specified supporting
materials that may include: (1) a copy of
all governing or constituent documents,
(2) a description of the manner in which
the NMS Plan, and any facility or
procedure contemplated by the NMS
Plan, will be implemented, (3) a listing
of all significant phases of development
and implementation contemplated by
the NMS Plan, including a projected
completion date for each phase, (4) an
analysis of the competitive impact of
implementing the NMS Plan, (5) a
description of any written agreements or
understandings between or among plan
17 17 CFR 200.30–3(a)(12).

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participants or sponsors relating to
interpretations of the NMS Plan or
conditions for becoming a plan
participant or sponsor, and (6) a
description of the manner in which any
facility contemplated by the NMS Plan
shall be operated. Participants or
sponsors to the NMS Plan must ensure
that a current and complete version of
the NMS Plan is posted on a designated
website or a plan website after being
notified by the Commission that the
NMS Plan is effective. Each plan
participant or sponsor must also provide
a link on its own website to the current
website to the current version of the
NMS Plan.
The Commission estimates that the
creation and submission of a new NMS
Plan and any related materials would
result in an average aggregate burden of
approximately 1,020 hours per year (30
SROs × 34 hours = 1,020 hours). The
Commission further estimates an
average aggregate burden of
approximately 150 hours per year (30
SROs × 5 hours = 150 hours), for each
of the SROs to keep a current and
complete version of the NMS Plan
posted on a designated website or a plan
website, and to provide a link to the
current version of the NMS Plan on its
own website. In addition, the
Commission estimates that the creation
of a new NMS Plan and any related
materials would result in an average
aggregate cost of approximately
$226,914 per year (30 SROs × $7,563.80
= $226,914).
SROs proposing to amend an existing
NMS Plan must submit the text of the
amendment to the Commission, along
with a statement of purpose, and, if
applicable, the supporting materials
described above, as well as a statement
that the amendment has been approved
by the plan participants or sponsors in
accordance with the terms of the NMS
Plan. Participants or sponsors to the
NMS Plan must ensure that any
proposed amendments are posted to a
designated website or a plan website
after filing the amendments with the
Commission and that those websites are
updated to reflect the current status of
the amendment and the NMS Plan. Each
plan participant or sponsor must also
provide a link on its own website to the
current version of the NMS Plan. The
Commission estimates that the creation
and submission of NMS Plan
amendments and any related materials
would result in an average aggregate
burden of approximately 13,260 hours
per year (30 SROs × 442 hours = 13,260
hours). The Commission further
estimates an average aggregate burden of
approximately 148 hours per year (30
SROs × 4.94 hours = 148.2 hours,

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Federal Register / Vol. 91, No. 185 / Friday, September 25, 2026 / Notices
rounded down to 148) for SROs to post
any pending NMS Plan amendments to
a designated website or a plan website
and to update such websites to reflect
the current status of the amendment and
the NMS Plan. In addition, the
Commission estimates that the creation
of an NMS Plan amendment and any
related materials would result in an
average aggregate cost of approximately
$491,790 per year (30 SROs × $16,393
= $491,790).
Finally, to the extent that a plan
processor is required for any facility
contemplated by a NMS Plan, the plan
participants or sponsors must file with
the Commission a statement identifying
the plan processor selected, describing
the material terms under which the plan
processor is to serve, and indicating the
solicitation efforts, if any, for alternative
plan processors, the alternatives
considered, and the reasons for the
selection of the plan processor. The
Commission estimates that the
preparation and materials related to the
selection of a plan processor would
result in an average aggregate burden of
approximately 340 hours per year (30
SROs × 11.33 hours = 339.9, rounded up
to 340). In addition, the Commission
estimates that the preparation and
submission of materials related to the
selection of a plan processor would
result in an average aggregate cost of
approximately $12,610 per year (30
SROs × $420.33 = $12,609.90, rounded
up to $12,610).
The above estimates result in a total
annual industry burden of
approximately 14,918 hours (1,020 +
150 + 13,260 + 148 + 340) and a total
annual industry cost of approximately
$731,314 ($226,914 + $491,790 +
$12,610).
Compliance with Rule 608 is
mandatory. The text of the NMS Plans
and any amendments will not be
confidential, but published on a
designated website or a plan website. To
the extent that Rule 608 requires the
SROs to submit confidential information
to the Commission, that information
will be kept confidential subject to the
provisions of applicable law.1 The SROs
are required by law to retain the records
and information that are collected
pursuant to Rule 608 for a period of not
less than 5 years, the first 2 years in an
easily accessible place.2 Rule 608 does
not affect this existing requirement.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
1 See, e.g., 5 U.S.C. 552 et seq.; 15 U.S.C. 78x
(governing the public availability of information
obtained by the Commission).
2 See 17 CFR 240.17a–1(b).

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under the PRA 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=202607-3235-012
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. 2026–19619 Filed 9–24–26; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[OMB Control No. 3235–0078]

Agency Information Collection
Activities; Submission for OMB
Review; 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
(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 for in
Rule 15c3–3 (17 CFR 240.15c3–3) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 15c3–3 requires that a brokerdealer 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 brokerdealer 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

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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
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
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=202608-3235-006
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. 2026–19618 Filed 9–24–26; 8:45 am]
BILLING CODE 8011–01–P

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