74550 Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices 

16 15 U.S.C. 78q–1(b)(3)(F). 

17 17 CFR 240.17Ad–22(e)(2)(v). 

18 17 CFR 240.17Ad–22(e)(2)(v). 

19 17 CFR 240.17Ad–22(e)(17). 

20 17 CFR 240.17Ad–22(e)(17). 

21 15 U.S.C. 78q–1(b)(3)(F). 

22 17 CFR 240.17Ad–22(e)(2)(v) and (e)(17). 

23 15 U.S.C. 78s(b)(2). 

24 In approving the Proposed Rule Change, the 

Commission considered the proposal’s impact on 

efficiency, competition, and capital formation. 15 

U.S.C. 78c(f). 

25 17 CFR 200.30–3(a)(12). 

therefore ensure that it can continue to 

clear and settle securities transactions. 

For example, as discussed above, the 

Proposed Rule Change would update 

the Policy to require ICE Clear Europe 

to maintain an inventory of scenarios for 

the purposes of scenario analysis and 

testing, which inventory would need to 

be reviewed on at least an annual basis 

in order to determine if the scenarios are 

still fit for purpose and if updates are 

required. These new requirements 

should help ensure that ICE Clear 

Europe personnel identify and maintain 

an appropriate inventory of scenarios, 

determine in a timely manner if updates 

to the inventory or scenarios are needed, 

and identify any gaps and necessary 

resolutions or updates to the inventory 

and scenarios sooner than what is 

currently required. 

Taken together, these enhancements 

to the Policy should enhance ICE Clear 

Europe’s operational resilience, which 

in turn should decrease the likelihood 

that operational incidents would disrupt 

its ability to promptly and accurately 

clear and settle securities transactions. 

Accordingly, the Commission finds that 

the Proposed Rule Change is consistent 

with Section 17A(b)(3)(F) of the Act.16

ii. Consistency With Rule 17Ad– 

22(e)(2)(v) 

Rule 17Ad–22(e)(2)(v) require that ICE 

Clear Europe establish, implement, 

maintain, and enforce written policies 

and procedures reasonably designed to 

provide governance arrangements that, 

among other things, are clear and 

transparent and specify clear and direct 

lines of responsibility.17

As discussed above, the Proposed 

Rule Change would add new sections to 

the Policy addressing reviews, breach 

management, and exception handling. 

Among other things, the section 

addressing reviews would make the 

document owner responsible for 

ensuring that the Policy remains up-todate and is reviewed in accordance with 

ICE Clear Europe’s governance 

processes. Additionally, document 

reviews will be conducted by the 

document owner and signed off by the 

head of the department (or their 

delegate) and the Chief Risk Officer. 

These reviews would encompass, at a 

minimum, regulatory compliance; 

documentation and purpose; 

implementation; use; and, where 

appropriate, open items from previous 

validations or reviews. 

Under the new section covering 

breach management, the document 

owner also would be responsible for 

reporting material breaches or 

unapproved deviations from the Policy 

to their Head of Department, the Chief 

Risk Officer, and the Head of Regulation 

and Compliance (or, as applicable, their 

respective delegates). 

Under the new section addressing 

exception handling, exceptions to the 

Policy would need to be approved in 

accordance with ICE Clear Europe’s 

governance process for the approval of 

changes, and could only take effect after 

completion of all necessary internal and 

regulatory approvals. 

Additionally, the Proposed Rule 

Change would add a new section to the 

Policy on control validation and 

assessment, outlining that upon entry to 

the risk register or when a material 

change is made to a Key Control, ERM 

will confirm that validation of Key 

Controls is carried out. The Proposed 

Rule Change would also amend the 

Policy to state that validation may be 

verified directly by ERM or through 

ERM’s oversight of validations 

performed by the First Line. 

Taken together, these changes would 

help establish clear and direct 

responsibilities for the document owner 

of the Policy. Accordingly, the 

Commission finds that the Proposed 

Rule Change is consistent with Rule 

17Ad–22(e)(2)(v).18

iii. Consistency With Rule 17Ad– 

22(e)(17) 

