Submission for OMB Review; Comment Request

Published date26 January 2021
Citation86 FR 7127
Record Number2021-01665
SectionNotices
CourtSecurities And Exchange Commission
7127
Federal Register / Vol. 86, No. 15 / Tuesday, January 26, 2021 / Notices
39
17 CFR 200.30–3(a)(12).
1
This estimate is based on the following
calculation: (1.5 hours × 3 responses annually = 4.5
hours).
2
This estimate is based on a review of Form N–
17f–1 filings made with the Commission over the
last three years.
3
This estimate is based on the following
calculations: (4.5 hours × 6 funds = 27 total hours).
1
15 U.S.C. 78s(b)(1).
2
17 CFR 240.19b–4.
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for
inspection and copying at the principal
office of OCC and on OCC’s website at
https://www.theocc.com/about/
publications/bylaws.jsp.
All comments received will be posted
without change. Persons submitting
comments are cautioned that we do not
redact or edit personal identifying
information from comment submissions.
You should submit only information
that you wish to make available
publicly.
All submissions should refer to File
Number SR–OCC–2021–001 and should
be submitted on or before February 16,
2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.
39
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–01582 Filed 1–25–21; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–316, OMB Control No.
3235–0359]
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:
Form N–17f–1
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 a
request for extension of the previously
approved collection of information
discussed below.
Form N–17f–1 (17 CFR 274.219) is
entitled ‘‘Certificate of Accounting of
Securities and Similar Investments of a
Management Investment Company in
the Custody of Members of National
Securities Exchanges.’’ The form serves
as a cover sheet to the accountant’s
certificate that is required to be filed
periodically with the Commission
pursuant to rule 17f–1 (17 CFR 270.17f–
1) under the Act, entitled ‘‘Custody of
Securities with Members of National
Securities Exchanges,’’ which sets forth
the conditions under which a fund may
place its assets in the custody of a
member of a national securities
exchange. Rule 17f–1 requires, among
other things, that an independent public
accountant verify the fund’s assets at the
end of every annual and semi-annual
fiscal period, and at least one other time
during the fiscal year as chosen by the
independent accountant. Requiring an
independent accountant to examine the
fund’s assets in the custody of a member
of a national securities exchange assists
Commission staff in its inspection
program and helps to ensure that the
fund assets are subject to proper
auditing procedures. The accountant’s
certificate stating that it has made an
examination, and describing the nature
and the extent of the examination, must
be attached to Form N–17f–1 and filed
with the Commission promptly after
each examination. The form facilitates
the filing of the accountant’s certificates,
and increases the accessibility of the
certificates to both Commission staff
and interested investors.
Commission staff estimates that it
takes: (i) 1 hour of clerical time to
prepare and file Form N–17f–1; and (ii)
0.5 hour for the fund’s chief compliance
officer to review Form N–17f–1 prior to
filing with the Commission, for a total
of 1.5 hours. Each fund is required to
make 3 filings annually, for a total
annual burden per fund of
approximately 4.5 hours.
1
Commission
staff estimates that an average of 6 funds
currently file Form N–17f–1 with the
Commission 3 times each year, for a
total of 18 responses annually.
2
The
total annual hour burden for Form N–
17f–1 is therefore estimated to be
approximately 27 hours.
3
The estimate of average burden hours
is made solely for the purposes of the
Paperwork Reduction Act, and is not
derived from a comprehensive or even
a representative survey or study of the
costs of Commission rules. Compliance
with the collections of information
required by Form N–17f–1 is mandatory
for funds that place their assets in the
custody of a national securities
exchange member. Responses will not
be 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 control number.
The public may view the background
documentation for this information
collection at the following website,
www.reginfo.gov. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503,
or by sending an email to:
Lindsay.M.Abate@omb.eop.gov; and (ii)
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. Written comments
and recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice to www.reginfo.gov/public/do/
PRAMain. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function.
Dated: January 21, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–01665 Filed 1–25–21; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–90944; File No. SR–
CboeBZX–2021–011]
Self-Regulatory Organizations; Cboe
BZX Exchange, Inc.; Notice of Filing
and Immediate Effectiveness of
Proposed Rule Change To Establish a
Monthly Fee Assessed on Members’
MPIDs
January 19, 2021.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’)
1
and Rule 19b–4 thereunder,
2
notice is hereby given that, on January
13, 2021, Cboe BZX Exchange, Inc. (the
‘‘Exchange’’ or ‘‘BZX’’) filed with the
Securities and Exchange Commission
(the ‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which Items have been prepared
by the Exchange. The Commission is
publishing this notice to solicit
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