43416 Federal Register / Vol. 82, No. 178 / Friday, September 15, 2017 / Notices 

pensions and Medicare entitlement for 

either an age and service or disability 

annuity. An RRB representative 

interviews the applicant either at a field 

office, an itinerant point, or by 

telephone. During the interview, the 

RRB representative enters the 

information obtained into an on-line 

information system. Upon completion of 

the interview, the on-line information 

system generates Form AA–1cert, 

Application Summary and Certification, 

or Form AA–1sum, Application 

Summary, a summary of the information 

that was provided for the applicant to 

review and approve. Form AA–1cert 

documents approval using the 

traditional pen and ink ‘‘wet’’ signature, 

and Form AA–1sum documents 

approval using the alternative signature 

method called Attestation. When the 

RRB representative is unable to contact 

the applicant in person or by telephone, 

for example, the applicant lives in 

another country, a manual version of 

Form AA–1 is used. 

Form AA–1d, Application for 

Determination of Employee’s Disability, 

is completed by an employee who is 

filing for a disability annuity under the 

RRA, or a disability freeze under the 

Social Security Act, for early Medicare 

based on a disability. Form G–204, 

Verification of Worker’s Compensation/ 

Public Disability Benefit Information, is 

used to obtain and verify information 

concerning a worker’s compensation or 

a public disability benefit that is or will 

be paid by a public agency to a disabled 

railroad employee. 

The RRB proposes to add the 

following two new items—‘‘Are you 

expecting a newborn?’’ and its possible 

‘‘Yes’’ response—‘‘Expected Date’’ to 

Form AA–1. A comparable revision will 

be made to the electronic equivalent 

forms (AA–1, AA–1cert and AA–1sum). 

This information will help determine if 

the applicant can potentially receive an 

additional benefit amount. The RRB also 

proposes the implementation of an 

Internet equivalent version of Form AA– 

1 that can be completed by the applicant 

and submitted through the RRB’s Web 

site at www.rrb.gov. The RRB proposes 

no changes to Forms AA–1d or G–204. 

One response is requested of each 

respondent. Completion of the forms is 

required to obtain/retain a benefit. 

ESTIMATE OF ANNUAL RESPONDENT BURDEN

Form No. Annual 

responses 

Time 

(minutes) 

Burden 

(hours) 

AA–1 (without assistance) ........................................................................................................... 35 62 36 

AA–1cert (with assistance) .......................................................................................................... 7,050 30 3,525 

AA–1sum (with assistance) ......................................................................................................... 2,415 29 1,167 

AA–1 (Internet) (without assistance) ........................................................................................... 3,220 45 2,415 

AA–1d (with assistance) .............................................................................................................. 2,600 60 2,600 

AA–1d (without assistance) ......................................................................................................... 5 85 7 

G–204 .......................................................................................................................................... 20 15 5 

Total ...................................................................................................................................... 15,345 ........................ 9,755 

Additional Information or Comments: 

To request more information or to 

obtain a copy of the information 

collection justification, forms, and/or 

supporting material, contact Dana 

Hickman at (312) 751–4981 or 

Dana.Hickman@RRB.GOV. Comments 

regarding the information collection 

should be addressed to Brian Foster, 

Railroad Retirement Board, 844 North 

Rush Street, Chicago, Illinois 60611– 

1275 or emailed to Brian.Foster@rrb.gov. 

Written comments should be received 

within 60 days of this notice. 

Brian D. Foster, 

Clearance Officer. 

[FR Doc. 2017–19629 Filed 9–14–17; 8:45 am] 

BILLING CODE 7905–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–325, OMB Control No. 

3235–0385] 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE., Washington, DC 

20549–2736 

Extension: 

Rule 15g–9 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(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 extension of the 

previously approved collection of 

information discussed below. 

Section 15(c)(2) of the Securities 

Exchange Act of 1934 (15 U.S.C. 78a et 

seq.) (the ‘‘Exchange Act’’) authorizes 

the Commission to promulgate rules 

that prescribe means reasonably 

designed to prevent fraudulent, 

deceptive, or manipulative practices in 

connection with over-the-counter 

(‘‘OTC’’) securities transactions. 

