Federal Register / Vol. 87, No. 8 / Wednesday, January 12, 2022 / Notices 1825 

45 17 CFR 200.30–3(a)(12). 

1 15 U.S.C. 78s(b)(1). 

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4See Securities Exchange Act Release No. 90085 

(October 2, 2020), 85 FR 63603 (October 8, 2020) 

(SR–NYSEAMER–2020–69) (‘‘SR–NYSEAMER– 

2020–69’’). 

5The Exchange may submit a separate rule filing 

to extend the expiration date of the proposed 

extension beyond March 31, 2022 if the Exchange 

requires additional temporary relief from the rule 

requirements identified in SR–NYSEAMER–2020– 

69. The amended NYSE American rules will revert 

back to their original state at the conclusion of the 

temporary relief period and any extension thereof. 

6See Securities Exchange Act Release Nos. 77241 

(February 26, 2016), 81 FR 11311 (March 3, 2016) 

(SR–NYSEMKT–2016–30) (‘‘2016 Notice’’). 

7See NYSE MKT Information Memorandum 16– 

02 (March 14, 2016). 

8See 2016 Notice, 81 FR at 11327 & 11332. 

9See Securities Exchange Act Release No. 89737 

(September 2, 2020), 85 FR 55712 (September 9, 

2020) (SR–FINRA–2020–027) (‘‘SR–FINRA–2020– 

027’’). 

10See note 4, supra. 

11See Securities Exchange Act Release No. 90619 

(December 9, 2020), 85 FR 81250 (December 15, 

2020) (SR–FINRA–2020–042). 

12See Securities Exchange Act Release No. 90823 

(December 30, 2020), 86 FR 650 (January 6, 2021) 

(SR–NYSEAMER–2020–88). 

https://www.theocc.com/CompanyInformation/Documents-and-Archives/ 

By-Laws-and-Rules. 

All comments received will be posted 

without change. Persons submitting 

comments are cautioned that we do not 

redact or edit personal identifying 

information from comment submissions. 

You should submit only information 

that you wish to make available 

publicly. 

All submissions should refer to File 

Number SR–OCC–2021–014 and should 

be submitted on or before February 2, 

2022. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.45

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–00378 Filed 1–11–22; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–93917; File No. SR– 

NYSEAMER–2021–49] 

Self-Regulatory Organizations; NYSE 

American LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Extending the Expiration 

Date of the Temporary Amendments to 

Rules 9261 and 9830 

January 6, 2022. 

Pursuant to Section 19(b)(1) 1 of the 

Securities Exchange Act of 1934 (the 

‘‘Act’’) 2 and Rule 19b–4 thereunder,3

notice is hereby given that on December 

27, 2021, NYSE American LLC (‘‘NYSE 

American’’ or the ‘‘Exchange’’) filed 

with the Securities and Exchange 

Commission (the ‘‘Commission’’) the 

proposed rule change as described in 

Items I and II below, which Items have 

been prepared by the self-regulatory 

organization. The Commission is 

publishing this notice to solicit 

comments on the proposed rule change 

from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

The Exchange proposes extending the 

expiration date of the temporary 

amendments to Rules 9261 and 9830 as 

set forth in SR–NYSEAMER–2020–69 

from December 31, 2021 to March 31, 

2022, in conformity with recent changes 

by the Financial Industry Regulatory 

Authority, Inc. (‘‘FINRA’’). The 

proposed rule change would not make 

any changes to the text of NYSE 

American Rules 9261 and 9830. The 

proposed rule change is available on the 

Exchange’s website at www.nyse.com, at 

the principal office of the Exchange, and 

at the Commission’s Public Reference 

Room. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, the 

self-regulatory organization included 

statements concerning the purpose of, 

and basis for, the proposed rule change 

and discussed any comments it received 

on the proposed rule change. The text 

of those statements may be examined at 

the places specified in Item IV below. 

