30 Day Notice

Federal Register / Vol. 85, No. 48 / Wednesday, March 11, 2020 / Notices
(b) the accuracy of the Commission’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information to be collected; and
(d) ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
under the PRA unless it displays a
currently valid OMB control number.
Please direct your written comments to:
David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
Mailbox@sec.gov.
Dated: March 6, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–04946 Filed 3–10–20; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736.

lotter on DSKBCFDHB2PROD with NOTICES

Extension:
Rule 147A(f)(1)(iii) Written Representation
as to Purchaser Residency, SEC File No.
270–806, OMB Control No. 3235–0757.

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
(‘‘Commission’’) has submitted to the
Office of Management and Budget this
request for extension of the previously
approved collection of information
discussed below.
Rule 147A(f)(1)(iii) (17 CFR
230.147A(f)(1)(iii)) requires the issuer to
obtain from the purchaser a written
representation as to the pruchase’s
residency in order to qualify for safe
harbor under Securities Act Rule 147A
(17 CFR 230.147A). Rule 147A is an
exemption from registration under
Securities Act Section 28 (15 U.S.C.
77z–3). Under Rule 147A, the purchaser
in the offering must be a resident of the

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same state or territory in which the
issuer is a resident. While the formal
representation of residency by itself is
not sufficient to establish a reasonable
belief that such purchasers are in-state
residents, the representation
requirement, together with the
reasonable belief standard, may result in
better compliance with the rule and
maintaining appropriate investor
protections. The representation of
residency is not provided to the
Commission. Approximately 700
respondents provide the information
required by Rule 147A(f)(1)(iii) at an
estimated 2.75 hours per response for a
total annual reporting burden of 1,925
hours (2.75 hours x 700 responses).
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
control number.
The public may view the background
documentation for this information
collection at the following website,
www.reginfo.gov. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503,
or by sending an email to:
Lindsay.M.Abate@omb.eop.gov; and (ii)
David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
Mailbox@sec.gov. Comments must be
submitted to OMB within 30 days of
this notice.
Dated: March 6, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–04949 Filed 3–10–20; 8:45 am]
BILLING CODE 8011–01–P

14275

‘‘Act’’) 1 and Rule 19b–4 thereunder,2
notice is hereby given that on February
28, 2020, Financial Industry Regulatory
Authority, Inc. (‘‘FINRA’’) 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 FINRA. 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
FINRA is proposing to amend FINRA
Rule 7620B (FINRA/NYSE Trade
Reporting Facility Reporting Fees) to
modify the trade reporting fees
applicable to participants that use the
FINRA/NYSE Trade Reporting Facility
(‘‘FINRA/NYSE TRF’’).
The text of the proposed rule change
is available on FINRA’s website at
http://www.finra.org, at the principal
office of FINRA and at the
Commission’s Public Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
FINRA included statements concerning
the purpose of and basis for the
proposed rule change and discussed any
comments it received on the proposed
rule change. The text of these statements
may be examined at the places specified
in Item IV below. FINRA has prepared
summaries, set forth in sections A, B,
and C below, of the most significant
aspects of such statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose

SECURITIES AND EXCHANGE
COMMISSION
Release No. 34–88324; File No. SR–
FINRA–2020–006]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Modify the Trade
Reporting Fees Applicable to the
FINRA/NYSE Trade Reporting Facility
March 5, 2020.

Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the

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The FINRA/NYSE TRF, which is
operated by NYSE Market (DE), Inc.
(‘‘NYSE Market (DE)’’), is one of four
FINRA facilities 3 that FINRA members
can use to report over-the-counter
(‘‘OTC’’) trades in NMS stocks. While
members are required to report all OTC
trades in NMS stocks to FINRA, they
may choose which FINRA Facility (or
1 15

U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 The four FINRA facilities are the FINRA/NYSE
TRF, two FINRA/Nasdaq Trade Reporting Facilities
(together, the ‘‘FINRA/Nasdaq TRF’’), and the
Alternative Display Facility (‘‘ADF’’ and together,
the ‘‘FINRA Facilities’’).
2 17

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