Federal Register / Vol. 88, No. 192 / Thursday, October 5, 2023 / Notices 69241 

1 Rule 17a–5(c) requires a broker or dealer to 

furnish certain of its financial information to 

customers and is subject to a separate PRA filing 

(OMB Control Number 3235–0199). 

agency. The SEC developed the 

inventory per the guidance issued on 

January 17, 2017, by the Office of 

Management and Budget’s Office of 

Federal Procurement Policy (OFPP). 

OFPP’s guidance is available at https:// 

www.whitehouse.gov/sites/ 

whitehouse.gov/files/omb/memoranda/ 

2017/service_contract_inventories.pdf. 

The Service Contract Inventory 

Analysis for FY2020 provides 

information based on the FY 2020 

Inventory. Please note that the SEC’s FY 

2020 Service Contract Inventory data is 

now included in government-wide 

inventory available on https://

www.acquisition.gov. The governmentwide inventory can be filtered to display 

the inventory data for the SEC. The SEC 

has posted the FY 2020 SCI Analysis 

and its FY 2021 plans for analyzing data 

on the SEC’s homepage at https://

www.sec.gov/about/secreports.shtml 

and https://www.sec.gov/open. 

Dated: October 2, 2023. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2023–22192 Filed 10–4–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–155, OMB Control No. 

3235–0123] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

17a–5 

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 

(‘‘OMB’’) a request for extension of the 

previously approved collection of 

information discussed below. 

Rule 17a–5 (17 CFR 240.17a–5) under 

the Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.) is the basic financial 

reporting rule for brokers and dealers.1

The rule requires the filing of Form X– 

17A–5, the Financial and Operational 

Combined Uniform Single Report 

(‘‘FOCUS Report’’), which was the result 

of years of study and comments by 

representatives of the securities industry 

through advisory committees and 

through the normal rule proposal 

methods. The FOCUS Report was 

designed to eliminate the overlapping 

regulatory reports required by various 

self-regulatory organizations and the 

Commission and to reduce reporting 

burdens as much as possible. The rule 

also requires the filing of annual reports, 

which include a financial report and a 

compliance or exemption report as well 

as reports of an independent public 

accountant covering the financial report 

and the compliance or exemption 

report. In addition, the rule requires a 

broker-dealer that computes certain 

capital charges in accordance with 

Appendix E to Exchange Act Rule 15c3– 

1 (17 CFR 240.15c3–1e) to file 

additional monthly or quarterly reports 

and a supplemental report on 

management controls concurrently with 

its annual reports. 

The Commission estimates that the 

total hour burden under Rule 17a–5 is 

approximately 397,467 hours per year, 

and the total cost burden is 

approximately $31,295,048 per year. 

Since the last approval of this 

information collection, the estimated 

total burden hours per year has 

increased due to more respondents 

filing monthly reports rather than 

quarterly reports under Rule 17a–5; the 

estimated total cost burden per year has 

decreased due to more filings being 

submitted electronically. 

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 by 

November 6, 2023 to (i) 

www.reginfo.gov/public/do/PRAMain 

and (ii) David Bottom, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o John 

Pezzullo, 100 F Street NE, Washington, 

DC 20549, or by sending an email to: 

PRA_Mailbox@sec.gov. 

Dated: October 2, 2023. 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–22190 Filed 10–4–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–424, OMB Control No. 

3235–0473] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

17Ad–3(b) 

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’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for approval of 

extension of the previously approved 

collection of information provided for in 

Rule 17Ad–3(b) (17 CFR 240.17Ad– 

3(b)), under the Securities Exchange Act 

of 1934 (15 U.S.C. 78a et seq.). 

Rule 17Ad–3(b) requires registered 

transfer agents to send a copy of the 

written notice required under Rules 

17Ad–2(c), (d), and (h) to the chief 

executive officer of each issuer for 

which the transfer agent acts when it 

has failed to turnaround at least 75% of 

all routine items in accordance with the 

requirements of Rule 17Ad–2(a), or to 

process at least 75% of all items in 

accordance with the requirements of 

Rule 17Ad–2(b), for two consecutive 

months. The issuer may use the 

information contained in the notices: (1) 

as an early warning of the transfer 

agent’s non-compliance with the 

Commission’s minimum performance 

standards regarding registered transfer 

agents; and (2) to become aware of 

certain problems and poor performances 

with respect to the transfer agents that 

are servicing the issuer’s issues. If the 

issuer does not receive notice of a 

registered transfer agent’s failure to 

comply with the Commission’s 

minimum performance standards, then 

the issuer will be unable to take 

remedial action to correct the problem 

or to find another registered transfer 

agent. Pursuant to Rule 17Ad–3(b), a 

transfer agent that has already filed a 

Notice of Non-Compliance with the 

Commission pursuant to Rule 17Ad–2 

will only be required to send a copy of 

that notice to issuers for which it acts 

when that transfer agent fails to 

turnaround 75% of all routine items or 

to process 75% of all items for two 

consecutive months. 