The Exchange has prepared summaries, 

set forth in sections A, B, and C below, 

of the most significant parts of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The Exchange proposes extending the 

expiration date of the temporary 

amendments as set forth in SR– 

NYSEAMER–2020–69 4 to Rules 9261 

(Evidence and Procedure in Hearing) 

and 9830 (Hearing) from December 31, 

2021 to March 31, 2022, to harmonize 

with recent changes by FINRA to extend 

the expiration date of the temporary 

amendments to its Rules 9261 and 9830. 

SR–NYSEAMER–2020–69 temporarily 

granted to the Chief or Deputy Chief 

Hearing Officer the authority to order 

that hearings be conducted by video 

conference if warranted by public health 

risks posed by in-person hearings 

during the ongoing COVID–19 

pandemic. The proposed rule change 

would not make any changes to the text 

of Exchange Rules 9261 and 9830.5

Background 

In 2016, NYSE American (then known 

as NYSE MKT LLC) adopted 

disciplinary rules that are, with certain 

exceptions, substantially the same as the 

Rule 8000 Series and Rule 9000 Series 

of FINRA and its affiliate the New York 

Stock Exchange LLC (‘‘NYSE’’), and 

which set forth rules for conducting 

investigations and enforcement actions.6

The NYSE American disciplinary rules 

were implemented on April 15, 2016.7

In adopting disciplinary rules 

modeled on FINRA’s rules, NYSE 

American adopted the hearing and 

evidentiary processes set forth in Rule 

9261 and in Rule 9830 for hearings in 

matters involving temporary and 

permanent cease and desist orders 

under the Rule 9800 Series. As adopted, 

the text of Rule 9261 and Rule 9830 are 

substantially the same as the FINRA 

rules with certain modifications.8

In response to the COVID–19 global 

health crisis and the corresponding 

need to restrict in-person activities, on 

August 31, 2020, FINRA filed with the 

Commission a proposed rule change for 

immediate effectiveness, SR–FINRA– 

2020–027, which allowed FINRA’s 

Office of Hearing Officers (‘‘OHO’’) to 

conduct hearings, on a temporary basis, 

by video conference, if warranted by the 

current COVID–19-related public health 

risks posed by an in-person hearing. 

Among the rules FINRA amended were 

Rules 9261 and 9830.9

Given that FINRA and OHO 

administers disciplinary hearings on the 

Exchange’s behalf, and that the public 

health concerns addressed by FINRA’s 

amendments apply equally to Exchange 

disciplinary hearings, on September 15, 

2020, the Exchange filed to temporarily 

amend Rule 9261 and Rule 9830 to 

permit FINRA to conduct virtual 

hearings on its behalf.10 In December 

2020, FINRA filed a proposed rule 

change, SR–FINRA–2020–042, to extend 

the expiration date of the temporary 

amendments in SR–FINRA–2020–027 

from December 31, 2020, to April 30, 

2021.11 On December 22, 2020, the 

Exchange similarly filed to extend the 

temporary amendments to Rule 9261 

and Rule 9830 to April 30, 2021.12 On 

April 1, 2021, FINRA filed a proposed 

rule change, SR–FINRA–2021–006, to 

extend the expiration date of the 


lotter on DSK11XQN23PROD with NOTICES1
1826 Federal Register / Vol. 87, No. 8 / Wednesday, January 12, 2022 / Notices 

13See Securities Exchange Act Release No. 91495 

(April 7, 2021), 86 FR 19306 (April 13, 2021) (SR– 

FINRA–2021–006). 

14See Securities Exchange Act Release No. 91631 

(April 22, 2021), 86 FR 22471 (April 28, 2021) (SR– 

NYSEAMER–2021–23). 

15See Securities Exchange Act Release No. 92685 

(August 17, 2021), 86 FR 47169 (August 23, 2021) 

(SR–FINRA–2021–019). 

16See Securities Exchange Act Release No. 92910 

(September 9, 2021), 86 FR 51418 (September 15, 

2021) (SR–NYSEAMER–2021–37). 

