48460 Federal Register / Vol. 86, No. 165 / Monday, August 30, 2021 / Notices 

9See note 7 above. 

10See note 3 above. 

11See notes 4 and 5 above. 

12See note 5 above. 

13 15 U.S.C. 78f(b). 

14 15 U.S.C. 78f(b)(5). 

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

16 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6)(iii) requires a self-regulatory organization to 

give the Commission written notice of its intent to 

file the proposed rule change, along with a brief 

description and text of the proposed rule change, 

at least five business days prior to the date of filing 

of the proposed rule change, or such shorter time 

as designated by the Commission. The Exchange 

has satisfied this requirement. 17 17 CFR 200.30–3(a)(12). 

the adoption of similar membership, 

registration and qualification rules by 

BX’s affiliated exchanges. In that rule 

change, BX amended its Rule 1050 (now 

General 9, Section 51) to remove 

references to NASD Rules 2711, 1050, 

1022 and 1120 and it replaced those 

references with FINRA Rules 1120, 

1250, and 2241.9 The reference to 

FINRA Rule 1120 was in error because, 

at that time, FINRA Rule 1120 did not 

exist. NASD Rule 1120 was adopted as 

FINRA Rule 1250.10 Also, the references 

to FINRA Rule 1250 were in error 

because FINRA Rule 1250 was 

renumbered as FINRA Rule 1240.11 Of 

note, NASD Rules 1050 (Registration of 

Research Analysts) and 1022 (Categories 

of Principal Registrations) were 

superseded by the FINRA Rule 1200 

Series but this was not reflected within 

SR–FINRA–2018–078 [sic].12

At this time, Nasdaq [sic] proposes to 

remove the incorrect references to 

FINRA Rules 1120 and 1250 as such 

rules do not exist. The Exchange 

proposes to update the reference to 

FINRA Rule 1250 with a reference to 

current FINRA Rule 1240. The Exchange 

also proposes to add references to 

FINRA Rules 1220(a)(6), (a)(14), and 

(b)(6), because they correspond to 

previous NASD Rules 1050 and 1022. 

These changes would reflect the current 

FINRA rules relating to research 

analysts. 

2. Statutory Basis 

The Exchange believes that its 

proposal is consistent with Section 6(b) 

of the Act,13 in general, and furthers the 

objectives of Section 6(b)(5) of the Act,14

in particular, in that it is designed to 

promote just and equitable principles of 

trade and to protect investors and the 

public interest. The Exchange’s proposal 

to remove inaccurate FINRA rule 

references from General 9, Section 51 

and replace them with references to 

current FINRA rules that apply to 

research analysts and [sic] is consistent 

with the Act. The Exchange’s proposal 

will align Nasdaq’s [sic] rule to FINRA 

rules. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will impose 

any burden on competition not 

necessary or appropriate in furtherance 

of the purposes of the Act. The 

proposed amendments do not impose an 

undue burden on competition as the 

proposal will amend the Exchange’s 

General 9, Section 51 to remove 

inaccurate FINRA rule references and 

replace them with references to current 

FINRA Rules that apply to research 

analysts. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

No written comments were either 

solicited or received. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

Because the foregoing 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 for 30 days from the date on 

which it was filed, or such shorter time 

as the Commission may designate, it has 

become effective pursuant to Section 

19(b)(3)(A) of the Act 15 and Rule 19b– 

4(f)(6) thereunder.16

At any time within 60 days of the 

filing of the 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 

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– 

BX–2021–035 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–BX–2021–035. 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–BX–2021–035 and should 

be submitted on or before September 20, 

2021. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.17

Jill M. Peterson, 

Assistant Secretary. 

[FR Doc. 2021–18552 Filed 8–27–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Sunshine Act Meetings 

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

September 2, 2021. 

PLACE: The meeting will be held via 

remote means and/or at the 

Commission’s headquarters, 100 F 

Street NE, Washington, DC 20549. 


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Federal Register / Vol. 86, No. 165 / Monday, August 30, 2021 / Notices 48461 

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: August 26, 2021. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2021–18756 Filed 8–26–21; 4:15 pm] 

BILLING CODE 8011–01–P 

SMALL BUSINESS ADMINISTRATION 

Privacy Act of 1974 Matching Program 

AGENCY: Office of Disaster Assistance, 

U.S. Small Business Administration. 

ACTION: Notice of a new matching 

program. 

