30 Day Notice

61346

Federal Register / Vol. 86, No. 212 / Friday, November 5, 2021 / Notices

Commission-registered investment
advisers are required to maintain and
preserve certain information required
under Rule 206(3)–2 for five (5) years.
The long-term retention of these records
is necessary for the Commission’s
inspection program to ascertain
compliance with the Advisers Act.
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 John R. Pezzullo, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: November 1, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–24131 Filed 11–4–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–360, OMB Control No.
3235–0409]

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

jspears on DSK121TN23PROD with NOTICES1

Extension:
Rules 17Ad–15

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 17Ad–15 (17 CFR 240.17Ad–15)
(‘‘Rule 17Ad–15’’) under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.) (‘‘Exchange Act’’).
Rule 17Ad–15 requires every
registered transfer agent to establish

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written standards for the acceptance of
guarantees of securities transfers from
eligible guarantor institutions. Every
registered transfer agent is also required
to establish procedures, including
written guidelines where appropriate, to
ensure that the transfer agent uses those
standards to determine whether to
accept or reject guarantees from eligible
guarantor institutions. In implementing
these requirements, the Commission’s
purpose is to ensure that registered
transfer agents treat eligible guarantor
institutions equitably.
Additionally, Rule 17Ad–15 requires
every registered transfer agent to make
and maintain records in the event the
transfer agent determines to reject
signature guarantees from eligible
guarantor institutions. Registered
transfer agents’ records must include,
following the date of rejection, a record
of the rejected transfer, along with the
reason for rejection, the identification of
the guarantor, and an indication
whether the guarantor failed to meet the
transfer agent’s guarantee standards.
Rule 17Ad–15 requires registered
transfer agents to maintain these records
for a period of three years. The
Commission designed these mandatory
recordkeeping requirements to assist the
Commission and other regulatory
agencies with monitoring registered
transfer agents and ensuring compliance
with the rule. This rule does not involve
the collection of confidential
information.
The Commission estimates that
approximately 366 registered transfer
agents will spend a total of
approximately 14,640 hours per year
complying with recordkeeping
requirements of Rules 17Ad–15 (40
hours per year per registered transfer
agent).
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 John R. Pezzullo, 100 F Street NE,

PO 00000

Frm 00234

Fmt 4703

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Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: November 1, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–24129 Filed 11–4–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–93486; File No. SR–Phlx–
2021–67]

Self-Regulatory Organizations; Nasdaq
PHLX LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend Equity 4, Rule
3301B
November 1, 2021.

Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on October
25, 2021, Nasdaq PHLX LLC (‘‘Phlx’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which Items have been prepared
by the Exchange. 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
The Exchange proposes to amend
Equity 4, Rule 3301B, as described
further below.
The text of the proposed rule change
is available on the Exchange’s website at
https://listingcenter.nasdaq.com/
rulebook/phlx/rules, at the principal
office of the Exchange, 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, the
Exchange 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. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
the most significant aspects of such
statements.
1 15
2 17

U.S.C. 78s(b)(1).
CFR 240.19b–4.

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