17See Securities Exchange Act Release No. 93758 

(December 13, 2021), 86 FR 71695 (December 17, 

2021) (SR–FINRA–2021–031) (‘‘SR–FINRA–2021– 

031’’). FINRA noted that, for example, President Joe 

Biden on July 29, 2021, announced several 

measures to increase the number of people 

vaccinated against COVID–19 and to slow the 

spread of the Delta variant, including strengthening 

safety protocols for federal government employees 

and contractors. See https://www.whitehouse.gov/ 

briefing-room/statements-releases/2021/07/29/ 

factsheet-president-biden-to-announce-new-actionsto-get-more-americansvaccinated-and-slow-thespread-of-the-delta-variant/. Thereafter, the Biden 

Administration announced on November 4, 2021, 

details of two major vaccination policies to further 

help fight COVID–19. See https://

www.whitehouse.gov/briefing-room/statementsreleases/2021/11/04/factsheet-bidenadministration-announces-details-of-two-majorvaccination-policies/. Most recently, President 

Biden announced several new actions to help 

protect Americans against the Delta and Omicron 

variants. See https://www.whitehouse.gov/briefingroom/statements-releases/2021/12/02/factsheetpresident-biden-announces-new-actions-to-protectamericans-against-thedelta-and-omicron-variantsas-we-battle-covid-19-this-winter/. See SR–FINRA– 

2021–031, 86 FR at 71695, n. 6. 

18For instance, FINRA noted that the Centers for 

Disease Control and Prevention (‘‘CDC’’) recently 

announced that the first confirmed case of COVID– 

19 caused by the Omicron variant was detected in 

the United States. See https://www.cdc.gov/media/ 

releases/2021/s1201-omicron-variant.html. The 

CDC also recommends that fully vaccinated people 

wear a mask in public indoor settings in areas of 

substantial or high transmission and noted that 

fully vaccinated people might choose to wear a 

mask regardless of the level of transmission, 

particularly if they are immunocompromised or at 

increased risk for severe disease from COVID–19. 

See https://www.cdc.gov/coronavirus/2019-ncov/ 

vaccines/fully-vaccinated-guidance.html. 

Furthermore, as FINRA also noted, numerous states 

currently have COVID–19 restrictions in place. Six 

states (Hawaii, Illinois, Nevada, New Mexico, 

Oregon, and Washington) require most people to 

wear masks in indoor public places regardless of 

vaccination status, and three states (California, 

Connecticut, and New York) have mask mandates 

in indoor public places for those individuals who 

are unvaccinated. Several other states have mask 

mandates in certain settings, such as healthcare 

facilities, schools, and correctional facilities. See 

SR–FINRA–2021–031, 86 FR at 71696, n. 7. 

19See SR–FINRA–2021–031, 86 FR at 71695–96. 

20See SR–FINRA–2021–031, 86 FR at 71695. 

21See note 17, supra. 

22See note 18, supra. 

23See SR–FINRA–2021–031, 86 FR at 71695. 

24See SR–FINRA–2021–031, 86 FR at 71695, n. 

13. 

25 15 U.S.C. 78f(b). 

26 15 U.S.C. 78f(b)(5). 

