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Federal Register / Vol. 86, No. 161 / Tuesday, August 24, 2021 / Notices proceedings to determine whether to disapprove, the proposed rule change File No. SRNYSEArca202147.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.6
Jill M. Peterson, Assistant Secretary.
FR Doc. 202118121 Filed 82321; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
SEC File No. 270095, OMB Control No.
32350084

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
205492736

lotter on DSK11XQN23PROD with NOTICES1

Extension:
Rule 17Ac21

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 17Ac21 17 CFR 240.17Ac21, under the Securities Exchange Act of 1934 15 U.S.C. 78a et seq..
Rule 17Ac21, pursuant to Section 17Ac of the Exchange Act, generally requires transfer agents for whom the Commission is the transfer agents Appropriate Regulatory Agency ARA, to file an application for registration with the Commission on Form TA1 and to amend their registrations under certain circumstances.
Specifically, Rule 17Ac21 requires transfer agents to file a Form TA1
application for registration with the Commission where the Commission is their ARA. Such transfer agents must also amend their Form TA1 if the existing information on their Form TA
1 becomes inaccurate, misleading, or incomplete within 60 days following the date the information became inaccurate, misleading or incomplete. Registration filings on Form TA1 and amendments thereto must be filed with the Commission electronically, absent an exemption, on EDGAR pursuant to Regulation ST 17 CFR 232.
6 17

CFR 200.303a31.

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The Commission annually receives approximately 199 filings on Form TA
1 from transfer agents required to register as such with the Commission.
Included in this figure are approximately 167 amendments made annually by transfer agents to their Form TA1 as required by Rule 17Ac2
1c to address information that has become inaccurate, misleading, or incomplete and approximately 32 new applications by transfer agents for registration on Form TA1 as required by Rule 17Ac21a. Based on past submissions, the staff estimates that on average approximately twelve hours are required for initial completion of Form TA1 and that on average one and onehalf hours are required for an amendment to Form TA1 by each such firm. Thus, the subtotal burden for new applications for registration filed on Form TA1 each year is approximately 384 hours 12 hours times 32 filers =
384 and the subtotal burden for amendments to Form TA1 filed each year is approximately 251 hours 1.5
hours times 167 filers = 250.5 rounded up to 251. The cumulative total is approximately 635 burden hours per year 384 hours plus 251 hours.
Of the approximately 635 hours per year associated with Rule 17Ac21, the Commission staff estimates that i sixty percent 380.7 hours are spent by compliance staff at an estimated hourly wage of $283, for a total of $107,738.10
per year 380.7 hours $283 per hour = $107, 738.10 per year; ii forty percent 253.8 hours are spent by attorneys at an estimated hourly wage of $380, for a total of $96,444 per year 253.8 hours $380 per hour = $96,444
per year; and iii the total internal cost of compliance associated with the Rule is thus approximately $204,182.10 per year $107,738.10 in compliance staff costs + $96,444 in attorney costs =
$204,182.10 per year.
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 ReviewOpen 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/

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o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov.
Dated: August 18, 2021.
Jill M. Peterson, Assistant Secretary.
FR Doc. 202118109 Filed 82321; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3492700; File No. SRNYSE
202096

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Disapproving a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners August 18, 2021.

I. Introduction On December 2, 2020, New York Stock Exchange LLC NYSE or Exchange filed with the Securities and Exchange Commission SEC or Commission, pursuant to Section 19b1 of the Securities Exchange Act of 1934 Act 1 and Rule 19b4
thereunder,2 a proposed rule change to delete the maximum fee rates for forwarding proxy and other materials to beneficial owners set forth in NYSE
Rules 451 and 465 and Section 402.10
of the NYSE Listed Company Manual Manual, and establish in their place a requirement for member organizations to comply with any schedule of approved charges set forth in the rules of any other national securities exchange or association of which such member organization is a member. The proposed rule change was published for comment in the Federal Register on December 21, 2020.3
On February 1, 2021, pursuant to Section 19b2 of the Act,4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to approve or 1 15

U.S.C. 78sb1.
CFR 240.19b4.
3 See Securities Exchange Act Release No. 90677
December 15, 2020, 85 FR 83119 December 21, 2020 Notice. Comments received on the proposal are available on the Commissions website at: https www.sec.gov/comments/sr-nyse-2020-96/
srnyse202096.htm.
4 15 U.S.C. 78sb2.
2 17

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