41530 Federal Register / Vol. 86, No. 145 / Monday, August 2, 2021 / Notices 

3Rule 12d2–2 prescribes the circumstances under 

which a security may be delisted from an exchange 

and withdrawn from registration under Section 

12(b) of the Act, and provides the procedures for 

taking such action. 

4The Exchanges are BOX Exchange LLC, Cboe 

BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe 

C2 Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe 

EDGX Exchange, Inc., Cboe Exchange, Inc., 

Investors Exchange LLC, Long Term Stock 

Exchange, Inc., MEMX, LLC, Miami International 

Securities Exchange, MIAX Emerald, LLC, MIAX 

PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, 

Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX 

LLC, The Nasdaq Stock Market, New York Stock 

Exchange LLC, NYSE Arca, Inc., NYSE Chicago, 

Inc., NYSE American LLC, NYSE National, Inc. 

5 In fact, some exchanges do not file any trading 

suspension reports in a given year. 

6The 878 figure was calculated by averaging the 

numbers for compliance in 2019 and 2020, which 

are 822 and 933, respectively. 

provisions of Section 12(d) of the Act 

and Rule 12d2–2 thereunder.3 During 

the continuance of such suspension 

under Rule 12d2–1, the exchange is 

required to notify the Commission 

promptly of any change in the reasons 

for the suspension. Upon the restoration 

to trading of any security suspended 

under Rule 12d2–1, the exchange must 

notify the Commission promptly of the 

effective date of such restoration. 

The trading suspension notices serve 

a number of purposes. First, they inform 

the Commission that an exchange has 

suspended from trading a listed security 

or reintroduced trading in a previously 

suspended security. They also provide 

the Commission with information 

necessary for it to determine that the 

suspension has been accomplished in 

accordance with the rules of the 

exchange, and to verify that the 

exchange has not evaded the 

requirements of Section 12(d) of the Act 

and Rule 12d2–2 thereunder by 

improperly employing a trading 

suspension. Without Rule 12d2–1, the 

Commission would be unable to fully 

implement these statutory 

responsibilities. 

There are 24 national securities 

exchanges 4 that are subject to Rule 

12d2–1. The burden of complying with 

Rule 12d2–1 is not evenly distributed 

among the exchanges, however, since 

there are many more securities listed on 

the New York Stock Exchange, Inc., the 

NASDAQ Stock Market, and NYSE 

American LLC than on the other 

exchanges.5 There are approximately 

878 responses 6 under Rule 12d2–1 for 

the purpose of suspension of trading 

from the national securities exchanges 

each year, and the resultant aggregate 

annual reporting hour burden would be, 

assuming on average one-half reporting 

hour per response, 439 annual burden 

hours for all exchanges. The related 

internal compliance costs associated 

with these burden hours are $98,354 per 

year. 

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 will have practical utility; 

(b) the accuracy of the agency’s estimate 

of the burden of the 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. 

Dated: July 28, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–16410 Filed 7–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–348, OMB Control No. 

3235–0394] 

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 15g–5 

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 15g–5—Disclosure 

of Compensation to Associated Persons 

in Connection with Penny Stock 

Transactions—(17 CFR 240.15g–5) 

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 15g–5 requires brokers and 

dealers to disclose to customers the 

amount of compensation to be received 

by their sales agents in connection with 

penny stock transactions. The purpose 

of the rule is to increase the level of 

disclosure to investors concerning 

penny stocks generally and specific 

penny stock transactions. 

The Commission estimates that 

approximately 178 broker-dealers will 

spend an average of approximately 87 

hours annually to comply with the rule. 

Thus, the total time burden is 

approximately 15,486 hours per year. 

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. 

Dated: July 28, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–16403 Filed 7–30–21; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice: 11475] 

60-Day Notice of Proposed Information 

Collection: Six Directorate of Defense 

Trade Controls (DDTC) Information 

Collections 

ACTION: Notice of request for public 

comments. 


khammond on DSKJM1Z7X2PROD with NOTICES
Federal Register / Vol. 86, No. 145 / Monday, August 2, 2021 / Notices 41531 

SUMMARY: The Department of State is 

seeking Office of Management and 

Budget (OMB) approval for the 

information collections described 

below. In accordance with the 

Paperwork Reduction Act of 1995, we 

are requesting comments on these 

collections from all interested 

individuals and organizations. The 

purpose of this notice is to allow 60 

days for public comment preceding 

submission of the collections to OMB. 

