81612 Federal Register / Vol. 89, No. 195 / Tuesday, October 8, 2024 / Notices 

41 17 CFR 200.30–3(a)(12). 

Commission, and all written 

communications relating to the 

proposed rule change between the 

Commission and any person, other than 

those that may be withheld from the 

public in accordance with the 

provisions of 5 U.S.C. 552, will be 

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. Copies of the filing also 

will be available for inspection and 

copying at the principal office of the 

Exchange. 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. All 

submissions should refer to file number 

SR–IEX–2024–20 and should be 

submitted on or before October 29, 

2024. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.41

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2024–23166 Filed 10–7–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–523, OMB Control No. 

3235–0585] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

206(4)–7 

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 (the 

‘‘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 title for the collection of 

information is ‘‘Investment Advisers Act 

rule 206(4)–7, 17 CFR 275.206(4)–7, 

Compliance procedures and practices.’’ 

This collection of information is found 

at 17 CFR 275.206(4)–7, and is 

mandatory. Rule 206(4)–7 under the 

Investment Advisers Act of 1940 

(‘‘Advisers Act’’) requires each 

investment adviser registered with the 

Commission to (1) adopt and implement 

written policies and procedures 

reasonably designed to prevent 

violations of the Advisers Act and its 

rules, (2) review those compliance 

policies and procedures annually, and 

(3) designate a chief compliance officer 

who is responsible for administering the 

compliance policies and procedures. 

The rule is designed to protect investors 

by fostering better compliance with the 

securities laws. The collection of 

information under rule 206(4)–7 is 

necessary to help ensure that 

investment advisers maintain 

comprehensive internal programs that 

promote the advisers’ compliance with 

the Advisers Act and its rules. The 

Commission’s examination and 

oversight staff may review the 

information collected to assess 

investment advisers’ compliance 

programs. Responses provided to the 

Commission pursuant to the rule in the 

context of the Commission’s 

examination and oversight program are 

generally kept confidential. 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 control 

number. 

The respondents to this information 

collection are investment advisers 

registered with the Commission. 

Updated data indicate that there were 

15,441 advisers registered with the 

Commission as of December 31, 2023. 

Each respondent would produce one 

response, per year. Commission staff has 

estimated that compliance with rule 

206(4)–7 imposes an annual burden of 

approximately 90 hours per response. 

Based on this figure, Commission staff 

estimates a total annual burden of 

1,389,690 hours for this collection of 

information. 

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 by November 7, 2024 to (i) 

MBX.OMB.OIRA.SEC_desk_officer@

omb.eop.gov and (ii) Austin Gerig, 

Director/Chief Data Officer, Securities 

and Exchange Commission, c/o 

Oluwaseun Ajayi, 100 F Street NE, 

Washington, DC 20549, or by sending an 

email to: PRA_Mailbox@sec.gov. 

Dated: October 2, 2024. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2024–23161 Filed 10–7–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–462, OMB Control No. 

3235–0696] 

Proposed Collection; Comment 

Request; Extension: Rules 15Fb1–1 

through 15Fb6–2 and Forms SBSE, 

SBSE–A, SBSE–BD, SBSE–C and 

SBSE–W 

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 Rules 15Fb1–1 through 

15Fb6–2 and Forms SBSE, SBSE–A, 

SBSE–BD, SBSE–C and SBSE–W (17 

CFR 240.15Fb1–1 through 240.15Fb6–2, 

and 17 CFR 249.1600, 249.1600a, 

249.1600b, 249.1600c and 249.1601), 

under the Securities Exchange Act of 

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

Commission plans to submit this 

existing collection of information to the 

Office of Management and Budget 

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

The Commission adopted Rules 

15Fb1–1 through 15Fb6–2 and Forms 

SBSE, SBSE–A, SBSE–BD, SBSE–C and 

SBSE–W on August 5, 2015 to create a 

process to register SBS Entities. Forms 

SBSE, SBSE–A, and SBSE–BD and 

SBSE–C were designed to elicit certain 

information from applicants. The 

Commission uses the information 

disclosed by applicants through the SBS 

Entity registration rules and forms to: (1) 

determine whether an applicant meets 

the standards for registration set forth in 

the provisions of the Exchange Act; and 

(2) develop an information resource 

regarding SBS Entities where members 

of the public may obtain relevant, up-todate information about SBS Entities, 

and where the Commission may obtain 

information for examination and 

enforcement purposes. Without the 

information provided through these SBS 

Entity registration rules and forms, the 

Commission could not effectively 

determine whether the applicant meets 

the standards for registration or 

implement policy objectives of the 

Exchange Act. 


ddrumheller on DSK120RN23PROD with NOTICES1