Rule 17Ad–22(e)(17) requires that ICE 

Clear Europe establish, implement, 

maintain, and enforce written policies 

and procedures reasonably designed to 

manage its operational risks by, among 

other things, identifying the plausible 

sources of operational risk, both internal 

and external, and mitigating their 

impact through the use of appropriate 

systems, policies, procedures, and 

controls.19

By adding a requirement to maintain 

an inventory of scenarios for the 

purposes of scenario analysis and test 

and review those scenarios annually, 

the Proposed Rule Change would 

support ICE Clear Europe’s ability to 

identify plausible sources of operational 

risk, both internal and external, and 

mitigate their impact through the Policy, 

which supports Ice Clear Europe’s 

efforts to manage and mitigate its 

operational risks. Accordingly, the 

Commission finds that the Proposed 

Rule Change is consistent with Rule 

17Ad–22(e)(17).20

IV. Conclusion 

On the basis of the foregoing, the 

Commission finds that the Proposed 

Rule Change, as modified by 

Amendment no. 1, is consistent with the 

requirements of the Act, and in 

particular, with the requirements of 

Section 17A(b)(3)(F) of the Act,21 and 

Rules 17Ad–22(e)(2)(v) and 17Ad– 

22(e)(17) thereunder.22

It is therefore ordered pursuant to 

Section 19(b)(2) of the Act 23 that the 

Proposed Rule Change (SR–ICEEU– 

2023–021) be, and hereby is, 

approved.24

For the Commission, by the Division 

of Trading and Markets, pursuant to 

delegated authority.25

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–23941 Filed 10–30–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. PA–61; File No. S7–19–23] 

Privacy Act of 1974; System of 

Records 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice of a new system of 

records. 

SUMMARY: The Securities and Exchange 

Commission (SEC) proposes to establish 

SEC–36, Harassment Prevention and 

Response Program Records under the 

Privacy Act of 1974. The information in 

the system concerns internal inquiries 

and/or investigations into allegations of 

harassment reported to SEC by 

applicants for employment, current and 

former SEC employees, fellows, interns, 

and individuals who conduct business 

with the SEC; and resolutions of 

allegations of workplace harassment. 

The Harassment Prevention and 

Response Program addresses harassment 

concerns that are raised separate and 

apart from harassment claims that may 

also be raised under the procedures for 

administrative equal employment 

opportunity complaints. 

DATES: The system of records will 

become effective October 31, 2023, with 

the exception of the routine uses, which 

will become effective November 30, 


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Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices 74551 

2023, to permit public comment on the 

routine uses. The Commission will 

publish a new notice if the effective date 

is delayed to review comments or if 

changes are made based on comments 

received. To assure consideration, 

comments should be received on or 

before November 30, 2023. 

ADDRESSES: Comments may be 

submitted by any of the following 

methods: 

Electronic Comments 

• Use the Commission’s internet 

comment form (https://www.sec.gov/ 

comments/s7-19-23/privacy-act-1974- 

system-records); or 

• Send an email to rule-comments@

sec.gov. Please include File Number S7– 

19–23 on the subject line. 

Paper Comments 

• Send paper comments to Vanessa 

A. Countryman, Secretary, U.S. 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 

20549–1090. 

All submissions should refer to File 

Number S7–19–23. This file number 

should be included on the subject line 

if email is used. To help the 

Commission process and review your 

comments more efficiently, please use 

only one method of submission. The 

Commission will post all comments on 

the Commission’s website (https://

www.sec.gov/rules/2023/10/s7-19-23). 

Comments also are available for website 

viewing and printing in the 

Commission’s Public Reference Room, 

100 F Street NE, Washington, DC 20549, 

on official business days between the 

hours of 10 a.m. and 3 p.m. Operating 

conditions may limit access to the 

Commission’s Public Reference Room. 

Do not include personal identifiable 

information in submissions; you should 

submit only information that you wish 

to make available publicly. We may 

redact in part or withhold entirely from 

publication submitted material that is 

obscene or subject to copyright 

protection. 

FOR FURTHER INFORMATION CONTACT: 

Ronnette McDaniel, Privacy and 

Information Assurance Branch Chief, 

202–551–7200 or privacyhelp@sec.gov. 

SUPPLEMENTARY INFORMATION: The 

Harassment Prevention and Response 

Program strives to create a work 

environment that is respectful and 

inclusive for all in the SEC workplace 

and SEC sanctioned activities and 

events, including those outside of SEC 

facilities. The program provides a 

mechanism for SEC employees, fellows, 

interns, or individuals who conduct 

business with the SEC to report 

allegations of harassment to the SEC. In 

order to intake, manage and track 

inquiries to a resolution the SEC is 

establishing SEC–36, Harassment 

Prevention and Response Program 

Records, under the Privacy Act. Records 

may include contact information of 

individuals involved in reports or 

allegations of harassment, statements of 

witnesses, exhibits, reports of 

interviews, findings and 

recommendations, close-out materials, 

documentation of any corrective action 

taken by management, and related 

correspondence. Information from this 

system of records will be collected, 

maintained, and disclosed in 

accordance with applicable law, 

regulations, and statutes, including but 

not limited to Prohibited Personnel 

Practices; Executive Order 11478, 34 FR 

12985 (as amended by Executive Orders 

13087, 13145 and 13152); Equal 

Employment Opportunity Commission 

Management Directive 715 (EEO–MD– 

715); and Equal Employment 

Opportunity Commission, Enforcement 

Guidance on Vicarious Employer 

Liability for Unlawful Harassment by 

Supervisors (June 18, 1999). 

