3216 Federal Register / Vol. 86, No. 9 / Thursday, January 14, 2021 / Notices 

4OMB Memorandum M–16–06 (February 24, 

2016). 

5OMB Memorandum M–17–11 (December 16, 

2016). 

6OMB Memorandum M–18–03 (December 15, 

2017). 

7OMB Memorandum M–19–04 (December 14, 

2018). 

8OMB Memorandum M–20–05 (December 16, 

2019). 

9OMB Memorandum M–21–10 (December 23, 

2020). 

TABLE 1—ANNUAL ADJUSTMENTS TO NEW RESTRICTIONS ON LOBBYING CIVIL MONETARY PENALTIES, 2016–2021 

Year Baseline penalty 

range 

Applicable 

multiplier based 

on percent 

increase in CPI–U 

New baseline 

penalty range 

2016 ............................................................................................................... $10,000–$100,000 4 1.89361 $18,936–$189,361 

2017 ............................................................................................................... $18,936–$189,361 5 1.01636 $19,246–$192,459 

2018 ............................................................................................................... $19,246–$192,459 6 1.02041 $19,639–$196,387 

2019 ............................................................................................................... $19,639–$196,387 7 1.02522 $20,134–$201,340 

2020 ............................................................................................................... $20,134–$201,340 8 1.01764 $20,489–$204,892 

2021 ............................................................................................................... $20,489–$204,892 9 1.01182 $20,731–$207,314 

Dated: January 8, 2021. 

Caitlin Cater, 

Attorney-Advisor, National Endowment for 

the Humanities. 

[FR Doc. 2021–00582 Filed 1–13–21; 8:45 am] 

BILLING CODE 7536–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–146, OMB Control No. 

3235–0134] 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of FOIA Services, 

Washington, DC 20549–2736 

Extension: 

Rule 15c1–7 

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 existing collection of 

information provided for in Rule 15c1– 

7 (17 CFR 240.15c1–7) under the 

Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.) (‘‘Exchange Act’’). 

Rule 15c1–7 states that any act of a 

broker-dealer designed to effect 

securities transactions with or for a 

customer account over which the 

broker-dealer (directly or through an 

agent or employee) has discretion will 

be considered a fraudulent, 

manipulative, or deceptive practice 

under the federal securities laws, unless 

a record is made of the transaction 

immediately by the broker-dealer. The 

record must include (a) the name of the 

customer, (b) the name, amount, and 

price of the security, and (c) the date 

and time when such transaction took 

place. The Commission estimates that 

362 respondents collect information 

related to approximately 400,000 

transactions annually under Rule 15c1– 

7 and that each respondent would 

spend approximately 5 minutes on the 

collection of information for each 

transaction, for approximately 33,333 

aggregate hours per year (approximately 

92.1 hours per respondent). 

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 Review—Open 

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: January 11, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–00728 Filed 1–13–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release Nos. 33–10919; 34–90882; File No. 

265–32] 

SEC Small Business Capital Formation 

Advisory Committee 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice of meeting. 

SUMMARY: The Securities and Exchange 

Commission Small Business Capital 

Formation Advisory Committee, 

established pursuant to Section 40 of 

the Securities Exchange Act of 1934 as 

added by the SEC Small Business 

Advocate Act of 2016, is providing 

notice that it will hold a public meeting 

by videoconference. The public is 

invited to submit written statements to 

the Committee. 

DATES: The meeting will be held on 

Friday, January 29, 2021, from 10:00 

a.m. to 2:30 p.m. (ET) and will be open 

to the public. Written statements should 

be received on or before January 29, 

2021. 

ADDRESSES: The meeting will be 

conducted by remote means 

(videoconference). Members of the 

public may attend the meeting by 

viewing the webcast on the 

Commission’s website at www.sec.gov. 

Written statements may be submitted by 

any of the following methods: 

Electronic Statements 

• Use the Commission’s internet 

submission form (https://www.sec.gov/ 

rules/submitcomments.htm); or 

• Send an email message to rulecomments@sec.gov. Please include File 

Number 

265–32 on the subject line; or 

Paper Statements 

• Send paper statements to Vanessa 

A. Countryman, Secretary, Securities 

and Exchange Commission, 100 F 

Street, NE, Washington, DC 20549– 

1090. 

All submissions should refer to File 

No. 265–32. This file number should be 


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