35558 Federal Register / Vol. 86, No. 126 / Tuesday, July 6, 2021 / Notices 

Applicants’ Condition 

Applicants agree that any order 

granting the requested relief will be 

subject to the following condition: 

Each Fund relying on the requested 

order will comply with the provisions of 

rules 6c–10, 12b–1, 17d–3, 18f–3, 22d– 

1 and, where applicable, 11a–3 under 

the 1940 Act, as amended from time to 

time or replaced, as if those rules 

applied to closed-end management 

investment companies, and will comply 

with FINRA Rule 2341, as amended 

from time to time, as if that rule applies 

to all closed-end management 

investment companies. 

For the Commission, by the Division of 

Investment Management, under delegated 

authority. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–14261 Filed 7–2–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–450, OMB Control No. 

3235–0505] 

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 303 of Regulation ATS 

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 303 of Regulation 

ATS (17 CFR 242.303) under the 

Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.) (‘‘Exchange Act’’). 

The Commission plans to submit this 

existing collection of information to the 

Office of Management and Budget 

(‘‘OMB’’) for extension and approval. 

Regulation ATS sets forth a regulatory 

regime for ‘‘alternative trading systems’’ 

(‘‘ATSs’’), which are entities that carry 

out exchange functions but are not 

required to register as national securities 

exchanges under the Act. In lieu of 

exchange registration, an ATS can 

instead opt to register with the 

Commission as a broker-dealer and, as 

a condition to not having to register as 

an exchange, must instead comply with 

Regulation ATS. Rule 303 of Regulation 

ATS (17 CFR 242.303) describes the 

record preservation requirements for 

ATSs. Rule 303 also describes how such 

records must be maintained, what 

entities may perform this function, and 

how long records must be preserved. 

Under Rule 303, ATSs are required to 

preserve all records made pursuant to 

Rule 302, which includes information 

relating to subscribers, trading 

summaries, and time-sequenced order 

information. Rule 303 also requires 

ATSs to preserve any notices provided 

to subscribers, including, but not 

limited to, notices regarding the ATSs 

operations and subscriber access. For an 

ATS subject to the fair access 

requirements described in Rule 

301(b)(5)(ii) of Regulation ATS, Rule 

303 further requires the ATS to preserve 

at least one copy of its standards for 

access to trading, all documents relevant 

to the ATS’s decision to grant, deny, or 

limit access to any person, and all other 

documents made or received by the ATS 

in the course of complying with Rule 

301(b)(5) of Regulation ATS. For an ATS 

subject to the capacity, integrity, and 

security requirements for automated 

systems under Rule 301(b)(6) of 

Regulation ATS, Rule 303 requires an 

ATS to preserve all documents made or 

received by the ATS related to its 

compliance, including all 

correspondence, memoranda, papers, 

books, notices, accounts, reports, test 

scripts, test results, and other similar 

records. Rule 303(a)(1)(v) of Regulation 

ATS requires every ATS to preserve the 

written safeguards and written 

procedures mandated under Rule 

301(b)(10). As provided in Rule 

303(a)(1), ATSs are required to keep all 

of these records, as applicable, for a 

period of at least three years, the first 

two in an easily accessible place. In 

addition, Rule 303 requires ATSs to 

preserve records of partnership articles, 

articles of incorporation or charter, 

minute books, stock certificate books, 

copies of reports filed pursuant to Rule 

301(b)(2) and Rule 304, and records 

made pursuant to Rule 301(b)(5) for the 

life of the ATS. ATSs that trade both 

NMS Stock and securities other than 

NMS Stock are required to file, and also 

preserve under Rule 303, both Form 

ATS and related amendments and Form 

ATS–N and related amendments. 

The information contained in the 

records required to be preserved by Rule 

303 will be used by examiners and other 

representatives of the Commission, state 

securities regulatory authorities, and the 

self-regulatory organizations to ensure 

that ATSs are in compliance with 

Regulation ATS as well as other 

applicable rules and regulations. 

