60 Day Notice

3235-0585 60 Day Notice 2021-25912.pdf

Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices.

60 Day Notice

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Federal Register / Vol. 86, No. 226 / Monday, November 29, 2021 / Notices

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–CBOE–2021–067. 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 the
filing also will be available for
inspection and copying at the principal
office of the Exchange. All comments
received will be posted without change.
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–CBOE–2021–067 and
should be submitted on or before
December 20, 2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.22
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–25893 Filed 11–26–21; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION

khammond on DSKJM1Z7X2PROD with NOTICES

[SEC File No. 270–523, OMB Control No.
3235–0585]

Submission for OMB Review;
Comment Request, Extension: Rule
206(4)–7
Upon Written Request, Copies Available
From: Securities and Exchange
22 17

1 See section 210(b) of the Advisers Act (15 U.S.C.
80b–10(b)).

CFR 200.30–3(a)(12).

VerDate Sep<11>2014

17:34 Nov 26, 2021

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
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
The title for the collection of
information is ‘‘Investment Advisers Act
rule 206(4)–7, 17 CFR 275.206(4)–7,
Compliance procedures and practices.’’
This collection of information is found
at 17 CFR 275.206(4)–7, and is
mandatory. Rule 206(4)–7 under the
Investment Advisers Act of 1940
(‘‘Advisers Act’’) requires each
investment adviser registered with the
Commission to (1) adopt and implement
written policies and procedures
reasonably designed to prevent
violations of the Advisers Act and its
rules, (2) review those compliance
policies and procedures annually, and
(3) designate a chief compliance officer
who is responsible for administering the
compliance policies and procedures.
The rule is designed to protect investors
by fostering better compliance with the
securities laws. The collection of
information under rule 206(4)–7 is
necessary to help ensure that
investment advisers maintain
comprehensive internal programs that
promote the advisers’ compliance with
the Advisers Act and its rules. The
Commission’s examination and
oversight staff may review the
information collected to assess
investment advisers’ compliance
programs. Responses provided to the
Commission pursuant to the rule in the
context of the Commission’s
examination and oversight program are
generally kept confidential.1 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 respondents to this information
collection are investment advisers
registered with the Commission.
Updated data indicate that there were
14,376 advisers registered with the
Commission as of August 2021. Each
respondent would produce one
response, per year. Commission staff has
estimated that compliance with rule

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206(4)–7 imposes an annual burden of
approximately 90 hours per response.
Based on this figure, Commission staff
estimates a total annual burden of
1,293,840 hours for this collection of
information.
Written comments are invited on: (1)
Whether the collection of information is
necessary for the proper performance of
the functions of the agency, including
whether the information will have
practical utility; (2) the accuracy of the
agency’s estimate of the burden of the
collection of information; (3) ways to
enhance the quality, utility, and clarity
of the information collected; and (4)
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 a collection of information
unless it displays a currently valid OMB
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid OMB control number.
Please direct your written comments
to David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, C/O John R.
Pezzullo, 100 F Street NE, Washington,
DC 20549; or send an email to: PRA_
Mailbox@sec.gov.
Dated: November 23, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–25912 Filed 11–26–21; 8:45 am]
BILLING CODE 8011–01–P

DEPARTMENT OF STATE
[Public Notice: 11589]

Secretary of State’s Determinations
Under the International Religious
Freedom Act of 1998 and Frank R. Wolf
International Religious Freedom Act of
2016
The Secretary of State’s designation of
‘‘countries of particular concern’’ and
‘‘special watch list’’ countries for
religious freedom violations pursuant to
Section 408(a) of the International
Religious Freedom Act of 1998 (Pub. L.

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