7320 Federal Register / Vol. 86, No. 16 / Wednesday, January 27, 2021 / Notices 

28 17 CFR 200.30–3(a)(12). 

1The estimate of 2,207 funds is based on the 

number of management investment companies 

currently registered with the Commission. The 

Commission staff estimates that there are 

approximately 6,392 portfolios that invest primarily 

in equity securities, 804 ‘‘hybrid’’ or bond portfolios 

that may hold some equity securities, 2,857 bond 

portfolios that hold no equity securities, and 361 

money market fund portfolios, and 1,476 fund of 

funds, for a total of 11,890 portfolios required to file 

Form N–PX reports. The staff has based its portfolio 

estimates on a number of publications. See 

Investment Company Institute, Trends in Mutual 

Fund Investing (February 2020); Investment 

Company Institute, Closed-End Fund Assets and 

Net Issuance (Fourth Quarter 2019); Investment 

Company Institute, ETF Assets and Net Issuance 

(February 2020). 

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–2021–002 and should 

be submitted on or before February 17, 

2021. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.28

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–01729 Filed 1–26–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–182, OMB Control No. 

3235–0237] 

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–54A 

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 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget a 

request for extension of the previously 

approved collection of information 

discussed below. 

Under the Investment Company Act 

of 1940 (15 U.S.C. 80a–1 et seq.) (the 

‘‘Investment Company Act’’), certain 

investment companies can elect to be 

regulated as business development 

companies, as defined in Section 

2(a)(48) of the Investment Company Act 

(15 U.S.C. 80a–2(a)(48)). Under Section 

54(a) of the Investment Company Act 

(15 U.S.C. 80a–53(a)), any company 

defined in Section 2(a)(48)(A) and (B) 

may elect to be subject to the provisions 

of Sections 55 through 65 of the 

Investment Company Act (15 U.S.C. 

80a–54 to 80a–64) by filing with the 

Commission a notification of election, if 

such company has: (1) A class of equity 

securities registered under Section 12 of 

the Securities Exchange Act of 1934 (15 

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

(2) filed a registration statement 

pursuant to Section 12 of the Exchange 

Act for a class of its equity securities. 

The Commission adopted Form N–54A 

(17 CFR 274.53) as the form for 

notification of election to be regulated 

as a business development company. 

The purpose of Form N–54A is to 

notify the Commission that the 

investment company making the 

notification elects to be subject to 

Sections 55 through 65 of the 

Investment Company Act, enabling the 

Commission to administer those 

provisions of the Investment Company 

Act to such companies. 

The Commission estimates that on 

average approximately 7 business 

development companies file these 

notifications each year. Each of those 

business development companies need 

only make a single filing of Form N– 

54A. The Commission further estimates 

that this information collection imposes 

a burden of 0.5 hours, resulting in a 

total annual PRA burden of 3.5 hours. 

Based on the estimated wage rate, the 

total cost to the business development 

company industry of the hour burden 

for complying with Form N–54A would 

be approximately $1,288. 

The collection of information under 

Form N–54A is mandatory. The 

information provided by the form is not 

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. 2021–01655 Filed 1–26–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–524, OMB Control No. 

3235–0582] 

Proposed Collection; 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–PX 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.) (‘‘Paperwork 

Reduction Act’’), the Securities and 

Exchange Commission (the 

‘‘Commission’’) is soliciting comments 

on the collection of information 

summarized below. The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget (‘‘OMB’’) for 

extension and approval. 

Rule 30b1–4 (17 CFR 270.30b1–4) 

under the Investment Company Act of 

1940 (15 U.S.C. 80a–1 et seq.) requires 

every registered management 

investment company, other than a small 

business investment company registered 

on Form N–5 (‘‘funds’’), to file a report 

on Form N–PX not later than August 31 

of each year. Funds use Form N–PX to 

file annual reports with the Commission 

containing their complete proxy voting 

record for the most recent twelve-month 

period ended June 30. 

The Commission estimates that there 

are approximately 2,207 funds 

registered with the Commission, 

representing approximately 11,890 fund 

portfolios that are required to file Form 

N–PX reports. The 11,890 portfolios are 

comprised of approximately 6,392 

portfolios holding equity securities, 

2,857 portfolios holding no equity 

securities, and 1,476 portfolios holding 

fund securities (i.e., fund of funds).1 The 

currently approved burden of Form N– 

PX for portfolios holding equity 


khammond on DSKJM1Z7X2PROD with NOTICES