Federal Register 30-Day Submission Notice

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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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