temporary rule amendments to, among 

other rules, FINRA Rule 9261 and 9830 

from April 30, 2021, to August 31, 

2021.13 On April 20, 2021, the Exchange 

filed to extend the temporary 

amendments to Rule 9261 and Rule 

9830 to August 31, 2021.14 On August 

13, 2021, FINRA filed a proposed rule 

change, SR–FINRA–2021–019, to extend 

the expiration date of the temporary 

amendments to, among other rules, 

FINRA Rule 9261 and 9830 from August 

31, 2021, to December 31, 2021.15 On 

August 27, 2021, the Exchange filed to 

extend the temporary amendments to 

Rule 9261 and Rule 9830 to December 

31, 2021, after which the temporary 

amendments will expire absent another 

proposed rule change filing by the 

Exchange.16

While there are signs of improvement, 

FINRA has determined that much 

uncertainty remains for the coming 

months. The presence of the Delta 

variant, dissimilar vaccination rates 

throughout the United States, and the 

uptick in transmissions in many 

locations indicate that COVID–19 

remains an active and real public health 

concern.17 Due to the uncertainty and 

the lack of a clear timeframe for a 

sustained and widespread abatement of 

COVID–19-related health concerns and 

corresponding restrictions,18 FINRA 

believes that there is a continued need 

for temporary relief beyond December 

31, 2021.19 On December 7, 2021, 

FINRA accordingly filed to extend the 

expiration date of the temporary rule 

amendments to, among other rules, 

FINRA Rule 9261 and 9830 from 

December 31, 2021, to March 31, 

2022.20

Proposed Rule Change 

Consistent with FINRA’s recent 

proposal, the Exchange proposes to 

extend the expiration date of the 

temporary rule amendments to NYSE 

American Rules 9261 and 9830 as set 

forth in SR–NYSEAMER–2020–69 from 

December 31, 2021, to March 31, 2022. 

As set forth in SR–FINRA–2021–031, 

while there are signs of improvement, 

much uncertainty remains for the 

coming months. The presence of the 

Delta variant, dissimilar vaccination 

rates throughout the United States, and 

the uptick in transmissions in many 

locations indicate that COVID–19 

remains an active and real public health 

concern.21 Due to the uncertainty and 

the lack of a clear timeframe for a 

sustained and widespread abatement of 

COVID–19-related health concerns and 

corresponding restrictions,22 FINRA 

believes that there is a continued need 

for temporary relief beyond March 31, 

2022.23 FINRA accordingly proposed to 

extend the expiration date of the 

temporary rule amendments from 

December 31, 2021, to March 31, 2022. 

The Exchange proposes to similarly 

extend the expiration date of the 

temporary rule amendments to NYSE 

American Rules 9261 and 9830 as set 

forth in SR–NYSEAMER–2020–69 from 

December 31, 2021, to March 31, 2022. 

The Exchange agrees with FINRA that, 

while there are signs of improvement, 

much uncertainty remains for the 

coming months. The Exchange also 

agrees that, due to the uncertainty and 

the lack of a clear timeframe for a 

sustained and widespread abatement of 

COVID–19-related health concerns and 

corresponding restrictions, for the 

reasons set forth in SR–FINRA–2021– 

031, there is a continued need for this 

temporary relief beyond December 31, 

2021. The proposed change would 

permit OHO to continue to assess, based 

on critical COVID–19 data and criteria 

and the guidance of health and security 

consultants, whether an in-person 

hearing would compromise the health 

and safety of the hearing participants 

such that the hearing should proceed by 

video conference. As noted in SR– 

FINRA–2021–031, in deciding whether 

to schedule a hearing by video 

conference, OHO may consider a variety 

of other factors in addition to COVID– 

19 trends. Similarly, as noted in SR– 

FINRA–2021–031, in SR–FINRA–2020– 

027, FINRA provided a non-exhaustive 

list of other factors OHO may take into 

consideration, including a hearing 

participant’s individual health concerns 

and access to the connectivity and 

technology necessary to participate in a 

video conference hearing.24 The 

Exchange believes that this is a 

reasonable procedure to continue to 

follow for hearings under Rules 9261 

and 9830 chaired by a FINRA employee. 

As noted below, the Exchange has 

filed the proposed rule change for 

immediate effectiveness and has 

requested that the SEC waive the 

requirement that the proposed rule 

change not become operative for 30 days 

after the date of the filing, so the 

Exchange can implement the proposed 

rule change immediately. 

2. Statutory Basis 

The proposed rule change is 

consistent with Section 6(b) of the 

Act,25 in general, and furthers the 

objectives of Section 6(b)(5),26 in 

particular, because it is designed to 

prevent fraudulent and manipulative 

acts and practices, to promote just and 

equitable principles of trade, to foster 

cooperation and coordination with 

persons engaged in facilitating 

transactions in securities, to remove 

impediments to, and perfect the 


lotter on DSK11XQN23PROD with NOTICES1
Federal Register / Vol. 87, No. 8 / Wednesday, January 12, 2022 / Notices 1827 

27 15 U.S.C. 78f(b)(7) & 78f(d). 

