30 Day Notice

9414

Federal Register / Vol. 86, No. 28 / Friday, February 12, 2021 / Notices

Dated: February 8, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.

SECURITIES AND EXCHANGE
COMMISSION

unless it displays a currently valid
control number.
Please direct your written comment to
David Bottom, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
Mailbox@sec.gov.

[SEC File No. 270–170, OMB Control No.
3235–0167]

Dated: February 8, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.

[FR Doc. 2021–02862 Filed 2–11–21; 8:45 am]
BILLING CODE 8011–01–P

[FR Doc. 2021–02863 Filed 2–11–21; 8:45 am]

Proposed Collection; Comment
Request

BILLING CODE 8011–01–P

Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736.
Extension:
Form 15

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.
Form 15 (17 CFR 249.323) is a
certification of termination of a class of
security under Section 12(g) or notice of
suspension of duty to file reports
pursuant to Sections 13 and 15(d) of the
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.). We estimate that
approximately 1,062 issuers file Form
15 annually and it takes approximately
1.5 hours per response to prepare for a
total of 1,593 annual burden hours (1.5
hours per response × 1,062 responses).
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) 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, and a person is not required to
respond to, a collection of information

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17:27 Feb 11, 2021

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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–36, OMB Control No.
3235–0028]

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
Extension:
Rule 17f–2(d)

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 17f–2(d) (17 CFR 240.17f–2(d)),
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 17f–2(d) requires that records
created pursuant to the fingerprinting
requirements of Section 17(f)(2) of the
Act be maintained and preserved by
every member of a national securities
exchange, broker, dealer, registered
transfer agent and registered clearing
agency (‘‘covered entities’’ or
‘‘respondents’’); permits, under certain
circumstances, the records required to
be maintained and preserved by a
member of a national securities
exchange, broker, or dealer to be
maintained and preserved by a selfregulatory organization that is also the
designated examining authority for that
member, broker or dealer; and permits
the required records to be preserved on
microfilm. The general purpose of Rule
17f–2 is to: (i) Identify security risk
personnel; (ii) provide criminal record
information so that employers can make
fully informed employment decisions;
and (iii) deter persons with criminal
records from seeking employment or

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association with covered entities. The
rule enables the Commission or other
examining authority to ascertain
whether all covered persons are being
fingerprinted and whether proper
procedures regarding fingerprinting are
being followed. Retention of these
records for a period of not less than
three years after termination of a
covered person’s employment or
relationship with a covered entity
ensures that law enforcement officials
will have easy access to fingerprint
cards on a timely basis. This in turn acts
as an effective deterrent to employee
misconduct.
Approximately 3,900 respondents are
subject to the recordkeeping
requirements of the rule. Each
respondent maintains approximately 68
new records per year, each of which
takes approximately 2 minutes per
record to maintain, for an annual
burden of approximately 2.2666667
hours (68 records times 2 minutes). The
total annual time burden for all
respondents is approximately 8,840
hours (3,900 respondents times
2.2666667 hours). As noted above, all
records maintained subject to the rule
must be retained for a period of not less
than three years after termination of a
covered person’s employment or
relationship with a covered entity. In
addition, we estimate the total annual
cost burden to respondents is
approximately $39,000 in third party
storage costs.
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 Cynthia Roscoe, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: February 9, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–02958 Filed 2–11–21; 8:45 am]
BILLING CODE 8011–01–P

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