44682 Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 

27The Commission notes that certain proposals 

for the listing and trading of exchange-traded 

products include a representation that the exchange 

will ‘‘surveil’’ for compliance with the continued 

listing requirements. See, e.g., Securities Exchange 

Act Release No. 77499 (April 1, 2016), 81 FR 20428, 

20432 (April 7, 2016) (SR–BATS–2016–04). In the 

context of this representation, it is the 

Commission’s view that ‘‘monitor’’ and ‘‘surveil’’ 

both mean ongoing oversight of compliance with 

the continued listing requirements. Therefore, the 

Commission does not view ‘‘monitor’’ as a more or 

less stringent obligation than ‘‘surveil’’ with respect 

to the continued listing requirements. 

28 15 U.S.C. 78f(b)(5). 

29 15 U.S.C. 78k–1(a)(1)(C)(iii). 

30See Amendment No. 4, supra note 9. 

31 15 U.S.C. 78s(b)(2). 

32 Id. 

33 17 CFR 200.30–3(a)(12). 

requirements for listing the Shares of 

the Fund on the Exchange. In addition, 

the issuer has represented to the 

Exchange that it will advise the 

Exchange of any failure by the Fund to 

comply with the continued listing 

requirements, and, pursuant to its 

obligations under Section 19(g)(1) of the 

Act, the Exchange will monitor 27 for 

compliance with the continued listing 

requirements. If the Fund is not in 

compliance with the applicable listing 

requirements, the Exchange will 

commence delisting procedures under 

NYSE Arca Rule 5.5–E(m). This 

approval order is based on all of the 

Exchange’s statements and 

representations, including those set 

forth above and in Amendment No. 4. 

For the foregoing reasons, the 

Commission finds that the proposed 

rule change, as modified by Amendment 

No. 4, is consistent with Section 6(b)(5) 

of the Act 28 and Section 

11A(a)(1)(C)(iii) of the Act 29 and the 

rules and regulations thereunder 

applicable to a national securities 

exchange. 

IV. Solicitation of Comments on 

Amendment No. 4 to the Proposed Rule 

Change 

Interested persons are invited to 

submit written data, views, and 

arguments concerning whether 

Amendment No. 4 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– 

NYSEArca-2016–177 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–NYSEArca–2016–177. 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 Web site (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 Web site 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; 

the Commission does not edit personal 

identifying information from 

submissions. You should submit only 

information that you wish to make 

available publicly. All submissions 

should refer to File Number SR– 

NYSEArca–2016–177, and should be 

submitted on or before October 16, 

2017. 

V. Accelerated Approval of Proposed 

Rule Change, as Modified by 

Amendment No. 4 

The Commission finds good cause to 

approve the proposed rule change, as 

modified by Amendment No. 4, prior to 

the thirtieth day after the date of 

publication of notice of the filing of 

Amendment No. 4 in the Federal 

Register. The Commission believes that 

Amendment No. 4 supplements the 

proposed rule change by providing 

clarification, specificity, and additional 

information about the Fund and the 

Shares.30 The changes and additional 

information helped the Commission to 

evaluate the Shares’ susceptibility to 

manipulation and the Exchange’s ability 

to investigate possible manipulative 

activity, and whether the listing and 

trading of the Shares would be 

consistent with the protection of 

investors and the public interest. 

Accordingly, the Commission finds 

good cause, pursuant to Section 19(b)(2) 

of the Act,31 to approve the proposed 

rule change, as modified by Amendment 

No. 4, on an accelerated basis. 

VI. Conclusion 

It is therefore ordered, pursuant to 

Section 19(b)(2) of the Act,32 that the 

proposed rule change (SR–NYSEArca– 

2016–177), as modified by Amendment 

No. 4 be, and it hereby is, approved on 

an accelerated basis. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.33

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–20365 Filed 9–22–17; 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 0–2, Form ADV–NR, [SEC File No. 

270–214, OMB Control No. 3235–0240] 

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 a 

request for extension of the previously 

approved collection of information 

discussed below. 

