30 Day Notice

3235-0752.pdf

Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers

30 Day Notice

OMB: 3235-0752

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50652

Federal Register / Vol. 89, No. 116 / Friday, June 14, 2024 / Notices

B. Self-Regulatory Organization’s
Statement on Burden on Competition
The Exchange does not believe that
the proposed rule change will impose
any burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act. The
Exchange notes that the proposed rule
change will facilitate the listing and
trading of a new type of CommodityBased Trust Share based on the price of
ether that would enhance competition
among market participants, to the
benefit of investors and the marketplace.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were solicited
or received with respect to the proposed
rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Within 45 days of the date of
publication of this notice in the Federal
Register or within such longer period
up to 90 days (i) as the Commission may
designate if it finds such longer period
to be appropriate and publishes its
reasons for so finding or (ii) as to which
the self-regulatory organization
consents, the Commission will:
(A) by order approve or disapprove
the proposed rule change, or
(B) institute proceedings to determine
whether the proposed rule change
should be disapproved.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:

ddrumheller on DSK120RN23PROD with NOTICES1

Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include file number SR–
NYSEARCA–2024–53 on the subject
line.
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–NYSEARCA–2024–53. This
file number should be included on the
subject line if email is used. To help the
Commission process and review your

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comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://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
a.m. and 3 p.m. Copies of the filing also
will be available for inspection and
copying at the principal office of the
Exchange. 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–NYSEARCA–2024–53 and should be
submitted on or before July 5, 2024.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.35
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024–13054 Filed 6–13–24; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–771, OMB Control No.
3235–0752]

Submission for OMB Review;
Comment Request; Extension: Rule
18a–9
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 approval of
extension of the previously approved

collection of information provided for in
Rule 18a–9, under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et
seq.).
Rule 18a–9, which is modeled on
Exchange Act Rule 17a–13, establishes a
securities count program for securitybased swap dealers not dually registered
as a broker-dealer or regulated by a
prudential regulator (‘‘stand-alone
SBSDs’’). Specifically, Rule 18a–9
requires stand-alone SBSDs to examine
and count the securities they physically
hold, account for the securities that are
subject to their control and direction but
are not in their physical possession,
verify the locations of securities under
certain circumstances, and compare the
results of the count and verification
with their records.
Stand-alone SBSDs are required to
perform a securities count each quarter,
either as of a date certain or on a
cyclical basis. Rule 18a–9 requires
stand-alone SBSDs to note any
discrepancies between the count and
the firm’s records, and to record in the
firm’s record any discrepancies that
remain unresolved seven business days
after the date of the examination, count,
and verification.
The Commission estimates that the
total hour burden under Rule 18a–9 is
approximately 1,100 hours per year.
Since the last approval of this
information collection, the estimated
total burden hours per year has
increased due to an increase in the
estimated number of respondents
subject to the requirements of the Rule.
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
July 15, 2024 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: June 11, 2024.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024–13173 Filed 6–13–24; 8:45 am]

35 17

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CFR 200.30–3(a)(12).

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