Pursuant to this authority, the 

Commission in 1989 adopted Rule 15a– 

6, which was subsequently redesignated 

as Rule 15g–9, 17 CFR 240.15g–9 (the 

‘‘Rule’’). The Rule requires brokerdealers to produce a written suitability 

determination for, and to obtain a 

written customer agreement to, certain 

recommended transactions in penny 

stocks that are not registered on a 

national securities exchange, and whose 

issuers do not meet certain minimum 

financial standards. The Rule is 

intended to prevent the indiscriminate 

use by broker-dealers of fraudulent, high 

pressure telephone sales campaigns to 

sell penny stocks to unsophisticated 

customers. 

The Commission staff estimates that 

there are approximately 198 brokerdealers subject to the Rule. The burden 

of the Rule on a respondent varies 

widely depending on the frequency 

with which new customers are solicited. 

On the average for all respondents, the 

staff has estimated that respondents 

process three new customers per week, 

or approximately 156 new customer 

suitability determinations per year. We 

also estimate that a broker-dealer would 

expend approximately one-half hour per 

new customer in obtaining, reviewing, 

and processing (including transmitting 

to the customer) the information 

required by Rule 15g–9, and each 

respondent would consequently spend 

78 hours annually (156 customers × .5 

hours) obtaining the information 

required in the rule. We determined, 

based on the estimate of 198 brokerdealer respondents, that the current 

annual burden of Rule 15g–9 is 15,444 

hours (198 respondents × 78 hours). 

mstockstill on DSK30JT082PROD with NOTICES

Federal Register / Vol. 82, No. 178 / Friday, September 15, 2017 / Notices 43417 

1 15 U.S.C. 78s(b)(1). 

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4On August 29, 2017, WCGT submitted to the 

Commission its draft registration statement, with 

respect to the Trust, on Form S–1 (‘‘Registration 

Statement’’) under the Securities Act of 1933 (‘‘1933 

Act’’). The Jumpstart Our Business Startups Act, 

enacted on April 5, 2012, added Section 6(e) to the 

1933 Act. Section 6(e) of the 1933 Act provides that 

an ‘‘emerging growth company’’ may confidentially 

submit to the Commission a draft registration 

statement for confidential, non-public review by the 

Commission staff prior to public filing, provided 

that the initial confidential submission and all 

amendments thereto shall be publicly filed not later 

than 21 days before the date on which the issuer 

conducts a road show, as such term is defined in 

1933 Act Rule 433(h)(4). An emerging growth 

company is defined in Section 2(a)(19) of the 1933 

Act as an issuer with less than $1,000,000,000 total 

annual gross revenues during its most recently 

completed fiscal year. The Trust meets the 

definition of an emerging growth company and 

consequently has submitted its Registration 

Statement on a confidential basis with the 

Commission. 

5Commodity-Based Trust Shares are securities 

issued by a trust that represents investors’ discrete 

identifiable and undivided beneficial ownership 

interest in the commodities deposited into the 

Trust. 6 15 U.S.C. 80a–1. 

7 17 U.S.C. 1. 

8WCGT is a Delaware statutory trust consisting of 

multiple series, each of which issues common units 

of beneficial interest, which represent units of 

fractional undivided beneficial interest in and 

ownership of such series. The term of WCGT and 

each series will be perpetual (unless terminated 

earlier in certain circumstances). The sole trustee of 

WCGT is Delaware Trust Company (‘‘Trustee’’). 

9Securities Exchange Act Release No. 81077 (July 

5, 2017) (SR–NYSEArca–2017–55) (order approving 

listing and trading shares of the GraniteShares Gold 

Trust under NYSE Arca Equities Rule 8.201). 

10Securities Exchange Act Release No. 71378 

(January 23, 2014), 79 FR 4786 (January 29, 2014) 

(SR–NYSEArca–2013–137). 

11Securities Exchange Act Release No. 59895 

(May 8, 2009), 74 FR 22993 (May 15, 2009) (SR– 

NYSEArca–2009–40). 

12Securities Exchange Act Release No. 61219 

(December 22, 2009), 74 FR 68886 (December 29, 

2009) (SR–NYSEArca–2009–95). 

13Securities Exchange Act Release No. 61220 

(December 22, 2009), 74 FR 68895 (December 29, 

2009) (SR–NYSEArca–2009–94). 