28 15 U.S.C. 78f(b)(7) & 78f(d). 

29 15 U.S.C. 78s(b)(3)(A)(iii). 

30 17 CFR 240.19b–4(f)(6). 

31 17 CFR 240.19b–4(f)(6). 

32 17 CFR 240.19b–4(f)(6)(iii). 

33See supra Item II. 

34See SR–FINRA–2021–031 at 71698 (noting the 

same with respect to the health and safety of FINRA 

employees in granting FINRA’s request to waive the 

30-day operative delay so that SR–FINRA–2021– 

031 would become operative immediately upon 

filing). 

35See supra note 4. 

36See supra note 5. As noted above, the Exchange 

states that if it requires temporary relief from the 

rule requirements identified in this proposal 

beyond March 31, 2022 it may submit a separate 

rule filing to extend the effectiveness of the 

temporary relief under these rules. 

mechanism of, a free and open market 

and a national market system and, in 

general, to protect investors and the 

public interest. Additionally, the 

Exchange believes the proposed rule 

change is designed to provide a fair 

procedure for the disciplining of 

members and persons associated with 

members, consistent with Sections 

6(b)(7) and 6(d) of the Act.27

The Exchange believes that the 

proposed rule change supports the 

objectives of the Act by providing 

greater harmonization between 

Exchange rules and FINRA rules of 

similar purpose, resulting in less 

burdensome and more efficient 

regulatory compliance. As such, the 

proposed rule change will foster 

cooperation and coordination with 

persons engaged in facilitating 

transactions in securities and will 

remove impediments to and perfect the 

mechanism of a free and open market 

and a national market system. 

The proposed rule change, which 

extends the expiration date of the 

temporary amendments to Exchange 

rules consistent with FINRA’s extension 

to its Rules 9261 and 9830 as set forth 

in SR–FINRA–2021–031, will permit the 

Exchange to continue to effectively 

conduct hearings during the COVID–19 

pandemic. Given the current and 

frequently changing COVID–19 

conditions and the uncertainty around 

when those conditions will see 

meaningful, widespread and sustained 

improvement, without this relief 

allowing OHO to proceed by video 

conference, some or all hearings may 

have to be postponed. The ability to 

conduct hearings by video conference 

will permit the adjudicatory functions 

of the Exchange’s disciplinary rules to 

continue unabated, thereby avoiding 

protracted delays. The Exchange 

believes that this is especially important 

in matters where temporary and 

permanent cease and desist orders are 

sought because the proposed rule 

change would enable those hearings to 

continue to proceed without delay, 

thereby enabling the Exchange to 

continue to take immediate action to 

stop significant, ongoing customer 

harm, to the benefit of the investing 

public. 

As set forth in detail in the SR– 

NYSEAMER–2020–69, the temporary 

relief to permit hearings to be conducted 

via video conference maintains fair 

process and will continue to provide 

fair process consistent with Sections 

6(b)(7) and 6(d) of the Act 28 while 

striking an appropriate balance between 

providing fair process and enabling the 

Exchange to fulfill its statutory 

obligations to protect investors and 

maintain fair and orderly markets while 

avoiding the COVID–19-related public 

health risks for hearing participants. 

The Exchange notes that this proposal, 

like SR–NYSEAMER–2020–69, provides 

only temporary relief. As proposed, the 

changes would be in place through 

March 31, 2022. As noted in SR– 

NYSEAMER–2020–69 and above, the 

amended rules will revert back to their 

original state at the conclusion of the 

temporary relief period and, if 

applicable, any extension thereof. 

Accordingly, the proposed rule 

change extending this temporary relief 

is in the public interest and consistent 

with the Act’s purpose. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed temporary rule change 

will impose any burden on competition 

that is not necessary or appropriate in 

furtherance of the purposes of the Act. 