SYSTEM NAME AND NUMBER

SEC–36 Harassment Prevention and 

Response Program Records. 

SECURITY CLASSIFICATION: 

Non-classified. 

SYSTEM LOCATION: 

U.S. Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549. 

SYSTEM MANAGER(S): 

Director, Office of Equal Employment 

Opportunity, 100 F Street NE, 

Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Records Management by Federal 

Agencies, 44 U.S.C. 3101 et seq.; Civil 

Service Reform Act of 1978, 5 U.S.C. 

2302(b), Prohibited Personnel Practices; 

Executive Order 11478, 34 FR 12985 (as 

amended by Executive Orders 13087, 

13145 and 13152); title VII of the Civil 

Rights Act of 1964, 42 U.S.C. 2000e–16 

et seq.; Age Discrimination in 

Employment Act of 1967, 29 U.S.C. 621 

et seq.; Section 501 of the Rehabilitation 

Act of 1973, 29 U.S.C. 791; titles I and 

V of the Americans with Disabilities Act 

of 1990 (ADA), 42 U.S.C. 12101 et seq., 

as amended by ADA the Amendments 

Act of 2008; Notification and Federal 

Employee Antidiscrimination and 

Retaliation Act of 2002, Public Law 

107–174, as amended by the Elijah E. 

Cummings Federal Employee 

Antidiscrimination Act of 2020; title II 

of the Genetic Information 

Nondiscrimination Act of 2008, 42 

U.S.C. 2000ff et seq.; Equal Pay Act of 

1963, 29 U.S.C. 206(d); Equal 

Employment Opportunity Commission 

Management Directive 715 (EEO–MD– 

715); and Equal Employment 

Opportunity Commission, Enforcement 

Guidance on Vicarious Employer 

Liability for Unlawful Harassment by 

Supervisors (June 18, 1999). 

PURPOSE(S) OF THE SYSTEM: 

The Harassment Prevention and 

Response Program system of records 

maintains records regarding allegations 

of workplace harassment. These records 

are maintained for the purpose of 

conducting internal inquiries and/or 

investigations into allegations of 

harassment reported to the SEC by 

applicants for employment, current and 

former SEC employees, fellows, interns, 

or individuals who conduct business 

with the SEC and resolving allegations 

of workplace harassment. The records 

contained in this system do not 

duplicate any existing agency or 

government-wide system of records, 

even though some of the documents 

might also appear in other systems of 

records maintained for other purposes. 

Particularly, records are not collected to 

advance claims of discrimination 

pursuant to processes outlined in title 

29 CFR part 1614. Rather, these records 

are collected for administrative action 

relating to allegations of workplace 

harassment, including bases found in 

EEO laws and elsewhere. The agency 

policy and processes govern the 

collection and maintenance of these 

records to further the agency’s 

commitment to appropriately respond to 

allegations of workplace harassment. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

This system of records maintains 

information on individuals who have 

reported harassing conduct by or against 

SEC personnel and harassing conduct 

by or against non-SEC personnel to the 

program manager for prevention of 

harassment and response, in accordance 

with the agency’s administrative 

regulation relating to harassment 

prevention and response. Individuals 

covered include, but are not limited to 

applicants for SEC employment, current 

and former SEC employees, fellows, 

interns, and individuals who conduct 

business with the SEC. Covered 

individuals include those who report 

harassment concerns, provide 

information in support of harassment 

inquiries or investigations, or are 

witnesses or are otherwise contacted as 

part of the fact-finding process for 


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74552 Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices 

inquiries, investigations, and reports 

relating to workplace harassment. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The system contains all records 

related to a report of harassment 

received by the SEC through the 

harassment prevention and response 

program manager or through referrals 

from the Office of Equal Employment 

Opportunity, other SEC organizations 

necessary for the implementation of the 

SEC Harassment Prevention and 

Response Program (or its successor 

program), or management officials. The 

records may include contact 

information of individuals involved in 

reports or allegations of harassment, 

statements of witnesses, exhibits, 

reports of interviews, findings and 

recommendations, close-out materials, 

documentation of any corrective action 

taken by management, and related 

correspondence. The specific data 

elements found in these records may 

include names, positions, Social 

Security numbers, mailing addresses, 

email addresses, employment histories, 

employee evaluations, disciplinary 

actions, case-related communications 

and notes, and audit logs of user access 

and activities within the SEC 

Harassment Prevention and Response 

Program electronic databases 

maintained by the SEC. 

