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

1 1,000 banks × 2 notices = 2,000 notices; (2,000 

notices × 15 minutes) = 30,000 minutes/60 minutes 

= 500 hours. 

at: https://www.nrc.gov/public-involve/ 

public-meetings/schedule.html. 

The NRC provides reasonable 

accommodation to individuals with 

disabilities where appropriate. If you 

need a reasonable accommodation to 

participate in these public meetings or 

need this meeting notice or the 

transcript or other information from the 

public meetings in another format (e.g., 

braille, large print), please notify Anne 

Silk, NRC Disability Program Specialist, 

at 301–287–0745, by videophone at 

240–428–3217, or by email at 

Anne.Silk@nrc.gov. Determinations on 

requests for reasonable accommodation 

will be made on a case-by-case basis. 

Members of the public may request to 

receive this information electronically. 

If you would like to be added to the 

distribution, please contact the Nuclear 

Regulatory Commission, Office of the 

Secretary, Washington, DC 20555, at 

301–415–1969, or by email at 

Tyesha.Bush@nrc.gov or Betty.Thweatt@

nrc.gov. 

The NRC is holding the meetings 

under the authority of the Government 

in the Sunshine Act, 5 U.S.C. 552b. 

Dated: December 29, 2021. 

For the Nuclear Regulatory Commission. 

Sergio E. Gonzalez, 

Information Management Specialist, Office of 

the Secretary. 

[FR Doc. 2021–28485 Filed 12–29–21; 4:15 pm] 

BILLING CODE 7590–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–335, OMB Control No. 

3235–0381] 

Submission for OMB Review; 

Comment Request; Extension: Form 

40–F 

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 40–F (17 CFR 249.240f) is used 

by certain Canadian issuers to register a 

class of securities pursuant to Section 

12(b) or (g) of the Securities Exchange 

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

78l) or as an annual report pursuant to 

Section 13(a) or 15(d) of the Exchange 

Act (15 U.S.C. 78m(a) or 78o(d)). The 

information required in the Form 40–F 

is used by investors in making 

investment decisions with respect to the 

securities of such Canadian companies. 

We estimate that Form 40–F takes 

approximately 431.42 hours per 

response and is filed by approximately 

132 respondents. We estimate that 25% 

of the 431.42 hours per response 

(107.855 hours) is prepared by the 

issuer for a total reporting burden of 

14,237 (107.855 hours per response × 

132 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. 2021–28438 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–562, OMB Control No. 

3235–0624] 

Submission for OMB Review; 

Comment Request; Extension: 

Regulation R, Rule 701 

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 

Regulation R, Rule 701 (17 CFR 247.701) 

under the Securities Exchange Act of 

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

Regulation R, Rule 701 requires a 

broker or dealer (as part of a written 

agreement between the bank and the 

broker or dealer) to notify the bank if the 

broker or dealer makes certain 

determinations regarding the financial 

status of the customer, a bank 

employee’s statutory disqualification 

status, and compliance with suitability 

or sophistication standards. 

The Commission estimates there are 

3,560 registered brokers or dealers that 

would, on average, notify 1,000 banks 

approximately two times annually about 

a determination regarding a customer’s 

high net worth or institutional status or 

suitability or sophistication standing as 

well as a bank employee’s statutory 

disqualification status. Based on these 

estimates, the Commission anticipates 

that Regulation R, Rule 701 would result 

in brokers or dealers making 

approximately 2,000 notifications to 

banks per year. The Commission further 

estimates (based on the level of 

difficulty and complexity of the 

applicable activities) that a broker or 

dealer would spend approximately 15 

minutes per notice to a bank. Therefore, 

the estimated total annual third party 

disclosure burden for the requirements 

in Regulation R, Rule 701 is 500 1 hours 

for brokers or dealers. 

The retention period for the 

recordkeeping requirement under Rule 

17Ad–2(c), (d), and (h) is not less than 

two years following the date the notice 

is submitted. The recordkeeping 

requirement under this rule is 

mandatory to assist the Commission in 

monitoring transfer agents who fail to 

meet the minimum performance 

standards set by the Commission rule. 

This rule does not involve the collection 

of confidential information. Please note 

that a transfer agent is not required to 

file under the rule unless it does not 

meet the minimum performance 

standards for turnaround, processing or 

forwarding items received for transfer 

during a month. 

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 


khammond on DSKJM1Z7X2PROD with NOTICES
Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices 127 

1The burdens imposed by the CFTC are included 

in this collection of information. 

