Federal Register 60-Day Notice

2025 01 30_90 FR 8552_3235-0596_60-Day Collection Notice.pdf

Rule 204A-1

Federal Register 60-Day Notice

OMB: 3235-0596

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8552

Federal Register / Vol. 90, No. 19 / Thursday, January 30, 2025 / Notices

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 will institute proceedings
to determine whether the proposed rule
change should be approved or
disapproved.

For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
Sherry R. Haywood,
Assistant Secretary.

III. Solicitation of Comments

SECURITIES AND EXCHANGE
COMMISSION

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.10
Comments may be submitted
electronically by using the
Commission’s internet comment form
(https://www.sec.gov/rules-regulations/
self-regulatory-organizationrulemaking/national-securitiesexchanges?file_number=SR-EMERALD2025-03) or by sending an email to rulecomments@sec.gov. Please include file
number SR–EMERALD–2025–03 on the
subject line. Alternatively, paper
comments may be sent to Secretary,
Securities and Exchange Commission,
100 F Street NE, Washington, DC
20549–1090. All submissions should
refer to file number SR–EMERALD–
2025–03. 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 (https://www.sec.gov/rulesregulations/self-regulatory-organizationrulemaking/national-securitiesexchanges?file_number=SR-EMERALD2025-03). Do not include personal
identifiable information in submissions;
you should submit only information
that you wish to make available
publicly. We may redact in part or
withhold entirely from publication
submitted material that is obscene or
subject to copyright protection.

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All submissions should refer to file
number SR–EMERALD–2025–03 and
should be submitted on or before
February 20, 2025.
10 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 a.m. and 3 p.m.
Copies of the filing also will be available for
inspection and copying at the principal office of the
Exchange.

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[FR Doc. 2025–01927 Filed 1–29–25; 8:45 am]
BILLING CODE 8011–01–P

[SEC File No. 270–214, OMB Control No.
3235–0240]

Proposed Collection; Comment
Request; Extension: Rule 0–2, Form
ADV–NR
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
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’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
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 on a
non-resident investment adviser, and an
investment adviser’s non-resident
general partner and non-resident
managing agent. Form ADV–NR
designates the Secretary of the
Commission, among others, as the nonresident general partner’s or nonresident managing agent’s agent for
service of process. The collection of
information is necessary for the
Commission 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 regulatory actions against
investment advisers that are doing
business in the United States, but are
not residents.
The respondents to this information
collection are each non-resident general
partner and non-resident managing
agent of both SEC-registered investment
advisers and exempt reporting advisers.
Based on our experience with Form
ADV–NR filings, we estimate we will
receive 41 Form ADV–NR filings
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CFR 200.30–3(a)(12) and (59).

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annually, each taking one hour to
complete, for an aggregate annual time
burden of 41 hours. We estimate no
external cost burden.
Rule 0–2 and Form ADV–NR do not
require recordkeeping or records
retention. The collection of information
requirements under the rule and form
are mandatory. The information
collected pursuant to Rule 0–2 and
Form ADV–NR is a filing with the
Commission and is not kept
confidential.
Written comments are invited on: (a)
whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimate of the burden of the collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collection of
information on respondents, including
through the use of automated collection
techniques or other forms of information
technology. Consideration will be given
to comments and suggestions submitted
by March 31, 2025.
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.
Please direct your written comments
to: Austin Gerig, Director/Chief Data
Officer, Securities and Exchange
Commission, c/o Tanya Ruttenberg, 100
F Street NE, Washington, DC 20549 or
send an email to: PRA_Mailbox@
sec.gov.
Dated: January 24, 2025.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2025–01936 Filed 1–29–25; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–536, OMB Control No.
3235–0596]

Proposed Collection; Comment
Request; Extension: Rule 204A–1
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
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 (the
‘‘Commission’’) is soliciting comments