Without the data required by the Rule, 

regulators would be limited in their 

ability to comply with their statutory 

obligations, provide for the protection of 

investors, and promote the maintenance 

of fair and orderly markets. Respondents 

consist of ATSs that choose to register 

as broker-dealers and comply with the 

requirements of Regulation ATS. 

There are currently 94 respondents. 

The Commission believes that the 

average ongoing hourly burden for a 

respondent to comply with the baseline 

record preservation requirements under 

Rule 303 is approximately 15 hours per 

year. We thus estimate that the average 

aggregate ongoing burden to comply 

with the baseline Rule 303 record 

preservation requirements is 

approximately 1,410 hours per year (94 

ATSs × 15 hours = 1,410 hours). In 

addition, there are currently two ATSs 

that transact in both NMS stock and 

non-NMS stock on their ATSs. These 

two ATSs have a slightly greater burden 

because they have to keep both Form 

ATS and Form ATS–N and related 

documents (e.g., amendments). For 

these two ATS’s, we estimate that the 

ongoing burden above the current 

baseline estimate for preserving records 

will be approximately 1 hour annually 

per ATS for a total annual burden above 

the current baseline burden estimate of 

2 hours for all respondents. Thus, the 

estimated average annual aggregate 

burden for alternative trading systems to 

comply with Rule 303 is approximately 

1,412 hours (1,410 hours + 2 hours). 

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 Cynthia 

Roscoe, 100 F Street NE, Washington, 

DC 20549, or send an email to: PRA_

Mailbox@sec.gov. 


jbell on DSKJLSW7X2PROD with NOTICES
Federal Register / Vol. 86, No. 126 / Tuesday, July 6, 2021 / Notices 35559 

Dated: June 29, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–14263 Filed 7–2–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Sunshine Act Meetings 

TIME AND DATE: 2 p.m. on Thursday, July 

8, 2021. 

PLACE: The meeting will be held via 

remote means and/or at the 

Commission’s headquarters, 100 F 

Street NE, Washington, DC 20549. 

STATUS: This meeting will be closed to 

the public. 

MATTERS TO BE CONSIDERED: 

Commissioners, Counsel to the 

Commissioners, the Secretary to the 

Commission, and recording secretaries 

will attend the closed meeting. Certain 

staff members who have an interest in 

the matters also may be present. 

In the event that the time, date, or 

location of this meeting changes, an 

announcement of the change, along with 

the new time, date, and/or place of the 

meeting will be posted on the 

Commission’s website at https://

www.sec.gov. 

The General Counsel of the 

Commission, or his designee, has 

certified that, in his opinion, one or 

more of the exemptions set forth in 5 

U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) 

and (10) and 17 CFR 200.402(a)(3), 

(a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and 

(a)(10), permit consideration of the 

scheduled matters at the closed meeting. 

The subject matter of the closed 

meeting will consist of the following 

topics: 

Institution and settlement of 

injunctive actions; 

Institution and settlement of 

administrative proceedings; 

Resolution of litigation claims; and 

Other matters relating to examinations 

and enforcement proceedings. 

At times, changes in Commission 

priorities require alterations in the 

scheduling of meeting agenda items that 

may consist of adjudicatory, 

examination, litigation, or regulatory 

matters. 

CONTACT PERSON FOR MORE INFORMATION: 

For further information; please contact 

Vanessa A. Countryman from the Office 

of the Secretary at (202) 551–5400. 

Dated: July 1, 2021. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2021–14427 Filed 7–1–21; 11:15 am] 

BILLING CODE 8011–01–P 

SMALL BUSINESS ADMINISTRATION 

[Disaster Declaration #17005 and #17006; 

FLORIDA Disaster Number FL–00167] 

Administrative Declaration of a 

Disaster for the State of Florida 

AGENCY: U.S. Small Business 

Administration. 

ACTION: Notice. 

SUMMARY: This is a notice of an 

Administrative declaration of a disaster 

for the State of FLORIDA dated 06/29/ 

2021. 

Incident: Surfside Building Collapse. 

Incident Period: 06/24/2021. 