DATES: The Department will accept 

comments from the public up to October 

1, 2021. 

ADDRESSES: You may submit comments 

by any of the following methods: 

• Web: Persons with access to the 

internet may comment on this notice by 

going to www.Regulations.gov. You can 

search for the document by entering 

‘‘Docket Number: DOS–2021–0018’’ in 

the Search field. Then click the 

‘‘Comment Now’’ button and complete 

the comment form. 

• Email: DDTCPublicComments@

state.gov. 

• Regular Mail: Send written 

comments to: Andrea Battista, SA–1, 

12th Floor, Directorate of Defense Trade 

Controls, Bureau of Political Military 

Affairs, U.S. Department of State, 

Washington, DC 20522–0112. 

You must include the DS form 

number (if applicable), information 

collection title, and the OMB control 

number in any correspondence. 

FOR FURTHER INFORMATION CONTACT: 

Direct requests for additional 

information regarding the collection 

listed in this notice, including requests 

for copies of the proposed collection 

instrument and supporting documents, 

to Andrea Battista, SA–1, 12th Floor, 

Directorate of Defense Trade Controls, 

Bureau of Political Military Affairs, U.S. 

Department of State, Washington, DC 

20522–0112, via phone at (202) 663– 

3136, or via email at battistaal@

state.gov. 

SUPPLEMENTARY INFORMATION: 

• Title of Information Collection: 

Application/License for Permanent 

Export of Unclassified Defense Articles 

and Related Unclassified Technical 

Data. 

• OMB Control Number: 1405–0003. 

• Type of Request: Extension of a 

Currently Approved Collection. 

• Originating Office: Bureau of 

Political-Military Affairs, Directorate of 

Defense Trade Controls, PM/DDTC. 

• Form Number: DSP–5. 

• Respondents: Business, Nonprofit 

Organizations, and Individuals. 

• Estimated Number of Respondents: 

1,668. 

• Estimated Number of Responses: 

19,210. 

• Average Time per Response: 1 hour. 

• Total Estimated Burden Time: 

19,210 hours. 

• Frequency: On Occasion. 

• Obligation to Respond: Required to 

Obtain or Retain a Benefit. 

• Title of Information Collection: 

Application/License for Temporary 

Import of Unclassified Defense Articles. 

• OMB Control Number: 1405–0013. 

• Type of Request: Extension of 

Currently Approved Collection. 

• Originating Office: Bureau of 

Political-Military Affairs, Directorate of 

Defense Trade Controls, PM/DDTC. 

• Form Number: DSP–61. 

• Respondents: Business, Nonprofit 

Organizations, and Individuals. 

• Estimated Number of Respondents: 

141. 

• Estimated Number of Responses: 

578. 

• Average Time per Response: 30 

minutes. 

• Total Estimated Burden Time: 289 

hours. 

• Frequency: On Occasion. 

• Obligation to Respond: Required in 

Order to Obtain or Retain Benefits. 

• Title of Information Collection: 

Application/License for Permanent/ 

Temporary Export or Temporary Import 

of Classified Defense Articles and 

Related Classified Technical Data. 

• OMB Control Number: 1405–0022. 

• Type of Request: Extension of 

Currently Approved Collection. 

• Originating Office: Bureau of 

Political-Military Affairs, Directorate of 

Defense Trade Controls, PM/DDTC. 

• Form Number: DSP–85. 

• Respondents: Business, Nonprofit 

Organizations, and Individuals. 

• Estimated Number of Respondents: 

64. 

• Estimated Number of Responses: 

277. 

• Average Time per Response: 30 

minutes. 

• Total Estimated Burden Time: 138.5 

hours. 

• Frequency: On Occasion. 

• Obligation to Respond: Required in 

Order to Obtain or Retain Benefits. 

• Title of Information Collection: 

Application/License for Temporary 

Export of Unclassified Defense Articles. 

• OMB Control Number: 1405–0023. 

• Type of Request: Extension of 

Currently Approved Collection. 

• Originating Office: Bureau of 

Political-Military Affairs, Directorate of 

Defense Trade Controls, PM/DDTC. 

• Form Number: DSP–73. 

• Respondents: Business and 

Nonprofit Organizations. 

• Estimated Number of Respondents: 

339. 

• Estimated Number of Responses: 

2,196. 

• Average Time per Response: 1 hour. 

• Total Estimated Burden Time: 2,196 

hours. 

• Frequency: On Occasion. 

• Obligation to Respond: Required in 

Order to Obtain or Retain Benefits. 