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 R. 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. 2021–28430 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–71, OMB Control No. 

3235–0058] 

Submission for OMB Review; 

Comment Request; Extension: Form 

12b–25 

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. 

The purpose of Form 12b–25 (17 CFR 

240.12b–25) is to provide notice to the 

Commission and the marketplace that a 

registrant will be unable to timely file a 

required periodic or transition report 

pursuant to the Securities Exchange Act 

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

Investment Company Act of 1940 (15 

U.S.C. 80a et seq.). If all the filing 

conditions of the form are satisfied, the 

registrant is granted an automatic filing 

extension. The information required is 

filed on occasion and is mandatory. All 

information is available to the public for 

review. Approximately 3,432 registrants 

file Form 12b–25 and it takes 

approximately 2.5 hours per response 

for a total of 8,580 burden hours (2.5 

hours per response × 3,432 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. 2021–28437 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–641, OMB Control No. 

3235–0685] 

Proposed Collection; Comment 

Request; Extension: Rules 3a68–2 and 

3a68–4(c) 

Upon Written Request, Copies Available 

From: U.S. 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 (‘‘SEC’’) is 

soliciting comments on the existing 

collection of information provided for 

Rules 3a68–2 and 3a68–4(c). The SEC 

plans to submit this existing collection 

of information to the Office of 

Management and Budget (‘‘OMB’’) for 

extension and approval. 

Rule 3a68–2 creates a process for 

interested persons to request a joint 

interpretation by the SEC and the 

Commodity Futures Trading 

Commission (‘‘CFTC’’) (together with 

the SEC, the ‘‘Commissions’’) regarding 

whether a particular instrument (or 

class of instruments) is a swap, a 

security-based swap, or both (i.e., a 

mixed swap). Under Rule 3a68–2, a 

person provides to the Commissions a 

copy of all material information 

regarding the terms of, and a statement 

of the economic characteristics and 

purpose of, each relevant agreement, 

contract, or transaction (or class 

thereof), along with that person’s 

determination as to whether each such 

agreement, contract, or transaction (or 

class thereof) should be characterized as 

a swap, security-based swap, or both 

(i.e., a mixed swap). The Commissions 

also may request the submitting person 

to provide additional information. 

The SEC expects 25 requests pursuant 

to Rule 3a68–2 per year. The SEC 

estimates the total paperwork burden 

associated with preparing and 

submitting each request would be 20 

hours to retrieve, review, and submit the 

information associated with the 

submission. This 20 hour burden is 

divided between the SEC and the CFTC, 

with 10 hours per response regarding 

reporting to the SEC and 10 hours of 

response regarding third party 

disclosure to the CFTC.1 The SEC 

estimates this would result in an 

aggregate annual burden of 500 hours 

(25 requests × 20 hours/request). 

The SEC estimates that the total costs 

resulting from a submission under Rule 

3a68–2 would be approximately $12,000 

for outside attorneys to retrieve, review, 

and submit the information associated 

with the submission. The SEC estimates 

this would result in aggregate costs each 

year of $300,000 (25 requests × 30 

hours/request × $400). 

Rule 3a68–4(c) establishes a process 

for persons to request that the 

Commissions issue a joint order 

permitting such persons (and any other 

person or persons that subsequently 

lists, trades, or clears that class of mixed 

swap) to comply, as to parallel 

provisions only, with specified parallel 

provisions of either the Commodity 

Exchange Act (‘‘CEA’’) or the Securities 

Exchange Act of 1934 (‘‘Exchange Act’’), 

and related rules and regulations 

(collectively ‘‘specified parallel 

provisions’’), instead of being required 

to comply with parallel provisions of 

both the CEA and the Exchange Act. 

The SEC expects ten requests 

pursuant to Rule 3a68–4(c) per year. 

The SEC estimates that nine of these 

requests will have also been made in a 

request for a joint interpretation 

pursuant to Rule 3a68–2, and one will 

not have been. The SEC estimates the 

total burden for the one request for 

which the joint interpretation pursuant 

to 3a68–2 was not requested would be 

30 hours, and the total burden 

associated with the other nine requests 

would be 20 hours per request because 

some of the information required to be 

submitted pursuant to Rule 3a68–4(c) 

would have already been submitted 

pursuant to Rule 3a68–2. The burden in 

both cases is evenly divided between 

the SEC and the CFTC. 

The SEC estimates that the total costs 

resulting from a submission under Rule 

3a68–4(c) would be approximately 


khammond on DSKJM1Z7X2PROD with NOTICES