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Federal Register / Vol. 86, No. 56 / Thursday, March 25, 2021 / Proposed Rules
Signed in Washington, DC, on March 19, 2021.
Treena V. Garrett, Federal Register Liaison Officer, U.S.
Department of Energy.
FR Doc. 202106071 Filed 32421; 8:45 am BILLING CODE 645001P

SECURITIES AND EXCHANGE
COMMISSION
17 CFR Chapter II
Release Nos. 3310934; 3491344; 39
2537; IA5698; IC34225; File No. S702
21

List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Securities and Exchange Commission.
ACTION: Publication of list of rules scheduled for review.
AGENCY:

The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610
of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on whether the rules should be continued without change, or should be amended or rescinded to minimize any significant economic impact of the rules upon a substantial number of small entities.
DATES: Comments should be submitted by April 26, 2021.
ADDRESSES: Comments may be submitted by any of the following methods:
SUMMARY:

Electronic Comments Use the Commissions internet comment form http www.sec.gov/
rules/submitcomments.htm; or Paper Comments Send paper comments to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC
205491090.
All submissions should refer to File Number S70221. We will post all submitted comments, requests, other submissions and other materials on our internet website http www.sec.gov/
rules/other.shtml. Typically, comments are also available for website viewing and printing in the Commissions 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. Due to pandemic conditions, however, access to the Commissions public reference room is
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not permitted at this time. All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information. You should submit only information that you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT:
Leila Bham, Senior Special Counsel, Office of the General Counsel, 202551
5532.
SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act RFA, codified at 5 U.S.C. 601612, requires an agency to review its rules that have a significant economic impact upon a substantial number of small entities within ten years of the publication of such rules as final rules. 5 U.S.C. 610a.
The purpose of the review is to determine whether such rules should be continued without change, or should be amended or rescinded . . . to minimize any significant economic impact of the rules upon a substantial number of such small entities. 5 U.S.C. 610a. The RFA sets forth specific considerations that must be addressed in the review of each rule:
The continued need for the rule;
the nature of complaints or comments received concerning the rule from the public;
the complexity of the rule;
the extent to which the rule overlaps, duplicates or conflicts with other federal rules, and, to the extent feasible, with state and local governmental rules; and the length of time since the rule has been evaluated or the degree to which technology, economic conditions, or other factors have changed in the area affected by the rule. 5 U.S.C. 610b.
The list below includes rules adopted in 2011 that may have a significant economic impact on a substantial number of small entities but excludes rules that have been substantially changed since adoption, rules that are minor amendments to previously adopted rules, and rules that are ministerial, procedural, or technical in nature. Where the Commission has previously made a determination of a rules impact on small businesses, the determination is noted on the list.
The Commission particularly solicits public comment on whether the rules listed below affect small businesses in new or different ways than when they were first adopted. The rules and forms listed below are scheduled for review by staff of the Commission.
Title: Mine Safety Disclosure.
Citation: 17 CFR 229.104, 17 CFR
229.601, 17 CFR 249.308, 17 CFR

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249.308a, 17 CFR 249.310, 17 CFR
249.220f, 17 CFR 249.240f, and 17 CFR
239.13.
Authority: 15 U.S.C. 77g, 77j, 77sa, 78l, 78m, 78o, 78w; and Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act Dodd-Frank Act.
Description: The Commission adopted rule amendments to implement Section 1503 of the Dodd-Frank Act. Section 1503a of the Dodd-Frank Act requires issuers that are operators, or that have a subsidiary that is an operator, of a coal or other mine to disclose in their periodic reports filed with the Commission information regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. Section 1503b of the DoddFrank Act mandates the filing of a Form 8K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
Prior RFA Analysis: When the Commission adopted the rule amendments on December 21, 2011, it published a Final Regulatory Flexibility Analysis in the adopting release, Release No. 339286, available at:
https www.federalregister.gov/
documents/2011/12/28/2011-33148/
mine-safety-disclosure. The Commission received no comments on the Initial Regulatory Flexibility Analysis published in the proposing release, Release No. 339164 Dec. 15, 2010, available at: https
www.federalregister.gov/documents/
2010/12/22/2010-31941/mine-safetydisclosure.

Title: Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF; Joint Final Rule.
Citation: 17 CFR 275.204b1 and 17
CFR 279.9.
Authority: 15 U.S.C. 80b4 and 80b 11.
Description: The Commodity Futures Trading Commission and the Securities and Exchange Commission adopted new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 Advisers Act to implement provisions of Title IV of the Dodd-Frank Act. The rule adopted by the SEC, Rule 204b1, requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. Advisers must file Form PF
electronically, on a confidential basis.
The information contained in Form PF

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