[Federal Register Volume 84, Number 110 (Friday, June 7, 2019)]
[Notices]
[Pages 26710-26711]
[FR Doc No: 2019-12038]

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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 19d-1; SEC File No. 270-242, OMB Control No. 3235-0206

    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 19d-
1 (17 CFR 240.19d-1) under the Securities Exchange Act of 1934 (17
U.S.C. 78a et seq.) (``Exchange Act'').
    Rule 19d-1 prescribes the form and content of notices to be filed
with the Commission by self-regulatory organizations (``SROs'') for
which the Commission is the appropriate regulatory agency concerning
the following final SRO actions: (1) Disciplinary actions with respect
to any person; (2) denial, bar, prohibition, or limitation of
membership, participation or association with a member or of access to
services offered by an SRO or member thereof; (3) summarily suspending
a member, participant, or person associated with a member, or summarily
limiting or prohibiting any persons with respect to access to or
services offered by the SRO or a member thereof; and (4) delisting a
security.
    The Rule enables the Commission to obtain reports from the SROs
containing information regarding SRO determinations to delist a
security, discipline members or associated persons of members, deny
membership or participation or association with a member, and similar
adjudicated findings. The Rule requires that such actions be promptly
reported to the Commission. The Rule also requires that the reports and
notices supply sufficient information regarding the background, factual
basis and issues involved in the proceeding to enable the Commission:
(1) To determine whether the matter should be called up for review on
the Commission's own motion; and (2) to ascertain generally whether the
SRO has adequately carried out its responsibilities under the Exchange
Act.
    It is estimated that approximately eighteen respondents will
utilize this application procedure annually, and will file
approximately 1,350 submissions, based upon recent data. The Commission
estimates that the average number of hours necessary to comply with the
requirements of Rule 19d-1 for each submission is 1 hour. The total
annual burden for all respondents is thus 1,350 hours. The

Commission estimates that the internal compliance cost per respondent
is approximately $298 per response. The annual internal cost of
compliance for all respondents is thus approximately $402,300 (18
respondents x 75 responses x $298 per response).
    The filing of notices pursuant to Rule 19d-1 is mandatory for the
SROs, but does not require 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 website, 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:
<EMAIL_ADDRESS>and (ii) Charles Riddle, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o
Candace Kenner, 100 F Street NE, Washington, DC 20549, or by sending an
email to<EMAIL_ADDRESS>Comments must be submitted to OMB within
30 days of this notice.

    Dated: June 4, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-12038 Filed 6-6-19; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: April 27, 2007 (Volume 72, Number 81)]
[Notices]
[Page 21058-21059]
[DOCID:fr27ap07-91]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-55657; File No. SR-Amex-2007-37]

Self-Regulatory Organizations; American Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Relating to Member Application Processing Fee Changes

April 23, 2007.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on April 16, 2007, American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared substantially by the
Exchange. The Exchange filed the proposed rule change pursuant to
Section 19(b)(3)(A) of the Act \3\ and Rule 19b-4(f)(2) thereunder,\4\
which renders the proposal effective upon filing with the Commission.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to modify its Member Fee Schedule to provide
for an application processing fee for inter-firm changes or dual
registration of firm additions. The text of the proposed rule change is
available at http://www.amex.com, Amex's principal office, and 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, Amex 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 these 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 aspects of such
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange does not currently charge members for inter-firm
changes or dual registration firm additions. The Exchange believes,
however, that the processing of this new registration status requires
additional time, resources, and staffing for the Exchange's Membership
Department, which is equivalent to those used to process a new member
applicant. The Exchange is now proposing to charge a minimal processing
fee of $250 for a current member who elects to change firms, or dually
register an additional firm, in order to cover Exchange-incurred costs,
time, and materials required to process a member's new registration
status.\5\
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    \5\ The Exchange's application processing fee for new members is
currently $2,000.
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2. Statutory Basis
    The Exchange believes that its proposed rule change is consistent
with Section 6(b) of the Act,\6\ in general, and furthers the
objectives of Section 6(b)(4) of the Act,\7\ in particular, regarding
the equitable allocation of reasonable dues, fees, and other charges
among exchange members and other persons using exchange facilities.
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    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(4).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The proposed rule change will not impose any burden on competition
that is not necessary or appropriate in furtherance of the purposes of
the Act.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others

    The Exchange has neither solicited nor received comments on the
proposed rule change.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    The proposed rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act \8\ and subparagraph (f)(2) of Rule 19b-4
thereunder,\9\ because it establishes or changes a due, fee, or other
charge imposed by Amex. At any time within 60 days of the filing of the
proposed rule change, the Commission may summarily abrogate 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.
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    \8\ 15 U.S.C. 78s(b)(3)(a)(ii).
    \9\ 17 CFR 240.19b-4(f)(2).
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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 e-mail to<EMAIL_ADDRESS>Please include

File Number SR-Amex-2007-37 on the subject line.

Paper Comments

     Send paper comments in triplicate to Nancy M. Morris,
Secretary, Securities and Exchange Commission, Station Place, 100 F
Street, NE., Washington, DC 20549-1090.

All submissions should refer to File Number SR-Amex-2007-37. This file
number should be included on the subject line if e-mail 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 inspection and
copying in the Commission's Public Reference Room. Copies of such
filing also will be available for inspection and copying at the
principal offices of Amex. 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-Amex-2007-37 and should be submitted on or before May
18, 2007.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\10\
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    \10\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-8084 Filed 4-26-07; 8:45 am]

BILLING CODE 8010-01-P