• Title of Information Collection: 

Application for Amendment to License 

for Export or Import of Classified or 

Unclassified Defense Articles and 

Related Classified Technical Data. 

• OMB Control Number: 1405–0092. 

• Type of Request: Extension of 

Currently Approved Collection. 

• Originating Office: Bureau of 

Political-Military Affairs, Directorate of 

Defense Trade Controls, PM/DDTC. 

• Form Number: DSP–6; DSP–62; 

DSP–74. 

• Respondents: Business, Nonprofit 

Organizations, and Individuals. 

• Estimated Number of Respondents: 

440. 

• Estimated Number of Responses: 

1,742. 

• Average Time per Response: 30 

minutes. 

• Total Estimated Burden Time: 871 

hours. 

• Frequency: On Occasion. 

• Obligation to Respond: Required in 

Order to Obtain or Retain Benefits. 

• Title of Information Collection: 

Nontransfer and Use Certificate. 

• OMB Control Number: 1405–0021. 

• Type of Request: Extension of 

Currently Approved Collection. 

• Originating Office: Bureau of 

Political-Military Affairs, Directorate of 

Defense Trade Controls, PM/DDTC. 

• Form Number: DSP–83. 

• Respondents: Business, Nonprofit 

Organizations, and Individuals. 

• Estimated Number of Respondents: 

675. 

• Estimated Number of Responses: 

675. 

• Average Time per Response: 1 hour. 

• Total Estimated Burden Time: 675 

hours. 

• Frequency: On Occasion. 

• Obligation to Respond: Required in 

Order to Obtain or Retain Benefits. 

We are soliciting public comments to 

permit the Department to: 

• Evaluate whether the proposed 

information collection is necessary for 

the proper functions of the Department. 

• Evaluate the accuracy of our 

estimate of the time and cost burden for 

this proposed collection, including the 

validity of the methodology and 

assumptions used. 

• Enhance the quality, utility, and 

clarity of the information to be 

collected. 


khammond on DSKJM1Z7X2PROD with NOTICES
41532 Federal Register / Vol. 86, No. 145 / Monday, August 2, 2021 / Notices 

• Minimize the reporting burden on 

those who are to respond, including the 

use of automated collection techniques 

or other forms of information 

technology. 

Please note that comments submitted 

in response to this Notice are public 

record. Before including any detailed 

personal information, you should be 

aware that your comments as submitted, 

including your personal information, 

will be available for public review. 

Abstract of Proposed Collections 

The export, temporary import, and 

brokering of defense articles, including 

technical data, and defense services are 

authorized by the Department of State, 

Directorate of Defense Trade Controls 

(DDTC) in accordance with the 

International Traffic in Arms 

Regulations (‘‘ITAR,’’ 22 CFR parts 120– 

130) and section 38 of the Arms Export 

Control Act. Those who manufacture, 

broker, export, or temporarily import 

defense articles, including technical 

data, or defense services must register 

with the Department of State and obtain 

a decision from the Department as to 

whether it is in the interests of U.S. 

foreign policy and national security to 

approve covered transactions. Also, 

registered brokers must submit annual 

reports regarding all brokering activity 

that was transacted, and registered 

manufacturers and exporter must 

maintain records of defense trade 

activities for five years. 

• 1405–0003, Application/License for 

Permanent Export of Unclassified 

Defense Articles and Related 

Unclassified Technical Data: In 

accordance with part 123 of the ITAR, 

any person who intends to permanently 

export unclassified defense articles or 

unclassified technical data must obtain 

authorization from DDTC prior to 

export. ‘‘Application/License for 

Permanent Export of Unclassified 

Defense Articles and Related 

Unclassified Technical Data’’ (Form 

DSP–5) is the licensing vehicle typically 

used to obtain permission for the 

permanent export of unclassified 

defense articles, including unclassified 

technical data, enumerated on the 

USML. This form is an application that, 

when completed and approved by PM/ 

DDTC, Department of State, constitutes 

the official record and authorization for 

the permanent commercial export of 

unclassified U.S. Munitions List 

articles, pursuant to the Arms Export 

Control Act and the International Traffic 

in Arms Regulations. 

• 1405–0013, Application/License for 

Temporary Import of Unclassified 

Defense Articles: In accordance with 

part 123 of the ITAR, any person who 

intends to temporarily import 

unclassified defense articles must obtain 

DDTC authorization prior to import. 

