30 Day Notice

Federal Register / Vol. 85, No. 217 / Monday, November 9, 2020 / Notices
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
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: November 4, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–24840 Filed 11–6–20; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION

Dated: November 4, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.

[SEC File No. 270–423, OMB Control No.
3235–0472]

[FR Doc. 2020–24842 Filed 11–6–20; 8:45 am]
BILLING CODE 8011–01–P

Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: U.S. Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
Extension:
Rule 15c1–6

khammond on DSKJM1Z7X2PROD with NOTICES

6 (17 CFR 240.15c1–6) under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
Rule 15c1–6 states that any brokerdealer trying to sell to or buy from a
customer a security in a primary or
secondary distribution in which the
broker-dealer is participating or is
otherwise financially interested must
give the customer written notification of
the broker-dealer’s participation or
interest at or before completion of the
transaction. The Commission estimates
that approximately 365 respondents will
collect information annually under Rule
15c1–6 and that each respondent will
spend approximately 10 hours annually
complying with the collection of
information requirement for a total
burden of approximately 3,650 hours
per year in the aggregate.
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.

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 existing collection of
information provided for in Rule 15c1–
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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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–422, OMB Control No.
3235–0471]

Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: U.S. Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
Extension:
Rule 15c1–5

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’’) is soliciting comments
on the existing collection of information
provided for in Rule 15c1–5 (17 CFR

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71383

240.15c1–5) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.). The Commission plans to submit
this existing collection of information to
the Office of Management and Budget
(‘‘OMB’’) for extension and approval.
Rule 15c1–5 states that any brokerdealer controlled by, controlling, or
under common control with the issuer
of a security that the broker-dealer is
trying to sell to or buy from a customer
must give the customer written
notification disclosing the control
relationship at or before completion of
the transaction. The Commission
estimates that 181 respondents provide
notifications annually under Rule 15c1–
5 and that each respondent would
spend approximately 10 hours per year
complying with the requirements of the
rule for a total burden of approximately
1,810 hours per year. There is no
retention period requirement under
Rule 15c1–5. This Rule does not involve
the collection of confidential
information.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(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
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: November 4, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–24841 Filed 11–6–20; 8:45 am]
BILLING CODE 8011–01–P

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