Form 5 30 Day Federal Register Notice

Federal Register / Vol. 85, No. 111 / Tuesday, June 9, 2020 / Notices
At any time within 60 days of the
filing of the 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
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:

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Electronic Comments
• Use the Commission’s internet
comment form (http://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
CboeEDGX–2020–023 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–CboeEDGX–2020–023. 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 (http://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549 on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for
inspection and copying at the principal
office of the Exchange. All comments
received will be posted without change.

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Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–CboeEDGX–2020–023, and
should be submitted on or before June
30, 2020.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.25
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–12385 Filed 6–8–20; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–189 OMB Control No.
3235–0201]

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.
Extension:
Rule 17a–2

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 17a–2 (17 CFR 240.17a–2), under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 17a–2 requires underwriters to
maintain information regarding
stabilizing activities conducted in
accordance with Rule 104 of Regulation
M. The collections of information under
Regulation M and Rule 17a–2 are
necessary for covered persons to obtain
certain benefits or to comply with
certain requirements. The collections of
information are necessary to provide the
Commission with information regarding
syndicate covering transactions and
penalty bids. The Commission may
review this information during periodic
examinations or with respect to
investigations. Except for the
information required to be kept under
Rule 104(i) (17 CFR 242.104(i)) and Rule
17a–2(c), none of the information
required to be collected or disclosed for
25 17

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CFR 200.30–3(a)(12).

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PRA purposes will be kept confidential.
The recordkeeping requirement of Rule
17a–2 requires the information be
maintained in a separate file, or in a
separately retrievable format, for a
period of three years, the first two years
in an easily accessible place, consistent
with the requirements of Exchange Act
Rule 17a–4(f) (17 CFR 240.17a–4(f)).
There are approximately 805
respondents per year that require an
aggregate total of 4,025 hours to comply
with this rule. Each respondent makes
an estimated 1 annual response. Each
response takes approximately 5 hours to
complete. Thus, the total compliance
burden per year is 4,025 burden hours.
The total internal compliance cost for
the respondents is approximately
$281,750, resulting in an internal cost of
compliance for each respondent per
response of approximately $350.00 (i.e.,
$281,750.00/805 responses).
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.
The public may view background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice to (i) www.reginfo.gov/public/do/
PRAMain and (ii) David Bottom,
Director/Chief Information Officer,
Securities and Exchange Commission, c/
o Cynthia Roscoe, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: June 3, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–12395 Filed 6–8–20; 8:45 am]
BILLING CODE P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–456, OMB Control No.
3235–0515]

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
Extension:

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Federal Register / Vol. 85, No. 111 / Tuesday, June 9, 2020 / Notices

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Schedule TO

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 the
request for extension of the previously
approved collection of information
discussed below.
Schedule TO (17 CFR 240.14d-100)
must be filed by a reporting company
that makes a tender offer for its own
securities. Also, persons other than the
reporting company making a tender
offer for equity securities registered
under Section 12 of the Exchange Act
(15 U.S.C. 78l) (which offer, if
consummated, would cause that person
to own over 5% of that class of the
securities) must file a Schedule TO. The
purpose of Schedule TO is to improve
communications between public
companies and investors before
companies file registration statements
involving tender offer statements. This
information is made available to the
public. The information provided on
Schedule TO is mandatory. Schedule
TO takes approximately 43.5 hours per
response and is filed by approximately
1,378 issuers annually. We estimate that
50% of the 43.5 hours per response
(21.75 hours) is prepared by the issuer
for an annual reporting burden of 29,972
hours (21.75 hours per response × 1,378
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 background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice to (i) www.reginfo.gov/public/do/
PRAMain and (ii) David Bottom,
Director/Chief Information Officer,
Securities and Exchange Commission,
c/o Cynthia Roscoe, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: June 3, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–12399 Filed 6–8–20; 8:45 am]
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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–323, OMB Control No.
3235–0362]

Dated: June 3, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.

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
Extension:
Form 5

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.
Under Section 16(a) of the Securities
Exchange Act of 1934 (‘‘Exchange Act’’)
(15 U.S.C. 78a et seq.) every person who
is directly or indirectly the beneficial
owner of more than 10 percent of any
class of any equity security (other than
an exempted security) which registered
pursuant to Section 12 of the Exchange
Act, or who is a director or an officer of
the issuer of such security (collectively
‘‘reporting persons’’), must file
statements setting forth their security
holdings in the issuer with the
Commission. Form 5 (17 CFR 249.105)
is an annual statement of beneficial
ownership of securities. The
information disclosure provided on
Form 5 is mandatory. All information is
provided to the public for review. We
estimate that approximately 5,939
reporting persons file Form 5 annually
and we estimate that it takes
approximately one hour to prepare the
form for a total of 5,939 annual burden
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
control number.
The public may view background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice to (i) www.reginfo.gov/public/do/
PRAMain and (ii) David Bottom,
Director/Chief Information Officer,

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Securities and Exchange Commission, c/
o Cynthia Roscoe, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.

[FR Doc. 2020–12391 Filed 6–8–20; 8:45 am]
BILLING CODE P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–619, OMB Control No.
3235–0681]

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.
Extension:
Rules 15Ba1–1 through 15Ba1–8

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’’) is soliciting comments
on the collection of information
provided for in Rules 15Ba1–1 to
15Ba1–8 (17 CFR 240.15Ba1–1 to 17
CFR 240.15Ba1–8)—Registration of
Municipal Advisors, under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (the ‘‘Act’’). The
Commission plans to submit this
existing collection of information to the
Office of Management and Budget for
extension and approval.
On September 20, 2013 (see 78 FR
67468, November 12, 2013), the
Commission adopted Rules 15Ba1–1
through 15Ba1–8 and Rule 15Bc4–1
under the Act to establish the rules by
which a municipal advisor must obtain,
maintain, and terminate its registration
with the Commission. In addition, the
rules interpret the definition of the term
‘‘municipal advisor,’’ interpret the
statutory exclusions from that
definition, and provide certain
additional regulatory exemptions. The
rules became effective on January 13,
2014; however, on January 13, 2014, the
Commission temporarily stayed such
rules until July 1, 2014 (see 79 FR 2777,
January 16, 2014). Amendments to Form
MA and Form MA–I designed to
eliminate aspects of the forms that
request filers to provide certain forms of
personally identifiable information
(‘‘PII’’), including Social Security

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