The title for the collection of 

information is ‘‘Rule 0–2 and Form 

ADV–NR under the Investment Advisers 

Act of 1940.’’ Rule 0–2 and Form ADV– 

NR facilitate service of process to nonresident investment advisers and 

exempt reporting advisers and their 

non-resident general partners or nonresident managing agents. The Form 

requires these persons to designate the 

Commission as agent for service of 

process. The purpose of this collection 

of information is to obtain appropriate 

consent to permit the Commission and 

other parties to bring actions against 

non-resident partners and agents for 

violations of the federal securities laws 

and to enable the commencement of 

legal and/or regulatory actions against 

investment advisers that are doing 

business in the United States, but are 

not residents. 

The respondents to this information 

collection would be each non-resident 


asabaliauskas on DSKBBXCHB2PROD with NOTICES
Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 44683 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

general partner or non-resident 

managing agent of an SEC-registered 

adviser and of an exempt reporting 

adviser. The Commission has estimated 

that compliance with the requirement to 

complete Form ADV–NR imposes a total 

burden of approximately 1.0 hour for an 

adviser. Based on our experience with 

these filings, we estimate that we will 

receive 36 Form ADV–NR filings 

annually. Based on the 1.0 hour per 

respondent estimate, the Commission 

staff estimates a total annual burden of 

36 hours for this collection of 

information. 

Rule 0–2 and Form ADV–NR do not 

require recordkeeping or records 

retention. The collection of information 

requirements under the rule and form is 

mandatory. The information collected 

pursuant to the rule and Form ADV–NR 

is a filing with the Commission. This 

filing is not kept confidential and must 

be preserved until at least three years 

after termination of the enterprise. An 

agency may not conduct or sponsor, and 

a person is not required to respond to, 

a collection of information unless it 

displays a currently valid control 

number. 

The public may view the 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 send an email to: PRA_Mailbox@

sec.gov. Comments must be submitted to 

OMB within 30 days of this notice. 

Dated: September 19, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–20358 Filed 9–22–17; 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 173, SEC File No. 270–557, 

OMB Control No. 3235–0618 

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 this 

request for extension of the previously 

approved collection of information 

discussed below. 

Securities Act Rule 173 (17 CFR 

230.173) provides a notice of 

registration to investors who purchased 

securities in a registered offering under 

the Securities Act of 1933 (15 U.S.C. 77a 

et seq.). A Rule 173 notice must be 

provided by each underwriter or dealer 

to each investor who purchased 

securities from the underwriter or 

dealer. The Rule 173 notice is not 

publicly available. We estimate that it 

takes approximately 0.0167 hour per 

response to provide the information 

required under Rule 173 and that the 

information is filed by approximately 

5,338 respondents approximately 43,546 

times a year for a total of 232,448,548 

responses. We estimate that the total 

annual reporting burden for Rule 173 is 

3,881,891 hours (0.0167 hours per 

response × 232,448,548 responses). 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless it displays a currently valid 

control number. 

The public may view the 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 send an email to: PRA_Mailbox@

sec.gov. Comments must be submitted to 

OMB within 30 days of this notice. 

Dated: September 19, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–20360 Filed 9–22–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–81651; File No. SR– 

NYSEAMER–2017–14] 

Self-Regulatory Organizations; NYSE 

American LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Amending Its Rules To 

Make Technical and Conforming 

Updates, in Connection With the 

Merger of NYSE Arca Equities, Inc. 

With and Into the Exchange’s Affiliate 

NYSE Arca, Inc. and the Name Change 

of NYSE National, Inc. 

September 19, 2017. 

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

Securities Exchange Act of 1934 (the 

‘‘Act’’ or ‘‘Exchange Act’’) 2 and Rule 

19b–4 thereunder,3 notice is hereby 

given that, on September 6, 2017, NYSE 

American LLC (the ‘‘Exchange’’ or 

‘‘NYSE American’’) 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 amend its 

rules to make technical and conforming 

updates, in connection with (a) the 

merger of NYSE Arca Equities, Inc. with 

and into the Exchange’s affiliate NYSE 

Arca, Inc., and (b) the name change of 

NYSE National, Inc. 

The proposed 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. 


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