‘‘Application/License for Temporary 

Import of Unclassified Defense Articles’’ 

(Form DSP–61) is the licensing vehicle 

typically used to obtain permission for 

the temporary import of unclassified 

defense articles covered by USML. This 

form is an application that, when 

completed and approved by PM/DDTC, 

Department of State, constitutes the 

official record and authorization for the 

temporary commercial import of 

unclassified U.S. Munitions List 

articles, pursuant to the Arms Export 

Control Act and the International Traffic 

in Arms Regulations. 

• 1405–0022, Application/License for 

Permanent/Temporary Export or 

Temporary Import of Classified Defense 

Articles and Related Classified 

Technical Data: In accordance with part 

123 of the ITAR, any person who 

intends to permanently export, 

temporarily export, or temporarily 

import classified defense articles, 

including classified technical data must 

first obtain DDTC authorization. 

‘‘Application/License for Permanent/ 

Temporary Export or Temporary Import 

of Classified Defense Articles and 

Related Classified Technical Data’’ 

(Form DSP–85) is used to obtain 

permission for the permanent export, 

temporary export, or temporary import 

of classified defense articles, including 

classified technical data, covered by the 

USML. This form is an application that, 

when completed and approved by PM/ 

DDTC, Department of State, constitutes 

the official record and authorization for 

all classified commercial defense trade 

transactions, pursuant to the Arms 

Export Control Act and the International 

Traffic in Arms Regulations. 

• 1405–0023, Application/License for 

Temporary Export of Unclassified 

Defense Articles: In accordance with 

part 123 of the ITAR, any person who 

intends to temporarily export 

unclassified defense articles must DDTC 

authorization prior to export. 

‘‘Application/License for Temporary 

Export of Unclassified Defense Articles’’ 

(Form DSP–73) is the licensing vehicle 

typically used to obtain permission for 

the temporary export of unclassified 

defense articles covered by the USML. 

This form is an application that, when 

completed and approved by PM/DDTC, 

Department of State, constitutes the 

official record and authorization for the 

temporary commercial export of 

unclassified U.S. Munitions List 

articles, pursuant to the Arms Export 

Control Act and the International Traffic 

in Arms Regulations. 

• 1405–0092, Application for 

Amendment to License for Export or 

Import of Classified or Unclassified 

Defense Articles and Related Classified 

Technical Data: In accordance with part 

123 of the ITAR, any person who 

intends to permanently export, 

temporarily import, or temporarily 

export unclassified or classified defense 

articles or related technical data must 

obtain DDTC authorization. 

‘‘Application for Amendment to License 

for Export or Import of Classified or 

Unclassified Defense Articles and 

Related Classified Technical Data’’ is 

used to obtain permission for certain 

changes to previously approved 

licenses. This form is an application 

that, when completed and approved by 

PM/DDTC, Department of State, 

constitutes the official record and 

authorization for all requests to amend 

existing defense trade authorizations 

made pursuant to the Arms Export 

Control Act and the International Traffic 

in Arms Regulations. 

• 1405–0021, Nontransfer and Use 

Certificate: Pursuant to § 123.10 of the 

ITAR, a completed ‘‘Nontransfer and 

Use Certificate’’ (Form DSP–83) must 

accompany an export license 

application to export significant military 

equipment and classified articles and 

technical data. Pursuant to § 124.10 of 

the ITAR, a completed ‘‘Nontransfer and 

Use Certificate’’ must be submitted with 

any request for a manufacturing license 

agreement or technical assistance 

agreement that relates to significant 

military equipment or classified defense 

articles and technical data. The foreign 

consignee (if applicable), foreign enduser, and applicant execute this form. 

By signing the certificate the foreign 

end-user certifies that they will not, 

except as specifically authorized by 

prior written approval of the 

Department of State, re-export, resell or 

otherwise dispose of the defense articles 

enumerated in the application (1) 

outside the foreign country named as 

the country of ultimate destination; or 

(2) to any other person. With respect to 

agreements that involve classified 

articles or classified technical data, an 

authorized representative of the foreign 

government must also sign the form. 

Methodology 

This information collection may be 

sent to the Directorate of Defense Trade 

Controls via the following methods: 

Electronically or mail. 

Neal F. Kringel, 

Director of Management, Bureau of PoliticalMilitary Affairs, U.S. Department of State. 

[FR Doc. 2021–16357 Filed 7–30–21; 8:45 am] 

BILLING CODE 4710–25–P 


khammond on DSKJM1Z7X2PROD with NOTICES