Federal Register / Vol. 86, No. 9 / Thursday, January 14, 2021 / Notices 3215 

1 85 FR 22025. 

2 85 FR 35566. 

3Table 1 details the annual adjustments to New 

Restrictions on Lobbying Civil Monetary Penalties 

for years 2016–2021. 

ADDRESSES: Written comments and 

recommendations for proposed 

information collection requests should 

be sent within 30 days of publication of 

this notice to www.reginfo.gov/public/ 

do/PRAMain. Find this particular 

information collection request by 

selecting ‘‘Institute of Museum and 

Library Services’’ under ‘‘Currently 

Under Review,’’ then check ‘‘Only Show 

ICR for Public Comment’’ checkbox or 

mail to Office of Information and 

Regulatory Affairs, Attn.: OMB Desk 

Officer for Education, Office of 

Management and Budget, Room 10235, 

Washington, DC 20503, 202–395–7316. 

FOR FURTHER INFORMATION CONTACT: 

Connie Bodner, Ph.D., Director of Grants 

Policy and Management, Office of 

Grants Policy and Management, 

Institute of Museum and Library 

Services, 955 L’Enfant Plaza North SW, 

Suite 4000, Washington, DC 20024– 

2135. Dr. Bodner can be reached by 

telephone at 202–653–4636 or by email 

at cbodner@imls.gov. Office hours are 

from 8:30 a.m. to 5 p.m., E.T., Monday 

through Friday, except Federal holidays. 

SUPPLEMENTARY INFORMATION: The 

Institute of Museum and Library 

Services is the primary source of federal 

support for the nation’s libraries and 

museums. We advance, support, and 

empower America’s museums, libraries, 

and related organizations through grant 

making, research, and policy 

development. Our vision is a nation 

where museums and libraries work 

together to work together to transform 

the lives of individuals and 

communities. To learn more, visit 

www.imls.gov. 

Current Actions: The purpose of this 

collection is to administer the IMLS 

process by which IMLS awardees 

request advance or reimbursement 

payments. The proposed form will be 

embedded in the electronic grants 

management system that the agency 

uses to monitor and service all active 

awards during the period of 

performance and through closeout. 

The 60-day notice for the IMLS Grant 

Application Forms was published in the 

Federal Register on October 22, 2020, 

(85 FR 67379). No comments were 

received. 

Agency: Institute of Museum and 

Library Services. 

Title: Request for Advance or 

Reimbursement Web Form. 

OMB Number: 3137–NEW. 

Frequency: Annual. 

Affected Public: Library and Museum 

funding awardees. 

Number of Respondents: 5,000. 

Average Minutes per Response: 60 

minutes. 

Total Estimated Number of Annual 

Burden Hours: 5,000. 

Cost Burden (dollars): $145,500.00. 

Total Federal Costs: $43,750.00. 

Dated: January 8, 2021. 

Kim Miller, 

Senior Grants Management Specialist, 

Institute of Museum and Library Services. 

[FR Doc. 2021–00586 Filed 1–13–21; 8:45 am] 

BILLING CODE 7036–01–P 

NATIONAL FOUNDATION ON THE 

ARTS AND HUMANITIES 

National Endowment for the 

Humanities 

Civil Penalty Adjustments for 2021 

AGENCY: National Endowment for the 

Humanities; National Foundation on the 

Arts and the Humanities. 

ACTION: Notice of civil penalty 

adjustments for 2021. 

SUMMARY: The National Endowment for 

the Humanities (NEH) is giving notice of 

the adjusted maximum and minimum 

civil monetary penalties that it may 

impose for violations of its New 

Restrictions on Lobbying, as required by 

the Federal Civil Penalties Inflation 

Adjustment Act Improvements Act of 

2015 (the 2015 Act). The updated 

penalty amounts are adjusted for 

inflation and are effective from January 

15, 2021 through January 14, 2022. 

DATES: The updated civil penalties in 

this notice are applicable to penalties 

assessed on or after January 15, 2021 if 

the associated violations occurred after 

November 2, 2015. 

FOR FURTHER INFORMATION CONTACT: 

Elizabeth Voyatzis, Deputy General 

Counsel, Office of the General Counsel, 

National Endowment for the 

Humanities, 400 7th Street SW, Room 

4060, Washington, DC 20506; (202) 606– 

8322; gencounsel@neh.gov. 

SUPPLEMENTARY INFORMATION: 

1. Background on NEH’s New 

Restrictions on Lobbying Regulation 

On April 21, 2020, NEH published an 

interim final rule implementing the 

2015 Act (28 U.S.C. 2461 note) and 

adjusting the civil penalties found in its 

New Restrictions on Lobbying 

regulation (45 CFR 1168) pursuant to 

the 2015 Act.1 The interim final rule 

incorporated the initial ‘‘catch up’’ 

adjustment and the annual adjustment 

for 2020. NEH announced in its interim 

final rule that, for all future adjustments 

to penalties under its New Restrictions 

on Lobbying regulation required by the 

2015 Act, NEH will publish a Notice in 

the Federal Register to notify the public 

of the updated penalty amounts no later 

than January 15 of each year. 

NEH published a final rule on June 

11, 2020, adopting the interim final rule 

without change.2

2. 2021 Adjustment to Civil Penalties 

Under NEH’s New Restrictions on 

Lobbying Regulation 

For 2020, the penalty range for 

violations under NEH’s New 

Restrictions on Lobbying regulation was 

a minimum of $20,489 and a maximum 

of $204,892.3 Therefore, the new, postadjustment minimum penalty for 2021 

under NEH’s New Restrictions on 

Lobbying regulation is $20,489 × 

1.01182 = $20,731.18 which rounds to 

$20,731. 

The new, post-adjustment maximum 

penalty for 2021 under NEH’s New 

Restrictions on Lobbying regulation is 

$204,892 × 1.01182 = $207,313.823, 

which rounds to $207,314. These postadjustment penalties are less than 250 

percent of the pre-adjustment penalties, 

so they do not implicate the postadjustment amount limitation in the 

2015 Act. 

Thus, the range of penalties under 

NEH’s New Restrictions on Lobbying 

regulation, for the purposes of the 2021 

adjustment, is a minimum of $20,731 

and a maximum of $207,314. 


khammond on DSKJM1Z7X2PROD with NOTICES
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 


khammond on DSKJM1Z7X2PROD with NOTICES