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30JAN1

lotter on DSK11XQN23PROD with NOTICES1

Federal Register / Vol. 90, No. 19 / Thursday, January 30, 2025 / Notices
on the collections of information
summarized below. The Commission
plans to submit these existing
collections of information to the Office
of Management and Budget for
extension and approval.
The title for the collection of
information is ‘‘Rule 204A–1 (17 CFR
275.204A–1) under the Investment
Advisers Act of 1940’’ (15 U.S.C. 80b–
1 et seq.) Rule 204A–1 (the ‘‘Code of
Ethics Rule’’) requires investment
advisers registered with the Commission
to (i) set forth standards of conduct
expected of advisory personnel
(including compliance with the federal
securities laws); (ii) safeguard material
nonpublic information about client
transactions; and (iii) require the
adviser’s ‘‘access persons’’ to report
their personal securities transactions,
including transactions in any mutual
fund managed by the adviser. The Code
of Ethics Rule requires access persons to
obtain the adviser’s approval before
investing in an initial public offering or
private placement. The Code of Ethics
Rule also requires prompt reporting, to
the adviser’s chief compliance officer or
another person designated in the code of
ethics, of any violations of the code.
Finally, the Code of Ethics Rule requires
the adviser to provide each supervised
person with a copy of the code and any
amendments, and require the
supervised persons to acknowledge, in
writing, their receipt of these copies.
The purposes of the information
collection requirements are to: (i) ensure
that advisers maintain codes of ethics
applicable to their supervised persons;
(ii) provide advisers with information
about the personal securities
transactions of their access persons for
purposes of monitoring such
transactions; (iii) provide advisory
clients with information with which to
evaluate advisers’ codes of ethics; and
(iv) assist the Commission’s
examination staff in assessing the
adequacy of advisers’ codes of ethics
and assessing personal trading activity
by advisers’ supervised persons.
The respondents to this information
collection are investment advisers
registered with the Commission. The
Commission has estimated that
compliance with rule 204A–1 imposes a
burden of approximately 91 hours per
adviser annually for an estimated total
annual burden of 1,449,221 hours.
Written comments are invited on: (a)
whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimate of the burden of the collection

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16:43 Jan 29, 2025

Jkt 265001

of information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collection of
information on respondents, including
through the use of automated collection
techniques or other forms of information
technology. Consideration will be given
to comments and suggestions submitted
by March 31, 2025.
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.
Please direct your written comments
to: Austin Gerig, Director/Chief Data
Officer, Securities and Exchange
Commission, c/o Tanya Ruttenberg, 100
F Street NE, Washington, DC 20549 or
send an email to: PRA_Mailbox@
sec.gov.
Dated: January 24, 2025.
Sherry R. Haywood,
Assistant Secretary.
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–102282; File No. SR–
CboeBZX–2025–007]

Self-Regulatory Organizations; Cboe
BZX Exchange, Inc.; Notice of Filing
and Immediate Effectiveness of a
Proposed Rule Change To Amend Its
Fee Schedule by Removing NonDisplayed Add Volume Tier 5
January 24, 2025.

Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on January
17, 2025, Cboe BZX Exchange, Inc. (the
‘‘Exchange’’ or ‘‘BZX’’) filed with the
Securities and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Item I below,
which Item has been substantially
prepared by the Exchange. The
Exchange has designated this proposal
for immediate effectiveness pursuant to
Section 19(b)(3)(A) of the Act 3 and Rule
19b–4(f) thereunder.4 The Commission
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 17 CFR 240.19b–4(f). 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 will institute proceedings to determine
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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
Cboe BZX Exchange, Inc. (the
‘‘Exchange’’ or ‘‘BZX’’) proposes to
amend its Fee Schedule by removing
Non-Displayed Add Volume Tier 5.
The proposed rule change, including
the Exchange’s statement of the purpose
of, and statutory basis for, the proposed
rule change, is available on the
Exchange’s website at http://
markets.cboe.com/us/equities/
regulation/rule_filings/BZX/, and on the
Commission’s website at https://
www.sec.gov/rules-regulations/selfregulatory-organization-rulemaking/
national-securities-exchanges?file_
number=SR-CboeBZX-2025-007.
II. Solicitation of Comments

[FR Doc. 2025–01935 Filed 1–29–25; 8:45 am]

1 15

8553

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
electronically by using the
Commission’s internet comment form
(https://www.sec.gov/rules-regulations/
self-regulatory-organizationrulemaking/national-securitiesexchanges?file_number=SR-CboeBZX2025-007) or by sending an email to
rule-comments@sec.gov. Please include
file number SR–CboeBZX–2025–007 on
the subject line. Alternatively, paper
comments may be sent to Secretary,
Securities and Exchange Commission,
100 F Street NE, Washington, DC
20549–1090. All submissions should
refer to file number SR–CboeBZX–2025–
007. 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
(https://www.sec.gov/rules-regulations/
self-regulatory-organizationrulemaking/national-securitiesexchanges?file_number=SR-CboeBZX2025-007). Do not include personal
identifiable information in submissions;
you should submit only information
that you wish to make available
publicly. We may redact in part or
withhold entirely from publication
submitted material that is obscene or
subject to copyright protection. All
submissions should refer to file number
SR–CboeBZX–2025–007 and should be
whether the proposed rule change should be
approved or disapproved.

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