DATES: Issued on 06/29/2021. 

Physical Loan Application Deadline 

Date: 08/30/2021. 

Economic Injury (EIDL) Loan 

Application Deadline Date: 03/29/2022. 

ADDRESSES: Submit completed loan 

applications to: U.S. Small Business 

Administration, Processing and 

Disbursement Center, 14925 Kingsport 

Road, Fort Worth, TX 76155. 

FOR FURTHER INFORMATION CONTACT: A. 

Escobar, Office of Disaster Assistance, 

U.S. Small Business Administration, 

409 3rd Street SW, Suite 6050, 

Washington, DC 20416, (202) 205–6734. 

SUPPLEMENTARY INFORMATION: Notice is 

hereby given that as a result of the 

Administrator’s disaster declaration, 

applications for disaster loans may be 

filed at the address listed above or other 

locally announced locations. 

The following areas have been 

determined to be adversely affected by 

the disaster: 

Primary Counties: Miami-Dade. 

Contiguous Counties: 

Florida: Broward, Collier, Monroe. 

The Interest Rates are: 

Percent 

For Physical Damage: 

Homeowners with Credit Available Elsewhere ...................... 3.250 

Homeowners without Credit 

Available Elsewhere .............. 1.625 

Businesses with Credit Available Elsewhere ...................... 5.760 

Businesses without Credit 

Available Elsewhere .............. 2.880 

Non-Profit Organizations with 

Credit Available Elsewhere ... 2.000 

Non-Profit Organizations without Credit Available Elsewhere ..................................... 2.000 

For Economic Injury: 

Businesses & Small Agricultural 

Cooperatives without Credit 

Available Elsewhere .............. 2.880 

Non-Profit Organizations without Credit Available Elsewhere ..................................... 2.000 

The number assigned to this disaster 

for physical damage is 17005 U and for 

economic injury is 17006 0. 

The State which received an EIDL 

Declaration # is Florida. 

(Catalog of Federal Domestic Assistance 

Number 59008) 

Isabella Guzman, 

Administrator. 

[FR Doc. 2021–14305 Filed 7–2–21; 8:45 am] 

BILLING CODE 8026–03–P 

SMALL BUSINESS ADMINISTRATION 

Reporting and Recordkeeping 

Requirements Under OMB Review 

AGENCY: Small Business Administration. 

ACTION: 30-Day notice. 

SUMMARY: The Small Business 

Administration (SBA) is seeking 

approval from the Office of Management 

and Budget (OMB) for the information 

collection described below. In 

accordance with the Paperwork 

Reduction Act and OMB procedures, 

SBA is publishing this notice to allow 

all interested member of the public an 

additional 30 days to provide comments 

on the proposed collection of 

information. 

DATES: Submit comments on or before 

August 5, 2021. 

ADDRESSES: Written comments and 

recommendations for this information 

collection request should be sent within 

30 days of publication of this notice to 

www.reginfo.gov/public/do/PRAMain. 

Find this particular information 

collection request by selecting ‘‘Small 

Business Administration’’; ‘‘Currently 

Under Review,’’ then select the ‘‘Only 

Show ICR for Public Comment’’ 

checkbox. This information collection 

can be identified by title and/or OMB 

Control Number. 

FOR FURTHER INFORMATION CONTACT: You 

may obtain a copy of the information 

collection and supporting documents 

from the Agency Clearance Office at 

Curtis.Rich@sba.gov; (202) 205–7030, or 

from www.reginfo.gov/public/do/ 

PRAMain. 

SUPPLEMENTARY INFORMATION: As 

authorized by the Coronavirus 

Preparedness and Response 

Supplemental Appropriations Act, 

2020, the Coronavirus Aid, Relief, and 

Economic Security Act (CARES Act), 

the Paycheck Protection Program and 

Health Care Enhancement Act, and the 

new Economic Aid to Hard-Hit Small 

Businesses, Nonprofits, and Venues Act, 

the Small Business Administration 

(SBA) has been providing COVID–19 


jbell on DSKJLSW7X2PROD with NOTICES