Federal Register / Vol. 82, No. 158 / Thursday, August 17, 2017 / Notices 39143 

Commission staff to account for inflation and an 

1800-hour work-year and then multiplied by 5.35 

to account for bonuses, firm size, employee 

benefits, and overhead. 

6The $207 per hour figure for a Paralegal is from 

SIFMA’s Management & Professional Earnings in 

the Securities Industry 2013, modified by 

Commission staff to account for inflation and an 

1800-hour work-year and then multiplied by 5.35 

to account for bonuses, firm size, employee 

benefits, and overhead. 

7See supra note 4. 

1Form X–17A–5 is the Financial and Operational 

Combined Uniform Single Report (‘‘FOCUS 

Report’’), which is used by broker-dealers to 

provide certain required information to the 

Commission. 

multiplied by an average hourly rate of 

$207 6). The total resulting internal cost of 

compliance for a respondent is $14,283 per 

year (3 responses × $4,761 per response). 

In addition to filing its proposed rule 

changes, and any amendments thereto, with 

the Commission, a respondent is also 

required to post each of its proposals and any 

amendments thereto, on its Web site. This 

process takes approximately 0.5 hours to 

complete per proposal and 0.5 hours per 

amendment. Thus, for the approximately 3 

responses and 0 amendments,7 the total 

annual reporting burden on a respondent to 

post these on its Web site is 1.5 hours ((3 

proposals per year × 0.5 hours per filing) + 

(0 amendments × 0.5 hours)). Further, a 

respondent is required to update its rulebook, 

which it maintains on its Web site, to reflect 

the changes that it makes in each proposal 

and any amendment thereto. Thus, for all 

filings that were not withdrawn by a 

respondent (0 withdrawn filings in calendar 

years 2014–2016) or disapproved by the 

Commission (0 disapproved filings in 

calendar years 2014–2016), a respondent was 

required to update its online rulebook to 

reflect the effectiveness of 3 filings on 

average, each of which takes approximately 

4 hours to complete per proposal. Thus, the 

total annual reporting burden for updating an 

online rulebook is 12 hours ((3 filings per 

year—0 withdrawn filings—0 disapproved 

filings) × 4 hours). 

Compliance with Rule 19b–7 is mandatory. 

Information received in response to Rule 

19b–7 is not kept confidential; the 

information collected is public information. 

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 Web site: 

www.reginfo.gov. Comments should be 

directed to: (i) Desk Officer for the Securities 

and Exchange Commission, Office of 

Information and Regulatory Affairs, Office of 

Management and Budget, Room 10102, New 

Executive Office Building, Washington, DC 

20503, or by sending an email to: Shagufta_

Ahmed@omb.eop.gov; and (ii) Pamela Dyson, 

Director/Chief Information Officer, Securities 

and Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE., Washington, DC 

20549, or by sending an email to: PRA_

Mailbox@sec.gov. Comments must be 

submitted to OMB within 30 days of this 

notice. 

Dated: August 14, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–17405 Filed 8–16–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

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 17a–10, SEC File No. 270–154, OMB 

Control No. 3235–0122 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.) (‘‘PRA’’), 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–10 (17 CFR 240.17a–10) under 

the Securities Exchange Act of 1934 (15 

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

The primary purpose of Rule 17a–10 

is to obtain the economic and statistical 

data necessary for an ongoing analysis 

of the securities industry. Paragraph 

(a)(1) of Rule 17a–10 generally requires 

broker-dealers that are exempted from 

the requirement to file monthly and 

quarterly reports pursuant to paragraph 

(a) of Exchange Act Rule 17a–5 (17 CFR 

240.17a–5) to file with the Commission 

the Facing Page, a Statement of Income 

(Loss), and balance sheet from Part IIA 

of Form X–17A–5 1 (17 CFR 249.617), 

and Schedule I of Form X–17A–5 not 

later than 17 business days after the end 

of each calendar year. 

Paragraph (a)(2) of Rule 17a–10 

requires a broker-dealer subject to Rule 

17a–5(a) to submit Schedule I of Form 

X–17A–5 with its Form X–17A–5 for the 

calendar quarter ending December 31 of 

each year. The burden associated with 

filing Schedule I of Form X–17A–5 is 

accounted for in the PRA filing 

associated with Rule 17a–5. 

Paragraph (b) of Rule 17a–10 provides 

that the provisions of paragraph (a) do 

not apply to members of national 

securities exchanges or registered 

national securities associations that 

maintain records containing the 

information required by Form X–17A–5 

and which transmit to the Commission 

copies of the records pursuant to a plan 

which has been declared effective by the 

Commission. 

The Commission estimates that 

approximately 38 broker-dealers will 

spend an average of 12 hours per year 

complying with Rule 17a–10. Thus, the 

total compliance burden is estimated to 

be approximately 456 burden-hours per 

year. 

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 at 

the following Web site: 

www.reginfo.gov. Comments should be 

directed to: (i) Desk Officer for the 

Securities and Exchange Commission, 

Office of Information and Regulatory 

Affairs, Office of Management and 

Budget, Room 10102, New Executive 

Office Building, Washington, DC 20503, 

or by sending an email to: Shagufta_

Ahmed@omb.eop.gov; and (ii) Pamela 

Dyson, Director/Chief Information 

Officer, Securities and Exchange 

Commission, c/o Remi Pavlik-Simon, 

100 F Street NE. Washington, DC 20549, 

or by sending an email to: PRA_

Mailbox@sec.gov. Comments must be 

submitted to OMB within 30 days of 

this notice. 

Dated: August 14, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–17407 Filed 8–16–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

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 17f–2(e); SEC File No. 270– 

037; OMB Control No. 3235–0031. 

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 17f–2(e) (17 CFR 240.17f–2(e)) 


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