30 Day Notice

Federal Register / Vol. 88, No. 192 / Thursday, October 5, 2023 / Notices
agency. The SEC developed the
inventory per the guidance issued on
January 17, 2017, by the Office of
Management and Budget’s Office of
Federal Procurement Policy (OFPP).
OFPP’s guidance is available at https://
www.whitehouse.gov/sites/
whitehouse.gov/files/omb/memoranda/
2017/service_contract_inventories.pdf.
The Service Contract Inventory
Analysis for FY2020 provides
information based on the FY 2020
Inventory. Please note that the SEC’s FY
2020 Service Contract Inventory data is
now included in government-wide
inventory available on https://
www.acquisition.gov. The governmentwide inventory can be filtered to display
the inventory data for the SEC. The SEC
has posted the FY 2020 SCI Analysis
and its FY 2021 plans for analyzing data
on the SEC’s homepage at https://
www.sec.gov/about/secreports.shtml
and https://www.sec.gov/open.
Dated: October 2, 2023.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2023–22192 Filed 10–4–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–155, OMB Control No.
3235–0123]

ddrumheller on DSK120RN23PROD with NOTICES1

Submission for OMB Review;
Comment Request; Extension: Rule
17a–5
Upon Written Request, Copies Available
From: Securities and Exchange
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’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for extension of the
previously approved collection of
information discussed below.
Rule 17a–5 (17 CFR 240.17a–5) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) is the basic financial
reporting rule for brokers and dealers.1
The rule requires the filing of Form X–
17A–5, the Financial and Operational
Combined Uniform Single Report
(‘‘FOCUS Report’’), which was the result
of years of study and comments by
representatives of the securities industry
1 Rule 17a–5(c) requires a broker or dealer to
furnish certain of its financial information to
customers and is subject to a separate PRA filing
(OMB Control Number 3235–0199).

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through advisory committees and
through the normal rule proposal
methods. The FOCUS Report was
designed to eliminate the overlapping
regulatory reports required by various
self-regulatory organizations and the
Commission and to reduce reporting
burdens as much as possible. The rule
also requires the filing of annual reports,
which include a financial report and a
compliance or exemption report as well
as reports of an independent public
accountant covering the financial report
and the compliance or exemption
report. In addition, the rule requires a
broker-dealer that computes certain
capital charges in accordance with
Appendix E to Exchange Act Rule 15c3–
1 (17 CFR 240.15c3–1e) to file
additional monthly or quarterly reports
and a supplemental report on
management controls concurrently with
its annual reports.
The Commission estimates that the
total hour burden under Rule 17a–5 is
approximately 397,467 hours per year,
and the total cost burden is
approximately $31,295,048 per year.
Since the last approval of this
information collection, the estimated
total burden hours per year has
increased due to more respondents
filing monthly reports rather than
quarterly reports under Rule 17a–5; the
estimated total cost burden per year has
decreased due to more filings being
submitted electronically.
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 by
November 6, 2023 to (i)
www.reginfo.gov/public/do/PRAMain
and (ii) David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington,
DC 20549, or by sending an email to:
PRA_Mailbox@sec.gov.
Dated: October 2, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–22190 Filed 10–4–23; 8:45 am]
BILLING CODE 8011–01–P

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69241

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–424, OMB Control No.
3235–0473]

Submission for OMB Review;
Comment Request; Extension: Rule
17Ad–3(b)
Upon Written Request, Copies Available
From: Securities and Exchange
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
(‘‘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–3(b) (17 CFR 240.17Ad–
3(b)), under the Securities Exchange Act
of 1934 (15 U.S.C. 78a et seq.).
Rule 17Ad–3(b) requires registered
transfer agents to send a copy of the
written notice required under Rules
17Ad–2(c), (d), and (h) to the chief
executive officer of each issuer for
which the transfer agent acts when it
has failed to turnaround at least 75% of
all routine items in accordance with the
requirements of Rule 17Ad–2(a), or to
process at least 75% of all items in
accordance with the requirements of
Rule 17Ad–2(b), for two consecutive
months. The issuer may use the
information contained in the notices: (1)
as an early warning of the transfer
agent’s non-compliance with the
Commission’s minimum performance
standards regarding registered transfer
agents; and (2) to become aware of
certain problems and poor performances
with respect to the transfer agents that
are servicing the issuer’s issues. If the
issuer does not receive notice of a
registered transfer agent’s failure to
comply with the Commission’s
minimum performance standards, then
the issuer will be unable to take
remedial action to correct the problem
or to find another registered transfer
agent. Pursuant to Rule 17Ad–3(b), a
transfer agent that has already filed a
Notice of Non-Compliance with the
Commission pursuant to Rule 17Ad–2
will only be required to send a copy of
that notice to issuers for which it acts
when that transfer agent fails to
turnaround 75% of all routine items or
to process 75% of all items for two
consecutive months.
The Commission estimates that only
one transfer agent will be subject to the
third-party disclosure requirements of

