Submission for OMB Review; Comment Request
| Citation | 86 FR 14484 |
| Record Number | 2021-05377 |
| Published date | 16 March 2021 |
| Section | Notices |
| Court | Securities And Exchange Commission |
14484
Federal Register / Vol. 86, No. 49 / Tuesday, March 16, 2021 / Notices
15
17 CFR 200.30–3(a)(12).
1
15 U.S.C. 78s(b)(1).
2
17 CFR 240.19b–4.
3
See Securities Exchange Act Release No. 90574
(December 4, 2020), 85 FR 80472 (SR–NASDAQ–
2020–081). Comments received on the Board
Diversity Proposal are available on the
Commission’s website at: https://www.sec.gov/
comments/sr-nasdaq-2020-081/
srnasdaq2020081.htm.
4
15 U.S.C. 78s(b)(2).
5
See Securities Exchange Act Release No. 90951,
86 FR 7135 (January 26, 2021). The Commission
designated March 11, 2021 as the date by which the
Commission shall approve or disapprove, or
institute proceedings to determine whether to
disapprove, the proposed rule change.
6
In Amendment No. 1, the Exchange amended
the Board Diversity Proposal to: (1) Add a defined
term for ‘‘Two or More Races or Ethnicities’’ to
proposed Rule 5605(f)(1); (2) modify the application
of proposed Rule 5605(f) to Foreign Issuers and
clarify the scope of Exempt Companies; (3) provide
a lower diversity objective for a company with five
or fewer members on its board; (4) modify the
proposed rule change between the
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 the
filing also will be available for
inspection and copying at the principal
office of the Exchange. 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–ISE–2021–03 and should be
submitted on or before April 6, 2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.
15
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–05342 Filed 3–15–21; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–222, OMB Control No.
3235–0233]
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 2–E, Report pursuant to rule 609 of
Regulation E
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.
Rule 609 (17 CFR 230.609) under the
Securities Act of 1933 (15 U.S.C. 77a et
seq.) requires small business investment
companies and business development
companies that have engaged in
offerings of securities that are exempt
from registration pursuant to Regulation
E under the Securities Act of 1933 (17
CFR 230.601 to 610a) to report semi-
annually on Form 2–E (17 CFR 239.201)
the progress of the offering. The form
solicits information such as the dates an
offering commenced and was completed
(if completed), the number of shares
sold and still being offered, amounts
received in the offering, and expenses
and underwriting discounts incurred in
the offering. The information provided
on Form 2–E assists the staff in
monitoring the progress of the offering
and in determining whether the offering
has stayed within the limits set for an
offering exempt under Regulation E.
The Commission estimates that, on
average, approximately one respondent
submits a Form 2–E filing each year.
The Commission further estimates that
this information collection imposes an
annual burden of four hours and
imposes an annual external cost burden
of zero.
The collection of information under
Form 2–E is mandatory. The
information provided by the form 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 OMB 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: March 11, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–05377 Filed 3–15–21; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–91286; File Nos. SR–
NASDAQ–2020–081; SR–NASDAQ–2020–
082]
Self-Regulatory Organizations; The
Nasdaq Stock Market LLC; Notice of
Filing of Amendments No. 1 and Order
Instituting Proceedings To Determine
Whether To Approve or Disapprove
Proposed Rule Changes, as Modified
by Amendments No. 1, To Adopt
Listing Rules Related to Board
Diversity and To Offer Certain Listed
Companies Access to a
Complimentary Board Recruiting
Solution To Help Advance Diversity on
Company Boards
March 10, 2021.
I. Introduction
On December 1, 2020, The Nasdaq
Stock Market LLC (‘‘Nasdaq’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’), pursuant to Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Act’’)
1
and Rule 19b–4
thereunder,
2
a proposed rule change to
adopt listing rules related to board
diversity (‘‘Board Diversity Proposal’’).
The proposed rule change was
published for comment in the Federal
Register on December 11, 2020.
3
On
January 19, 2021, pursuant to Section
19(b)(2) 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 disapprove the proposed
rule change.
5
On February 26, 2021, the
Exchange filed Amendment No. 1 to the
proposed rule change, which replaced
and superseded the proposed rule
change as originally filed.
6
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