Voglio sapere a riguardo di…

13432

Federal Register / Vol. 86, No. 43 / Monday, March 8, 2021 / Notices
Dated: March 2, 2021.
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202104662 Filed 3521; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
SEC File No. 270135, OMB Control No.
32350176

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
Extension:
Rules 8b1 to 8b33

jbell on DSKJLSW7X2PROD with NOTICES

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 the Commission has submitted to the Office of Management and Budget OMB a request for extension of the previously approved collection of information discussed below.
Rules 8b1 to 8b33 17 CFR 270.8b 1 to 8b33 under the Investment Company Act of 1940 15 U.S.C. 80a1
et seq. Investment Company Act set forth the procedures for preparing and filing a registration statement under the Investment Company Act. These procedures are intended to facilitate the registration process. These rules generally do not require respondents to report information.1
The Commission believes that it is appropriate to estimate the total respondent burden associated with preparing each registration statement form rather than attempt to isolate the impact of the procedural instructions under Section 8b of the Investment Company Act, which impose burdens only in the context of the preparation of the various registration statement forms.
Accordingly, the Commission is not 1 Although the rules under Section 8b of the Investment Company Act are generally procedural in nature, two of the rules require respondents to disclose some limited information. Rule 8b3 17
CFR 270.8b3 provides that whenever a registration form requires the title of securities to be stated, the registrant must indicate the type and general character of the securities to be issued. Rule 8b22 17 CFR 270.8b22 provides that if the existence of control is open to reasonable doubt, the registrant may disclaim the existence of control, but it must state the material facts pertinent to the possible existence of control. The information required by both of these rules is necessary to insure that investors have clear and complete information upon which to base an investment decision.

VerDate Sep<11>2014

19:05 Mar 05, 2021

Jkt 253001

submitting a separate burden estimate for rules 8b1 through 8b33, but instead will include the burden for these rules in its estimates of burden for each of the registration forms under the Investment Company Act. The Commission is, however, submitting an hourly burden estimate of one hour for administrative purposes.
The collection of information under rules 8b1 to 8b33 is mandatory. The information provided under rules 8b1
to 8b33 is not kept confidential. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information 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/
o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov.
Dated: March 2, 2021.
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202104661 Filed 3521; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
SEC File No. 270418, OMB Control No.
32350485

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
Extension:
Rule 15c21.

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 15c21, 17 CFR 240.15c21,
PO 00000

Frm 00154

Fmt 4703

Sfmt 4703

under the Securities Exchange Act of 1934 15 U.S.C. 78a et seq..
Rule 15c21 17 CFR 240.15c21
prohibits the commingling under the same lien of securities of margin customers a with other customers without their written consent and b with the broker-dealer. The rule also prohibits the re-hypothecation of customers margin securities for a sum in excess of the customers aggregate indebtedness. Pursuant to Rule 15c21, respondents must collect information necessary to prevent the rehypothecation of customer securities in contravention of the rule, issue and retain copies of notices of hypothecation of customer securities in accordance with the rule, and collect written consents from customers in accordance with the rule. The information is necessary to ensure compliance with the rule and to advise customers of the rules protections.
There are approximately 48
respondents i.e., broker-dealers that conducted business with the public, filed Part II or Part IICSE of the FOCUS
Report, did not claim an exemption from the Rule 15c33 reserve formula computation, and reported that they had a bank loan during at least one quarter of the current year that require an aggregate total of approximately 1,080
hours to comply with the rule. Each of these approximately 48 registered broker-dealers makes an estimated 45
annual responses. Each response takes approximately 0.5 hours to complete.
Thus, the total burden per year is approximately 1,080 hours.
The retention period for the recordkeeping requirement under Rule 15c21 is not less than two years following the date the notice is submitted. The recordkeeping requirement under this rule is mandatory to assist the Commission in monitoring the respondent who fail to collect the information set by the Commission rule. This rule does not involve the collection of confidential information.
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
E:FRFM08MRN1.SGM

08MRN1