Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices 74553 

1Form X–17A–5 is the Financial and Operational 

Combined Uniform Single Report (‘‘FOCUS 

Report’’), which is used by broker-dealers to 

provide certain required information to the 

Commission. 

5 U.S.C. chapter 71, when relevant and 

necessary to their duties of exclusive 

representation concerning personnel 

policies, practices, and matters affecting 

conditions of employment. 

POLICIES AND PRACTICE FOR STORAGE OF

RECORDS: 

Records in this system of records are 

stored electronically or on paper in 

secure facilities. Electronic records are 

stored on the SEC’s secure network and/ 

or an SEC-approved cloud storage 

location. Access to and use of these 

records is limited to those persons 

whose official duties require such 

access. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

These records are cross-indexed by 

the name of the individual who reports 

harassment, the name of the alleged 

target of harassment, if any, and the 

name of the alleged harasser. The 

records may be retrieved by any of the 

above three indexes and other indexes, 

as appropriate. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

These records are maintained for 

three years after the report of 

harassment is closed and are then 

deleted or destroyed in accordance with 

NARA, General Records Schedule (GRS) 

023, Item 40 and the SEC 

Comprehensive Records Schedule. 

Authorized staff follow the SEC’s 

records management procedures for 

safeguarding and disposing of records 

related to reports of harassment that 

have met their retention period. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Access to SEC facilities, data centers, 

and information or information systems 

is limited to authorized personnel with 

official duties requiring access. SEC 

facilities are equipped with security 

cameras, and, at certain SEC facilities, 

24-hour security guard service. 

Computerized records are safeguarded 

in a secured environment. Records are 

maintained in a secure, passwordprotected electronic system that will 

utilize commensurate safeguards that 

may include: firewalls, intrusion 

detection and prevention systems, and 

role-based access controls. Additional 

safeguards will vary by program. All 

records are protected from unauthorized 

access through appropriate 

administrative, operational, and 

technical safeguards. These safeguards 

include restricting access to authorized 

personnel who have a ‘‘need to know’’ 

and using locked file cabinets and/or 

locked offices or file rooms. Contractors 

and other recipients providing services 

to the Commission shall be required to 

maintain equivalent safeguards. 

RECORDS ACCESS PROCEDURES: 

Persons seeking to gain access to any 

record contained in this system of 

records must submit a written request in 

accordance with instructions in SEC 

Privacy Act Regulations; 17 CFR 

200.301 et seq. Address such request to: 

FOIA/PA Officer, Securities and 

Exchange Commission, 100 F Street NE, 

Mail Stop 5100, Washington, DC 20549– 

2465. 

CONTESTING RECORD PROCEDURES: 

Persons seeking to contest the content 

of any record contained in this system 

of records may inquire in writing in 

accordance with instructions in SEC 

Privacy Act Regulations, 17 CFR 

200.301 et seq. Address such requests 

to: FOIA/PA Officer, Securities and 

Exchange Commission, 100 F Street NE, 

Mail Stop 5100, Washington, DC 20549– 

2736. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE: 

None. 

HISTORY: 

New SORN. 

By the Commission. 

Dated: October 26, 2023. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2023–23981 Filed 10–30–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–154, OMB Control No. 

3235–0122] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

17a–10 

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.) (‘‘PRA’’), 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. 

The primary purpose of Rule 17a–10 

is to obtain the economic and statistical 

data necessary for an ongoing analysis 

of the securities industry. Paragraph 

(a)(1) of Rule 17a–10 generally requires 

broker-dealers that are exempt from the 

filing requirements of paragraph (a) of 

Exchange Act Rule 17a–5 (17 CFR 

240.17a–5) to file with the Commission 

the Facing Page, a Statement of Income 

(Loss), and balance sheet from Part IIA 

of Form X–17A–5 1 (17 CFR 249.617), 

and Schedule I of Form X–17A–5 not 

later than 17 business days after the end 

of each calendar year. 

Paragraph (a)(2) of Rule 17a–10 

requires a broker-dealer subject to 

paragraph (a) of Rule 17a–5 to submit 

Schedule I of Form X–17A–5 with its 

Form X–17A–5 for the calendar quarter 

ending December 31 of each year. 

Paragraph (b) of Rule 17a–10 provides 

that the provisions of paragraph (a) do 

not apply to members of national 

securities exchanges or registered 

national securities associations that 

maintain records containing the 

information required by Form X–17A–5 

and which transmit to the Commission 

copies of the records pursuant to a plan 

which has been declared effective by the 

Commission. 

The Commission staff estimates that 

the total hour burden under Rule 17a– 

10 is approximately 44,892 hours per 

year and the total cost burden is $0 per 

year. 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 30, 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 26, 2023. 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–23974 Filed 10–30–23; 8:45 am] 

BILLING CODE 8011–01–P 


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