134 Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices 

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: December 28, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–28440 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[OMB Control No. 3235–0361, SEC File No. 

270–318] 

Submission for OMB Review; 

Comment Request; Extension: Form 

ADV–E 

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 a 

request for extension of the previously 

approved collection of information 

discussed below. 

Form ADV–E (17 CFR 279.8) is the 

cover sheet for certificates of accounting 

filed pursuant to rule 206(4)–2 under 

the Investment Advisers Act of 1940 (17 

CFR 275.206(4)–2). The rule further 

requires that the public accountant file 

with the Commission a Form ADV–E 

and accompanying statement within 

four business days of the resignation, 

dismissal, removal or other termination 

of its engagement. 

The Commission has estimated that 

compliance with the requirement to 

complete Form ADV–E imposes a total 

burden of approximately 0.05 hours (3 

minutes) per respondent. Based on 

current information from advisers 

registered with the Commission, the 

Commission staff estimates that 1,743 

filings will be submitted with respect to 

surprise examinations and 33 filings 

will be submitted with respect to 

termination of accountants. Based on 

these estimates, the total estimated 

annual burden would be 88.80 hours 

((1,743 filings × .05 hours) + (33 filings 

× .05 hours)). 

The information provided on Form 

ADV–E is mandatory. Responses will 

not be kept confidential. An agency may 

not conduct or sponsor a collection of 

information unless it displays a 

currently valid OMB control number. 

No person shall be subject to any 

penalty for failing to comply with a 

collection of information subject to the 

PRA that does not display a 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 

within 30 days of publication of this 

notice 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: December 28, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–28435 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–101, OMB Control No. 

3235–0082] 

Submission for OMB Review; 

Comment Request; Extension: Form 

11–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. 

Form 11–K (17 CFR 249.311) is the 

annual report designed for use by 

employee stock purchase, savings and 

similar plans to comply with the 

reporting requirements under Section 

15(d) of the Securities and Exchange Act 

of 1934 (the ‘‘Exchange Act’’) (15 U.S.C. 

78o(d)). Section 15(d) establishes a 

periodic reporting obligation for every 

issuer of securities registered under the 

Securities Act of 1933 (the ‘‘Securities 

Act’’) (15 U.S.C. 77a et seq.). Form 11– 

K provides employees of an issuer with 

financial information so that they can 

assess the performance of the stock plan 

or investment vehicle. The information 

collected must be filed with the 

Commission and is publicly available. 

Form 11–K takes approximately 30 

hours per response and is filed by 1,302 

respondents for total of 39,060 burden 

hours (30 hours per response × 1,302 

responses). 

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 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 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: December 28, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–28436 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–149, OMB Control No. 

3235–0130] 

Proposed Collection; Comment 

Request; Extension: Rule 17Ad–2(c), 

(d), and (h) 

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 17Ad–2(c), (d), and 

(h), (17 CFR 240.17Ad–2(c), (d), and 

(h)), 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. 


khammond on DSKJM1Z7X2PROD with NOTICES
Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices 135 

Rule 17Ad–2(e),(d), and (h) 

enumerates the requirements with 

which transfer agents must comply to 

inform the Commission or the 

appropriate regulator of a transfer 

agent’s failure to meet the minimum 

performance standards set by the 

Commission rule by filing a notice. 

The Commission receives 

approximately 3 notices a year pursuant 

to Rule 17Ad–2(c), (d), and (h). The 

estimated annual time burden of these 

filings on respondents is minimal in 

view of: (a) The readily available nature 

of most of the information required to be 

included in the notice (since that 

information must be compiled and 

retained pursuant to other Commission 

rules); and (b) the summary fashion in 

which such information must be 

presented in the notice (most notices are 

one page or less in length). In light of 

the above, and based on the experience 

of the staff regarding the notices, the 

Commission staff estimates that, on 

average, most notices require 

approximately one-half hour to prepare. 

Thus, the Commission staff estimates 

that the industry-wide total time burden 

is approximately 1.5 hours per year. 

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 in 

writing within 60 days of this 

publication. 

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. 

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: December 28, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–28433 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–475, OMB Control No. 

3235–0536] 

Submission for OMB Review; 

Comment Request; Extension: 

Regulation FD 

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. 

Regulation FD (17 CFR 243.100 et 

seq.)—Other Disclosure Materials 

requires public disclosure of material 

information from issuers of publicly 

traded securities so that investors have 

current information upon which to base 

investment decisions. The purpose of 

the regulation is to require that: (1) 

When an issuer intentionally discloses 

material information, to do so through 

public disclosure, not selective 

disclosure; and (2) to make prompt 

public disclosure of material 

information that was unintentionally 

selectively disclosed. Regulation FD was 

adopted due to a concern that the 

practice of selective disclosure leads to 

a loss of investor confidence in the 

integrity of our capital markets. All 

information is provided to the public for 

review. The information required is 

filed on occasion and is mandatory. We 

estimate that approximately 13,000 

issuers make Regulation FD disclosures 

approximately five times a year for a 

total of 58,000 submissions annually, 

not including an estimated 7,000 issuers 

who file Form 8–K to comply with 

Regulation FD. We estimate that it takes 

approximately 5 hours per response 

(58,000 responses x 5 hours) for a total 

burden of 290,000 hours annually. In 

addition, we estimate that 25% of the 5 

hours (1.25 hours) is prepared by the 

filer for an annual reporting burden of 

72,500 hours (1.25 hours per response × 

58,000 responses). 

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 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 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: December 28, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–28422 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–421, OMB Control No. 

3235–0481] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

15c2–8 

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 approval of 

extension of the existing collection of 

information provided for in the 

following rule: Rule 15c2–8 (17 CFR 

240.15c2–8), under the Securities 

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

seq.). 

Rule 15c2–8 requires broker-dealers to 

deliver preliminary and/or final 

prospectuses to certain people under 

certain circumstances. In connection 

with securities offerings generally, 

including initial public offerings 

(‘‘IPOs’’), the rule requires brokerdealers to take reasonable steps to 

distribute copies of the preliminary or 

final prospectus to anyone who makes 

a written request, as well as any brokerdealer who is expected to solicit 

purchases of the security and who 

makes a request. In connection with 

IPOs, the rule requires a broker-dealer to 

send a copy of the preliminary 

prospectus to any person who is 

expected to receive a confirmation of 

sale (generally, this means any person 


khammond on DSKJM1Z7X2PROD with NOTICES