14Securities Exchange Act Release No 66930 

(May 7, 2012), 77 FR 27817 (May 11, 2012) (SR– 

NYSEArca–2012–18). 

15Securities Exchange Act Release No. 61496 

(February 4, 2010), 75 FR 6758 (February 10, 2010) 

(SR–NYSEArca–2009–113). 

16See Securities Exchange Act Release No. 58956 

(November 14, 2008), 73 FR 71074 (November 24, 

Continued 

The broker-dealer must keep the 

written suitability determination and 

customer agreement required by the 

Rule for at least three years. Completing 

the suitability determination and 

obtaining the customer agreement in 

writing is mandatory for broker-dealers 

who effect transactions in penny stocks 

and do not qualify for an exemption, but 

does not involve the collection of 

confidential 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 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: September 12, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–19677 Filed 9–14–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–81568; File No. SR– 

NYSEArca–2017–98] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Filing of Proposed 

Rule Change To List and Trade Shares 

of The Gold Trust Under NYSE Arca 

Rule 8.201–E 

September 11, 2017. 

Pursuant to Section 19(b)(1) 1 of the 

Securities Exchange Act of 1934 (the 

‘‘Act’’) 2 and Rule 19b–4 thereunder,3

notice is hereby given that, on August 

30, 2017, NYSE Arca, Inc. (the 

‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with 

the Securities and Exchange 

Commission (the ‘‘Commission’’) the 

proposed rule change as described in 

Items I and II below, which Items have 

been prepared by the self-regulatory 

organization. The Commission is 

publishing this notice to solicit 

comments on the proposed rule change 

from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

The Exchange proposes to list and 

trade shares of The Gold Trust under 

NYSE Arca Rule 8.201–E. The proposed 

rule change is available on the 

Exchange’s Web site at www.nyse.com, 

at the principal office of the Exchange, 

and at the Commission’s Public 

Reference Room. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, the 

self-regulatory organization included 

statements concerning the purpose of, 

and basis for, the proposed rule change 

and discussed any comments it received 

on the proposed rule change. The text 

of those statements may be examined at 

the places specified in Item IV below. 

The Exchange has prepared summaries, 

set forth in sections A, B, and C below, 

of the most significant parts of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The Exchange proposes to list and 

trade shares (‘‘Shares’’) of The Gold 

Trust (‘‘Trust’’), a series of the World 

Currency Gold Trust (‘‘WCGT’’), under 

NYSE Arca Rule 8.201–E.4 Under NYSE 

Arca Rule 8.201–E, the Exchange may 

propose to list and/or trade pursuant to 

unlisted trading privileges (‘‘UTP’’) 

‘‘Commodity-Based Trust Shares.’’ 5

The Trust will not be registered as an 

investment company under the 

Investment Company Act of 1940, as 

amended,6 and is not required to 

register under such act. The Trust is not 

a commodity pool for purposes of the 

Commodity Exchange Act, as amended.7

The Sponsor of the Trust is WGC USA 

Asset Management Company, LLC.8

BNY Mellon Asset Servicing, a division 

of The Bank of New York Mellon 

(‘‘BNYM’’), will be the Trust’s 

administrator (‘‘Administrator’’) and 

transfer agent. BNYM will serve as the 

custodian of the Trust’s cash, if any. A 

bank will serve as the custodian 

(‘‘Custodian’’) of the Trust’s gold. 

The Commission has previously 

approved listing on the Exchange under 

NYSE Arca Equities Rules 5.2(j)(5) (now 

NYSE Arca Rule 5.2–E(j)(5)) and 8.201 

(now NYSE Arca Rule 8.201–E) of other 

precious metals and gold-based 

commodity trusts, including the 

GraniteShares Gold Trust; 9 Merk Gold 

Trust; 10 ETFS Gold Trust,11 ETFS 

Platinum Trust 12 and ETFS Palladium 

Trust (collectively, the ‘‘ETFS 

Trusts’’); 13 APMEX Physical-1 oz. Gold 

Redeemable Trust; 14 Sprott Gold 

Trust; 15 SPDR Gold Trust (formerly, 

streetTRACKS Gold Trust); iShares 

Silver Trust; 16 iShares COMEX Gold 

mstockstill on DSK30JT082PROD with NOTICES