Federal Register / Vol. 87, No. 34 / Friday, February 18, 2022 / Notices 9403 

26 17 CFR 200.30–3(a)(12). 

1The hourly rate used for a compliance clerk was 

from SIFMA’s Office Salaries in the Securities 

Industry 2013, modified by Commission staff to 

account for an 1,800 hour work-year and multiplied 

by 2.93 to account for bonuses, firm size, employee 

benefits and overhead. 

2The hourly rate used for a compliance manager 

was from SIFMA’s Management & Professional 

Earnings in the Securities Industry 2013, modified 

by Commission staff to account for an 1,800 hour 

work-year and multiplied by 5.35 to account for 

bonuses, firm size, employee benefits and overhead. 

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– 

CboeEDGX–2022–005 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–CboeEDGX–2022–005. 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–CboeEDGX–2022–005 and 

should be submitted on or before March 

11, 2022. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.26

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–03495 Filed 2–17–22; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–0329, OMB Control No. 

3235–0371] 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE, Washington, DC 

20549–2736 

Extension: 

Rule 15a–6 

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 15a–6, (17 CFR 

240.15a–6), 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. 

Rule 15a–6 provides conditional 

exemptions from the requirement to 

register as a broker-dealer pursuant to 

Section 15 of the Securities Exchange 

Act for foreign broker-dealers that 

engage in certain specified activities 

involving U.S. persons. In particular, 

Rule 15a–6(a)(3) provides an exemption 

from broker-dealer registration for 

foreign broker-dealers that solicit and 

effect transactions with or for U.S. 

institutional investors or major U.S. 

institutional investors through a 

registered broker-dealer, provided that 

the U.S. broker-dealer, among other 

things, obtains certain information 

about, and consents to service of process 

from, the personnel of the foreign 

broker-dealer involved in such 

transactions, and maintains certain 

records in connection therewith. 

These requirements are intended to 

ensure (a) that the registered brokerdealer will receive notice of the identity 

of, and has reviewed the background of, 

foreign personnel who will contact U.S. 

investors, (b) that the foreign brokerdealer and its personnel effectively may 

be served with process in the event 

enforcement action is necessary, and (c) 

that the Commission has ready access to 

information concerning these persons 

and their U.S. securities activities. 

Commission staff estimates that 

approximately 2,000 U.S. registered 

broker-dealers will spend an average of 

two hours of clerical staff time and one 

hour of managerial staff time per year 

obtaining the information required by 

the rule, resulting in a total aggregate 

burden of 6,000 hours per year for 

complying with the rule. Assuming an 

hourly cost of $72 1 for a compliance 

clerk and $319 2 for a compliance 

manager, the resultant total internal 

labor cost of compliance for the 

respondents is $926,000 per year (2,000 

entities × ((2 hours/entity × $72/hour) + 

(1 hour per entity × $319/hour)) = 

$926,000). 

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: February 14, 2020. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–03493 Filed 2–17–22; 8:45 am] 

BILLING CODE 8011–01–P 


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