RECORD SOURCE CATEGORIES: 

The SEC obtains information in this 

system from alleged targets of 

harassment, alleged harassers, 

witnesses, members of the public, other 

Federal agencies, and other individuals 

involved in the allegations. Some 

information, such as the alleged target’s 

or harasser’s name, personal 

identification number (PIN), employee 

identification number, position, and job 

location may be obtained from other 

SEC system of records as relevant and 

necessary to carry out the SEC’s 

function. Other record sources include 

documents related to reports of 

harassment to the SEC Harassment 

Prevention and Response Program staff 

or management; information obtained 

through correspondence, letters, 

telephone calls, emails, or any other 

form of communication; data obtained 

from investigative material and any 

information relevant to an investigation; 

materials and information gathered by 

staff in the performance of their duties; 

electronic databases maintained by the 

staff; other SEC files; and from 

individuals, including where 

practicable, those to whom the records 

relate. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

In addition to those disclosures 

generally permitted under 5 U.S.C. 

552a(b) of the Privacy Act, these records 

or information contained therein may 

specifically be disclosed outside the 

Commission as a routine use pursuant 

to 5 U.S.C. 552a(b)(3) as follows: 

1. To appropriate agencies, entities, 

and persons when (1) the SEC suspects 

or has confirmed that there has been a 

breach of the system of records; (2) the 

SEC has determined that as a result of 

the suspected or confirmed breach there 

is a risk of harm to individuals, the SEC 

(including its information systems, 

programs, and operations), the Federal 

Government, or national security; and 

(3) the disclosure made to such 

agencies, entities, and persons is 

reasonably necessary to assist in 

connection with the SEC’s efforts to 

respond to the suspected or confirmed 

breach or to prevent, minimize, or 

remedy such harm. 

2. To another Federal agency or 

Federal entity, when the SEC 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 

3. To a Congressional office from the 

record of an individual in response to 

an inquiry from the Congressional office 

made at the request of that individual. 

4. To any persons during the course 

of any inquiry, examination, or 

investigation conducted by the SEC’s 

staff, or in connection with civil 

litigation, if the staff has reason to 

believe that the person to whom the 

record is disclosed may have further 

information about the matters related 

therein, and those matters appeared to 

be relevant at the time to the subject 

matter of the inquiry. Such disclosure is 

permitted in connection with civil 

litigation only when it is relevant and 

necessary to the litigation. 

5. To the National Archives and 

Records Administration (NARA) in 

records management inspections 

conducted under 44 U.S.C. 2904 and 

2906, to permit the National Archivist to 

inspect SEC records or inspect the SEC 

records management program and 

practices. 

6. To interns, grantees, experts, 

contractors, and others who have been 

engaged by the Commission to assist in 

the performance of a service related to 

this system of records and who need 

access to the records for the purpose of 

assisting the Commission in the efficient 

administration of its programs, 

including by performing clerical, 

stenographic, or data analysis functions, 

or by reproduction of records by 

electronic or other means. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

7. To Federal, State, local, and/or 

foreign law enforcement agencies or 

other appropriate entity charged with 

the responsibility of investigating or 

prosecuting a violation or potential 

violation of law, whether civil, criminal, 

or regulatory in nature. 

8. To respond to subpoenas in any 

litigation or other proceeding. 

9. To the U.S. Department of Justice 

(DOJ), when: 

(a) The SEC or any component 

thereof; or 

(b) Any SEC employee in his or her 

official capacity; or 

(c) Any SEC employee in his or her 

individual capacity that DOJ has agreed 

to represent; or 

(d) The United States or any agency 

thereof where the SEC determines the 

litigation is likely to affect the SEC or 

any of its components is a party to a 

litigated matter or has an interest in a 

litigated matter and the SEC determines 

that the use of such records by DOJ is 

relevant and necessary to the litigation. 

10. In any proceeding before a court 

or adjudicative body before which the 

SEC is authorized to appear, when: 

(a) The SEC or any component 

thereof; or 

(b) Any SEC employee in his or her 

official capacity; or 

(c) Any SEC employee in his or her 

individual capacity; or 

(d) The United States or any agency 

thereof where the SEC determines the 

litigation is likely to affect the SEC or 

any of its components is a party to the 

proceeding or has an interest in the 

proceeding and SEC determines that the 

use of such records is relevant and 

necessary to the proceeding. 

11. To provide information to the 

EEOC when requested in connection 

with investigations into alleged or 

possible discriminatory practices in the 

Federal sector, examination of Federal 

affirmative employment programs, 

compliance by Federal agencies with 

Uniformed Guidelines on Employee 

Selection Procedures, or other functions 

vested in the EEOC. 

12. To provide information to officials 

of labor organizations recognized under 


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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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