Federal Register / Vol. 88, No. 176 / Wednesday, September 13, 2023 / Notices 62831 

1As of July 1, 2023, there are 3,497 registered 

broker-dealers. 5% of 3,497 is 174.85, rounded up 

to 175. 

This Notice will be published in the 

Federal Register. 

Erica A. Barker, 

Secretary. 

[FR Doc. 2023–19723 Filed 9–12–23; 8:45 am] 

BILLING CODE 7710–FW–P 

POSTAL SERVICE 

International Product Change—Priority 

Mail Express International, Priority Mail 

International & First-Class Package 

International Service Agreement 

AGENCY: Postal ServiceTM. 

ACTION: Notice. 

SUMMARY: The Postal Service gives 

notice of filing a request with the Postal 

Regulatory Commission to add a Priority 

Mail Express International, Priority Mail 

International & First-Class Package 

International Service contract to the list 

of Negotiated Service Agreements in the 

Competitive Product List in the Mail 

Classification Schedule. 

DATES: Date of notice: September 13, 

2023. 

FOR FURTHER INFORMATION CONTACT: 

Christopher C. Meyerson, (202) 268– 

7820. 

SUPPLEMENTARY INFORMATION: The 

United States Postal Service® hereby 

gives notice that, pursuant to 39 U.S.C. 

3642 and 3632(b)(3), on September 6, 

2023, it filed with the Postal Regulatory 

Commission a USPS Request to Add 

Priority Mail Express International, 

Priority Mail International & First-Class 

Package International Service Contract 

26 to Competitive Product List. 

Documents are available at 

www.prc.gov, Docket Nos. MC2023–259 

and CP2023–262. 

Sarah Sullivan, 

Attorney, Ethics & Legal Compliance. 

[FR Doc. 2023–19813 Filed 9–12–23; 8:45 am] 

BILLING CODE 7710–12–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–325, OMB Control No. 

3235–0385] 

Proposed Collection; Comment 

Request; Extension: Rule 15g–9 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE, Washington, DC 

20549–2736 

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’’) is soliciting comments 

on the existing collection of information 

provided for in Rule 15g–9 (17 CFR 

240.15g–9) (the ‘‘Rule’’), under the 

Securities Exchange Act of 1934 (15 

U.S. C. 78a et seq.) (the ‘‘Exchange 

Act’’). The Commission plans to submit 

this existing collection of information to 

the Office of Management and Budget 

(‘‘OMB’’) for extension and approval. 

Section 15(c)(2) of the Exchange Act 

(15 U.S.C. authorizes the Commission to 

promulgate rules that prescribe means 

reasonably designed to prevent 

fraudulent, deceptive, or manipulative 

practices in connection with over-thecounter (‘‘OTC’’) securities transactions. 

Pursuant to this authority, the 

Commission in 1989 adopted Rule 

15c2–6, which was subsequently 

redesignated as Rule 15g–9, 17 CFR 

240.15g–9. The Rule requires brokerdealers to produce a written suitability 

determination for, and to obtain a 

written customer agreement to, certain 

recommended transactions in penny 

stocks that are not registered on a 

national securities exchange, and whose 

issuers do not meet certain minimum 

financial standards. The Rule is 

intended to prevent the indiscriminate 

use by broker-dealers of fraudulent, high 

pressure telephone sales campaigns to 

sell penny stocks to unsophisticated 

customers. 

The Commission staff estimates that 

approximately five percent of registered 

broker-dealers, or 175 broker-dealers,1

are subject to the Rule (5% × 

approximately 3,497 registered brokerdealers = 175 broker-dealers). As 

indicated above, the burden of the Rule 

on a respondent varies widely 

depending on the frequency with which 

new customers are solicited. On 

average, for all respondents, the staff has 

estimated that respondents process 

three new customers per week, or 

approximately 156 new customers 

requiring suitability determinations per 

year. We also estimate that a brokerdealer would take approximately onehalf hour per new customer in 

obtaining, reviewing, and processing 

(including transmitting to the customer) 

the information required by Rule 15g–9, 

and each respondent would 

consequently spend 78 hours annually 

(156 new customers × .5 hours) 

obtaining the information required in 

the Rule. This would result in 27,300 

annual responses per year for all 

respondents (175 respondents × 156 

new customer suitability determinations 

per year). We determined, based on the 

estimate of 175 broker-dealer 

respondents, that the annual hour 

burden of Rule 15g–9 is 13,650 hours 

(175 respondents × 78 hours). 

Written comments are invited on: (a) 

whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information shall have practical utility; 

(b) the accuracy of the Commission’s 

estimates of the burden of the proposed 

collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information collected; and (d) 

ways to minimize the burden of the 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted by 

November 13, 2023. 

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. 

Please direct your written comments 

to: David Bottom, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o John 

Pezzullo, 100 F Street NE, Washington, 

DC 20549, or send an email to: PRA_

Mailbox@sec.gov. 

Dated: September 8, 2023. 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–19790 Filed 9–12–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–048, OMB Control No. 

3235–0063] 

Submission for OMB Review; 

Comment Request; Extension: 

Exchange Act Form 10–K 

Upon Written Request Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street, NE, Washington, DC 

20549–2736 

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 this 

request for extension of the previously 

approved collection of information 

discussed below. 


ddrumheller on DSK120RN23PROD with NOTICES1