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Federal Register / Vol. 88, No. 192 / Thursday, October 5, 2023 / Notices

Rule 17Ad–3(b) each year. If a transfer
agent fails to meet the turnaround and
processing requirements under 17Ad–
3(b), it would simply send its issuerclients a copy of the notice that had
already been produced for the
Commission pursuant to Rule 17Ad–
2(c) or (d). The Commission estimates
the requirement will take the transfer
agent approximately four hours to
complete. The total estimated burden
associated with Rule 17Ad–3(b) is thus
approximately 4 hours per year. The
Commission estimates that the internal
compliance cost for the transfer agent to
comply with this third-party disclosure
requirement will be approximately
$1,128 per year (4 hours × $283 per hour
= $1,128). The total estimated internal
cost of compliance associated with Rule
17Ad–3(b) is thus approximately $1,128
per year. There are no external costs
associated with sending the notice to
issuer-clients.
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 by
November 6, 2023 to (i)
www.reginfo.gov/public/do/PRAMain
and (ii) David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington,
DC 20549, or by sending an email to:
PRA_Mailbox@sec.gov.
Dated: October 2, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–22187 Filed 10–4–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION

ddrumheller on DSK120RN23PROD with NOTICES1

[SEC File No. 270–148, OMB Control No.
3235–0133]

Submission for OMB Review;
Comment Request; Extension: Rule
17a–19 and Form X–17A–19
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736

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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–19 (17 CFR 240.17a–19) and
Form X–17A–19 of the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Rule 17a–19 requires every national
securities exchange and registered
national securities association to file a
Form X–17A–19 with the Commission
and the Securities Investor Protection
Corporation (‘‘SIPC’’) within 5 business
days of the initiation, suspension, or
termination of any member and, when
terminating the membership interest of
any member, to notify that member of
its obligation to file financial reports as
required by Exchange Act Rule 17a–
5(b).1 There are currently a total of 25
national securities exchanges and
registered national securities
associations that are potential
respondents under the rule.
Commission staff anticipates that the
national securities exchanges and
registered national securities
associations collectively will make 420
total filings annually pursuant to Rule
17a–19 and that each filing will take
approximately 15 minutes. The total
reporting burden is estimated to be
approximately 105 total annual hours.
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 by
November 6, 2023 to (i)
www.reginfo.gov/public/do/PRAMain
and (ii) David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington,
DC 20549, or by sending an email to:
PRA_Mailbox@sec.gov.
1 17

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CFR 240.17a–5(b).

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Dated: October 2, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–22186 Filed 10–4–23; 8:45 am]
BILLING CODE 8011–01–P

SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #20006 and #20007;
UTAH Disaster Number UT–20000]

Administrative Declaration of a
Disaster for the State of Utah
U.S. Small Business
Administration.
ACTION: Notice.
AGENCY:

This is a notice of an
Administrative declaration of a disaster
for the State of Utah dated 10/02/2023.
Incident: Severe Thunderstorms and
Flooding.
Incident Period: 08/03/2023 through
08/04/2023.
DATES: Issued on 10/02/2023.
Physical Loan Application Deadline
Date: 12/01/2023.
Economic Injury (EIDL) Loan
Application Deadline Date: 07/02/2024.
ADDRESSES: Submit completed paper
loan applications to: U.S. Small
Business Administration, Processing
and Disbursement Center, 14925
Kingsport Road, Fort Worth, TX 76155.
FOR FURTHER INFORMATION CONTACT:
Alan Escobar, Office of Disaster
Recovery & Resilience, U.S. Small
Business Administration, 409 3rd Street
SW, Suite 6050, Washington, DC 20416,
(202) 205–6734.
SUPPLEMENTARY INFORMATION: Notice is
hereby given that as a result of the
Administrator’s disaster declaration,
applications for disaster loans may be
submitted online using the MySBA
Loan Portal https://lending.sba.gov or
other locally announced locations.
Please contact the SBA disaster
assistance customer service center by
email at disastercustomerservice@
sba.gov or by phone at 1–800–659–2955
to request a paper loan application.
The following areas have been
determined to be adversely affected by
the disaster:
Primary Counties: Salt Lake.
Contiguous Counties:
Utah: Davis, Morgan, Summit, Tooele,
Utah, Wasatch.
The Interest Rates are:
SUMMARY:

Percent
For Physical Damage:
Homeowners with Credit Available Elsewhere ......................
Homeowners without Credit
Available Elsewhere ..............

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5.000
2.500