Notice2023-16101
Proposed Collection; Comment Request; Extension: Rule 17a-19 and Form X-17A-19
Primary source
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Published
July 31, 2023
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 88 Issue 145 (Monday, July 31, 2023)</title>
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[Federal Register Volume 88, Number 145 (Monday, July 31, 2023)]
[Notices]
[Page 49512]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-16101]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-148, OMB Control No. 3235-0133]
Proposed Collection; Comment Request; Extension: Rule 17a-19 and
Form X-17A-19
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 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and
Exchange Commission (``Commission'') is soliciting comments on the
existing collection of information provided for in Rule 17a-19 (17 CFR
240.17a-19) and Form X-17A-19 under the Securities Exchange Act of 1934
(15 U.S.C. 78a et seq.). The Commission plans to submit this existing
collection of information to the Office of Management and Budget
(``OMB'') for extension and approval.
Rule 17a-19 requires every national securities exchange and
registered national securities association to file a Form X-17A-19 with
the Commission and the Securities Investor Protection Corporation
(``SIPC'') within 5 business days of the initiation, suspension, or
termination of any member and, when terminating the membership interest
of any member, to notify that member of its obligation to file
financial reports as required by Exchange Act Rule 17a-5(b) (17 CFR
240.17a-5(b)). There are currently a total of 25 national securities
exchanges and registered national securities associations that are
potential respondents under the rule.
Commission staff anticipates that the national securities exchanges
and registered national securities associations collectively will make
420 total filings annually pursuant to Rule 17a-19 and that each filing
will take approximately 15 minutes. The total reporting burden is
estimated to be approximately 105 total annual hours.
Written comments are invited on: (a) whether the proposed
collection of information is necessary for the proper performance of
the functions of the Commission, including whether the information
shall have practical utility; (b) the accuracy of the Commission's
estimates of the burden of the proposed 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 by
September 29, 2023.
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.
Please direct your written comments to: David Bottom, Director/
Chief Information Officer, Securities and Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email to:
<a href="/cdn-cgi/l/email-protection#bdedeffce2f0dcd4d1dfd2c5fdced8de93dad2cb"><span class="__cf_email__" data-cfemail="d38381928c9eb2babfb1bcab93a0b6b0fdb4bca5">[email protected]</span></a>.
Dated: July 25, 2023.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2023-16101 Filed 7-28-23; 8:45 am]
BILLING CODE 8011-01-P
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