Federal Register / Vol. 87, No. 1 / Monday, January 3, 2022 / Notices 133 

The total estimated annual time 

burden associated with Rules 6a–1 and 

6a–2 is thus approximately 7,480 hours 

(880 + 6,600). 

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. 2021–28432 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–199, OMB Control No. 

3235–0199] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

17a–5(c) 

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 

Rule 17a–5(c), (17 CFR 240.17a–5(c)), 

under the Securities Exchange Act of 

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

Rule 17a–5(c) generally requires 

broker-dealers who carry customer 

accounts to provide statements of the 

broker-dealer’s financial condition to 

their customers. Paragraph (c)(5) of Rule 

17a–5 provides a conditional exemption 

from this requirement. A broker-dealer 

that elects to take advantage of the 

exemption must publish its statements 

on its website in a prescribed manner, 

and must maintain a toll-free number 

that customers can call to request a copy 

of the statements. 

The purpose of the Rule is to ensure 

that customers of broker-dealers are 

provided with information concerning 

the financial condition of the firm that 

may be holding the customers’ cash and 

securities. The Commission, when 

adopting the Rule in 1972, stated that 

the goal was to ‘‘directly’’ send a 

customer essential information so that 

the customer could ‘‘judge whether his 

broker or dealer is financially sound.’’ 

The Commission adopted the Rule in 

response to the failure of several brokerdealers holding customer funds and 

securities in the period between 1968 

and 1971. 

The Commission estimates that 

approximately 163 broker-dealer 

respondents carrying approximately 186 

million public customer accounts incur 

a burden of approximately 228,024 

hours per year to comply with the Rule. 

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 

within 30 days of publication of this 

notice to (i) >MBX.OMB.OIRA.SEC_

desk_officer@omb.eop.gov < 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. 2021–28429 Filed 12–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–377, OMB Control No. 

3235–0425] 

Submission for OMB Review; 

Comment Request; Extension: Form 

TH 

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 TH (17 CFR 239.65, 17 CFR 

249.447, 269.10 and 17 CFR 274.404) 

under the Securities Act of 1933 (15 

U.S.C. 77a et seq.), the Securities 

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

seq.), the Trust Indenture Act of 1939 

(15 U.S.C. 77aaa et seq.) and the 

Investment Company Act of 1940 (15 

U.S.C. 80a–1 et seq.) is used by 

registrants to notify the Commission 

that an electronic filer is relying on the 

temporary hardship exemption for the 

filing of a document in paper form that 

would otherwise be required to be filed 

electronically as required by Rule 201(a) 

of Regulation S–T. (17 CFR. 232.201(a)). 

Form TH is a public document and is 

filed on occasion. Form TH must be 

filed every time an electronic filer 

experiences unanticipated technical 

difficulties preventing the timely 

preparation and submission of a 

required electronic filing. 

Approximately 5 registrants file Form 

TH and it takes an estimated 0.33 hours 

per response for a total annual burden 

of 2 hours (0.33 hours per response × 5 

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/ 


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