60 Day Notice

53574

Federal Register / Vol. 88, No. 151 / Tuesday, August 8, 2023 / Notices

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
a.m. and 3 p.m. Copies of such filing
also will be available for inspection and
copying at the principal office of
FINRA. Do not include personal
identifiable information in submissions;
you should submit only information
that you wish to make available
publicly. We may redact in part or
withhold entirely from publication
submitted material that is obscene or
subject to copyright protection.
All submissions should refer to file
number SR–FINRA–2023–007 and
should be submitted on or before
August 29, 2023. If comments are
received, any rebuttal comments should
be submitted on or before September 12,
2023.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.71
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–16878 Filed 8–7–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–094, OMB Control No.
3235–0085]

ddrumheller on DSK120RN23PROD with NOTICES1

Proposed Collection; Comment
Request; Extension: Rule 17a–11
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’’) is soliciting comments
on the existing collection of information
provided for in Rule 17a–11,
Notification Provisions for Brokers and
Dealers (17 CFR 240.17a–11), under the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’).
The Commission plans to submit this
71 17 CFR 200.30–3(a)(12); 17 CFR 200.30–
3(a)(57).

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existing collection of information to the
Office of Management and Budget
(‘‘OMB’’) for extension and approval.
The Commission adopted Rule 17a–
11 on July 11, 1971 in response to an
operational crisis in the securities
industry between 1967 and 1970. The
rule requires broker-dealers that are
experiencing financial or operational
difficulties to provide notice to the
Commission, the broker-dealer’s
designated examining authority
(‘‘DEA’’), and the Commodity Futures
Trading Commission (‘‘CFTC’’) if the
broker-dealer is registered with the
CFTC as a futures commission
merchant. Rule 17a–11 is an integral
part of the Commission’s financial
responsibility program which enables
the Commission, a broker-dealer’s DEA,
and the CFTC to increase surveillance of
a broker-dealer experiencing difficulties
and to obtain any additional
information necessary to gauge the
broker-dealer’s financial or operational
condition.
Rule 17a–11 also requires over-thecounter derivatives dealers and brokerdealers that are permitted to compute
net capital pursuant to Appendix E to
Exchange Act Rule 15c3–1 to notify the
Commission when their tentative net
capital drops below certain levels.
To ensure the provision of these types
of notices to the Commission, Rule 17a–
11 requires every national securities
exchange or national securities
association to notify the Commission
when it learns that a member brokerdealer has failed to send a notice or
transmit a report required under the
Rule.
Compliance with the Rule is
mandatory. The Commission will
generally not publish or make available
to any person notices or reports received
pursuant to Rule 17a–11. The
Commission believes that information
obtained under Rule 17a–11 relates to a
condition report prepared for the use of
the Commission, other federal
governmental authorities, and securities
industry self-regulatory organizations
responsible for the regulation or
supervision of financial institutions.
The Commission estimates that the
total hour burden under Rule 17a–11 is
approximately 274 hours per year.
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 collected; and (d)

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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 by
October 10, 2023.
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.
Please direct your written comments
to: David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington,
DC 20549, or send an email to: PRA_
Mailbox@sec.gov.
Dated: August 2, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–16861 Filed 8–7–23; 8:45 am]
BILLING CODE 8011–01–P

DEPARTMENT OF STATE
[Public Notice: 12138]

Imposition of Nonproliferation
Measures Against Foreign Persons,
Including a Ban on U.S. Government
Procurement
ACTION:

Notice.

A determination has been
made that a number of foreign persons
have engaged in activities that warrant
the imposition of measures pursuant to
Section 3 of the Iran, North Korea, and
Syria Nonproliferation Act. The Act
provides for sanctions on foreign
entities and individuals for the transfer
to or acquisition from Iran since January
1, 1999; the transfer to or acquisition
from Syria since January 1, 2005; or the
transfer to or acquisition from North
Korea since January 1, 2006, of goods,
services, or technology controlled under
multilateral control lists (Australia
Group, Chemical Weapons Convention,
Missile Technology Control Regime,
Nuclear Suppliers Group, Wassenaar
Arrangement) or otherwise having the
potential to make a material
contribution to the development of
weapons of mass destruction (WMD) or
cruise or ballistic missile systems. The
latter category includes items of the
same kind as those on multilateral lists
but falling below the control list
parameters when it is determined that
such items have the potential of making
a material contribution to WMD or
cruise or ballistic missile systems, items
on U.S. national control lists for WMD/

SUMMARY:

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