SUMMARY: Department of Homeland 

Security/Federal Emergency 

Management Agency (DHS/FEMA) and 

Small Business Administration (SBA) 

may not provide duplicative disaster 

assistance to individuals, businesses, 

including Private-Not-for Profits (PNPs), 

or other entities for the same disaster or 

emergency losses. To accomplish this, 

DHS/FEMA and SBA will participate in 

a Computer Matching program to share 

data and financial/benefits award 

decisions of individuals, businesses, 

and/or other entities to verify eligibility 

for benefits, prevent duplicative aid 

from being provided in response to the 

same disaster or emergency and recover 

aid when duplication of benefits is 

identified. 

DATES: [Submit comments on or before 

September 29, 2021. This new matching 

agreement will be effective upon 

publication and expires 18 months from 

the date of publication. 

ADDRESSES: Inquiries and comments on 

this proposed matching program can be 

addressed to 

Alejandro Contreras, Director, 

Preparedness, Communication and 

Coordination, 

Alejandro.Conteras@sba.gov and 

Matthew Redding, Deputy Director, 

Individual Assistance Division, 

Recovery Directorate, 

Matthew.Redding@fema.dhs.gov. 

FOR FURTHER INFORMATION CONTACT: For 

general information, please contact: 

Tammi Hines (202–212–5100), Senior 

Director for Information Management, 

Federal Emergency Management 

Agency, Department of Homeland 

Security; and David Trzcinski, (202– 

205–6372), Acting Chief Information 

Security Officer, Office of the Chief 

Information Officer, Small Business 

Administration. 

SUPPLEMENTARY INFORMATION: The 

Agreement between SBA and DHS/ 

FEMA is expected to aid in the 

reduction of Duplications of Benefits 

(DOB) payments to survivors of major 

disaster declarations. This will be 

accomplished by matching specific 

FEMA disaster applicant data with SBA 

disaster loan application and decision 

data for a declared disaster, as set forth 

in the Agreement. Since FY 2015 the 

use of the Agreement has identified 

521,873 instances where the same 

disaster survivor submitted applications 

to, both agencies, a yearly average of 

86,978. Prior to the use of this computer 

match, SBA loan officers used standalone Personal Computers to access 

FEMA’s computer system, National 

Emergency Management Information 

System-Individual Assistance (NEMIS– 

IA) and matched records manually. SBA 

and DHS/FEMA are dual source and 

recipient agencies in this matching 

program. 

Participating Agencies U.S. 

Department of Homeland Security/ 

Federal Emergency Management Agency 

and U.S. Small Business 

Administration. 

Authority for Conducting the Matching 

Program 

Robert T. Stafford Disaster Relief and 

Emergency Assistance Act (Pub. L. 93– 

288), as amended at 42 U.S.C. 5121 et 

seq. The Debt Collection Improvement 

Act of 1996, 31 U.S.C. 3325(d) and 

7701(c)(1). 

Purpose(s) 

DHS/FEMA and SBA may not provide 

duplicative disaster assistance to 

individuals, businesses, including 

Private-Not-for Profits (PNPs), or other 

entities for the same disaster or 

emergency losses. To accomplish this, 

DHS/FEMA and SBA will participate in 

a Computer Matching program to share 

data and financial/benefits award 

decisions of individuals, businesses, 

and/or other entities to verify eligibility 

for benefits, prevent duplicative aid 

from being provided in response to the 

same disaster or emergency and recover 

aid when duplication of benefits is 

identified. 

Categories of Individuals 

Disaster survivor applicants: 

individuals, homeowners, renters, 

businesses, including sole proprietors, 

Venue operators, and other entities to 

include Private-Not-for-Profits. All 

individuals who apply for or express 

interest in applying for FEMA disaster 

assistance following a Presidentially 

declared major disaster or emergency 

with specific criteria. 

Categories of Records 

Information relating to preapplication registrants, disaster home 

and business loan applicants, loan 

advance and grant applicants and 

recipients of loan advances and grants, 

disaster home and business loans. 

Included are Loan, loan advance, and 

grant applications, supporting 

documents, personal history, financial 

statements, credit information, 

investigative reports, appraisers’ reports, 

waivers, loan record transfers, 

correspondence, recommendations, 

authorizations, disbursement amount, 

term and rate, payment history, 

collateral, UCC filings and re-filings, 

collection and liquidation activities, 

financial statements, settlements and 

compromises, bank information, field 

visit reports, borrower’s insurance 

information and loan accounting 

information. 

Specific data elements to match are: 

Name, tax identification number/social 

security number, product (home/ 

business), damaged dwelling address, 


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