The proposed rule change is not 

intended to address competitive issues 

but is rather intended solely to provide 

continued temporary relief given the 

impacts of the COVID–19 pandemic and 

the related health and safety risks of 

conducting in-person activities. The 

Exchange believes that the proposed 

rule change will prevent unnecessary 

impediments to critical adjudicatory 

processes and its ability to fulfill its 

statutory obligations to protect investors 

and maintain fair and orderly markets 

that would otherwise result if the 

temporary amendments were to expire 

on December 31, 2021. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

No written comments were solicited 

or received with respect to the proposed 

rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The Exchange has filed the proposed 

rule change pursuant to Section 

19(b)(3)(A)(iii) of the Act 29 and Rule 

19b–4(f)(6) thereunder.30 Because the 

proposed rule change does not: (i) 

Significantly affect the protection of 

investors or the public interest; (ii) 

impose any significant burden on 

competition; and (iii) become operative 

prior to 30 days from the date on which 

it was filed, or such shorter time as the 

Commission may designate, if 

consistent with the protection of 

investors and the public interest, the 

proposed rule change has become 

effective pursuant to Section 19(b)(3)(A) 

of the Act and Rule 19b–4(f)(6)(iii) 

thereunder. 

A proposed rule change filed under 

Rule 19b–4(f)(6) 31 normally does not 

become operative prior to 30 days after 

the date of the filing. However, pursuant 

to Rule 19b4(f)(6)(iii),32 the Commission 

may designate a shorter time if such 

action is consistent with the protection 

of investors and the public interest. The 

Exchange has asked the Commission to 

waive the 30-day operative delay so that 

the proposal may become operative 

immediately upon filing. The Exchange 

has indicated that the proposed rule 

change to extend the expiration date 

will continue to prevent unnecessary 

impediments to its critical adjudicatory 

processes, and its ability to fulfill its 

statutory obligations to protect investors 

and maintain fair and orderly markets, 

that would otherwise result if the 

temporary amendments were to expire 

on December 31, 2021.33 Importantly, 

the Exchange has also stated that 

extending the relief provided in SR– 

NYSEAMER–2020–69 immediately 

upon filing and without a 30-day 

operative delay will allow the Exchange 

to continue critical adjudicatory and 

review processes in a reasonable and 

fair manner and meet its critical 

investor protection goals, while also 

following best practices with respect to 

the health and safety of hearing 

participants.34 The Commission also 

notes that this proposal extends without 

change the temporary relief previously 

provided by SR–NYSEAMER–2020– 

69.35 As proposed, the changes would 

be in place through March 31, 2022 and 

the amended rules will revert back to 

their original state at the conclusion of 

the temporary relief period and, if 

applicable, any extension thereof.36 For 

these reasons, the Commission believes 

that waiver of the 30-day operative 

delay for this proposal is consistent 


lotter on DSK11XQN23PROD with NOTICES1
1828 Federal Register / Vol. 87, No. 8 / Wednesday, January 12, 2022 / Notices 

37For purposes only of waiving the 30-day 

operative delay, the Commission has considered the 

proposed rule change’s impact on efficiency, 

competition, and capital formation. See 15 U.S.C. 

78c(f). 

38 15 U.S.C. 78s(b)(2)(B). 39 17 CFR 200.30–3(a)(12). 

with the protection of investors and the 

public interest. Accordingly, the 

Commission hereby waives the 30-day 

operative delay and designates the 

proposal operative upon filing.37

At any time within 60 days of the 

filing of such proposed rule change, the 

Commission summarily may 

temporarily suspend such rule change if 

it appears to the Commission that such 

action is necessary or appropriate in the 

public interest, for the protection of 

investors, or otherwise in furtherance of 

the purposes of the Act. If the 

Commission takes such action, the 

Commission shall institute proceedings 

under Section 19(b)(2)(B) 38 of the Act to 

determine whether the proposed rule 

change should be approved or 

disapproved. 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed rule 

change is consistent with the Act. 

Comments may be submitted by any of 

the following methods: 

Electronic Comments 

• Use the Commission’s internet 

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

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number SR– 

NYSEAMER–2021–49 on the subject 

line. 