The Commission estimates that only 

one transfer agent will be subject to the 

third-party disclosure requirements of 


ddrumheller on DSK120RN23PROD with NOTICES1
69242 Federal Register / Vol. 88, No. 192 / Thursday, October 5, 2023 / Notices 

1 17 CFR 240.17a–5(b). 

Rule 17Ad–3(b) each year. If a transfer 

agent fails to meet the turnaround and 

processing requirements under 17Ad– 

3(b), it would simply send its issuerclients a copy of the notice that had 

already been produced for the 

Commission pursuant to Rule 17Ad– 

2(c) or (d). The Commission estimates 

the requirement will take the transfer 

agent approximately four hours to 

complete. The total estimated burden 

associated with Rule 17Ad–3(b) is thus 

approximately 4 hours per year. The 

Commission estimates that the internal 

compliance cost for the transfer agent to 

comply with this third-party disclosure 

requirement will be approximately 

$1,128 per year (4 hours × $283 per hour 

= $1,128). The total estimated internal 

cost of compliance associated with Rule 

17Ad–3(b) is thus approximately $1,128 

per year. There are no external costs 

associated with sending the notice to 

issuer-clients. 

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 by 

November 6, 2023 to (i) 

www.reginfo.gov/public/do/PRAMain 

and (ii) David Bottom, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o John 

Pezzullo, 100 F Street NE, Washington, 

DC 20549, or by sending an email to: 

PRA_Mailbox@sec.gov. 

Dated: October 2, 2023. 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–22187 Filed 10–4–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–148, OMB Control No. 

3235–0133] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

17a–19 and Form X–17A–19 

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’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for approval of 

extension of the previously approved 

collection of information provided for in 

Rule 17a–19 (17 CFR 240.17a–19) and 

Form X–17A–19 of the Securities 

Exchange Act of 1934 (15 U.S.C. 78a et 

seq.). 

Rule 17a–19 requires every national 

securities exchange and registered 

national securities association to file a 

Form X–17A–19 with the Commission 

and the Securities Investor Protection 

Corporation (‘‘SIPC’’) within 5 business 

days of the initiation, suspension, or 

termination of any member and, when 

terminating the membership interest of 

any member, to notify that member of 

its obligation to file financial reports as 

required by Exchange Act Rule 17a– 

5(b).1 There are currently a total of 25 

national securities exchanges and 

registered national securities 

associations that are potential 

respondents under the rule. 

Commission staff anticipates that the 

national securities exchanges and 

registered national securities 

associations collectively will make 420 

total filings annually pursuant to Rule 

17a–19 and that each filing will take 

approximately 15 minutes. The total 

reporting burden is estimated to be 

approximately 105 total annual hours. 

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 by 

November 6, 2023 to (i) 

www.reginfo.gov/public/do/PRAMain 

and (ii) David Bottom, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o John 

Pezzullo, 100 F Street NE, Washington, 

DC 20549, or by sending an email to: 

PRA_Mailbox@sec.gov. 

Dated: October 2, 2023. 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–22186 Filed 10–4–23; 8:45 am] 

BILLING CODE 8011–01–P 

SMALL BUSINESS ADMINISTRATION 

[Disaster Declaration #20006 and #20007; 

UTAH Disaster Number UT–20000] 

Administrative Declaration of a 

Disaster for the State of Utah 

AGENCY: U.S. Small Business 

Administration. 

ACTION: Notice. 

SUMMARY: This is a notice of an 

Administrative declaration of a disaster 

for the State of Utah dated 10/02/2023. 

Incident: Severe Thunderstorms and 

Flooding. 

Incident Period: 08/03/2023 through 

08/04/2023. 

DATES: Issued on 10/02/2023. 

Physical Loan Application Deadline 

Date: 12/01/2023. 

Economic Injury (EIDL) Loan 

Application Deadline Date: 07/02/2024. 

ADDRESSES: Submit completed paper 

loan applications to: U.S. Small 

Business Administration, Processing 

and Disbursement Center, 14925 

Kingsport Road, Fort Worth, TX 76155. 

FOR FURTHER INFORMATION CONTACT: 

Alan Escobar, Office of Disaster 

Recovery & Resilience, U.S. Small 

Business Administration, 409 3rd Street 

SW, Suite 6050, Washington, DC 20416, 

(202) 205–6734. 

SUPPLEMENTARY INFORMATION: Notice is 

hereby given that as a result of the 

Administrator’s disaster declaration, 

applications for disaster loans may be 

submitted online using the MySBA 

Loan Portal https://lending.sba.gov or 

other locally announced locations. 

Please contact the SBA disaster 

assistance customer service center by 

email at disastercustomerservice@

sba.gov or by phone at 1–800–659–2955 

to request a paper loan application. 

The following areas have been 

determined to be adversely affected by 

the disaster: 

Primary Counties: Salt Lake. 

Contiguous Counties: 

Utah: Davis, Morgan, Summit, Tooele, 

Utah, Wasatch. 

The Interest Rates are: 

Percent 

For Physical Damage: 

Homeowners with Credit Available Elsewhere ...................... 5.000 

Homeowners without Credit 

Available Elsewhere .............. 2.500 


ddrumheller on DSK120RN23PROD with NOTICES1