Paper Comments 

• Send paper comments in triplicate 

to: Secretary, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–1090. 

All submissions should refer to File 

Number SR–NYSEAMER–2021–49. 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. The Commission will 

post all comments on the Commission’s 

internet website (http://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the proposed rule 

change that are filed with the 

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 

10:00 a.m. and 3:00 p.m. Copies of the 

filing also will be available for 

inspection and copying at the principal 

office of the Exchange. All comments 

received will be posted without change. 

Persons submitting comments are 

cautioned that we do not redact or edit 

personal identifying information from 

comment submissions. You should 

submit only information that you wish 

to make available publicly. All 

submissions should refer to File 

Number SR–NYSEAMER–2021–49 and 

should be submitted on or before 

February 2, 2022. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.39

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–00379 Filed 1–11–22; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

[Docket No. 2120–0671] 

Agency Information Collection 

Activities: Request for Renewal of a 

Previously Approved Information 

Collection(s): Safety Management 

Systems for Part 121 Certificate 

Holders 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice and request for 

comments. 

SUMMARY: In accordance with the 

Paperwork Reduction Act of 1995, FAA 

invites public comments about our 

intention to request the Office of 

Management and Budget (OMB) 

approval to reinstate with change an 

information collection used to support 

the analysis of safety data as part of the 

Safety Management System requirement 

for part 121 certificate holders. The 

information collected will be used to 

identify hazards and show ongoing 

compliance with part 5, Safety 

Management Systems. 

DATES: Written comments should be 

submitted by February 11, 2022. 

ADDRESSES: Written comments and 

recommendations for the proposed 

information collection should be sent 

within 30 days of publication of this 

notice to www.reginfo.gov/public/do/ 

PRAMain. Find this particular 

information collection by selecting 

‘‘Currently under 30-day Review— 

Open for Public Comments’’ or by using 

the search function. 

FOR FURTHER INFORMATION CONTACT: 

Sean Denniston, Safety Management 

Program Office (AFS–910), by email at: 

sean.denniston@faa.gov or by phone: 

571–758–7362. 

SUPPLEMENTARY INFORMATION: Public 

Comments Invited: You are asked to 

comment on any aspect of this 

information collection, including (a) 

Whether the proposed collection of 

information is necessary for FAA’s 

performance; (b) the accuracy of the 

estimated burden; (c) ways for FAA to 

enhance the quality, utility and clarity 

of the information collection; and (d) 

ways that the burden could be 

minimized without reducing the quality 

of the collected information. 

OMB Control Number: 2120–0763. 

Title: Agency Information Collection 

Activities: Request for Renewal of a 

Previously Approved Information 

Collection(s); Safety Management 

Systems for Part 121 Certificate Holders. 

Form Numbers: None. 

Type of Review: Renewal of an 

Information Collection with changes. 

Background: The information 

collected involves the collection and 

analysis of safety data as part of a Safety 

Management System (SMS), as required 

for part 121 by 14 CFR part 5, Safety 

Management Systems. The information 

to be collected will continue to be used 

to show compliance with part 5. 

The existing information collection 

included the submission of SMS 

Implementation Plans to the FAA by 

March 9, 2018. That portion of the 

information collection has been 

completed and only new applicants for 

a part 121 certificate will be required to 

submit SMS Implementation Plans in 

the future. While the burden for existing 

part 121 certificate holders is 

significantly reduced, it is anticipated 

there will be some ongoing 

recordkeeping requirements for part 5 

compliance. 

A 60-Day Federal Register Notice and 

request for comments was published on 

June 20, 2018 (83 FR 28758) and a 30- 

Day Federal Register Notice and request 

for comments was published on 

September 17, 2018 (83 FR 46990). The 

FAA did not receive any comments on 

either notice. Since the 60-Day and 30- 

Day notices, there are changes to the 

original request and an additional 60- 

Day Federal Register Notice was 


lotter on DSK11XQN23PROD with NOTICES1