80 FR 11695 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.; Correction

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 42 (March 4, 2015)

Page Range		11695-11695
FR Document		2015-04423

The Securities and Exchange Commission published a document in the Federal Register on February 18, 2015, concerning a Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.. The document contained a typographical error.

Federal Register, Volume 80 Issue 42 (Wednesday, March 4, 2015)

[Federal Register Volume 80, Number 42 (Wednesday, March 4, 2015)]
[Notices]
[Page 11695]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-04423]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74247A; File No. SR-BATS-2015-09]


Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of 
Filing of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 
of BATS Exchange, Inc.; Correction

February 26, 2015.
AGENCY: Securities and Exchange Commission

ACTION:  Notice; correction.

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SUMMARY: The Securities and Exchange Commission published a document in 
the Federal Register on February 18, 2015, concerning a Notice of 
Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 
of BATS Exchange, Inc.. The document contained a typographical error.

FOR FURTHER INFORMATION CONTACT: Christopher P. Grobbel, Division of 
Trading and Markets, Securities and Exchange Commission, 100 F Street 
NE., Washington, DC 20549, (202) 551-5491.

Correction

    In the Federal Register of February 18, 2015 in FR Doc. 2015-3222, 
on page 8720, in the first and second line in the subheading under the 
heading ``SECURITIES AND EXCHANGE COMMISSION'' in the third column, 
correct the reference to ``File No. SR-BATS-2014-09'' instead to ``File 
No. SR-BATS-2015-09.''

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-04423 Filed 3-3-15; 8:45 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 80, No. 42 / Wednesday, March 4, 2015 / Notices 11695

For the Nuclear Regulatory Commission. SECURITIES AND EXCHANGE September 30, 2014, the Commission
Annette L. Vietti-Cook, COMMISSION received a letter from FINRA responding
Secretary of the Commission. to the comment letters.5 On October 1,
[Release No. 34–74383; File No. SR–FINRA–
[FR Doc. 2015–04490 Filed 3–3–15; 8:45 am] 2014–028]
2014, the Commission issued an order
to institute proceedings pursuant to
BILLING CODE 7590–01–P
Self-Regulatory Organizations; section 19(b)(2)(B) of the Act 6 to
Financial Industry Regulatory determine whether to approve or
Authority, Inc.; Order Approving a disapprove the proposed rule change.
Proposed Rule Change Relating to The order was published for comment
SECURITIES AND EXCHANGE
Revisions to the Definitions of Non- in the Federal Register on October 7,
COMMISSION 2014.7 The Commission received
Public Arbitrator and Public Arbitrator
fourteen (14) comment letters in
[Release No. 34–74247A; File No. SR– February 26, 2015. response to the Proceedings Order.8 On
BATS–2015–09]
I. Introduction
Mass, dated July 21, 2014 (‘‘Mass Letter’’); Glenn S.
Self-Regulatory Organizations; BATS On June 17, 2014, the Financial Gitomer, McCausland Keen and Buckman, dated
Exchange, Inc.; Notice of Filing of a Industry Regulatory Authority, Inc. July 23, 2014 (‘‘Gitomer July Letter’’); David T.
Bellaire, Esq., Executive Vice President & General
Proposed Rule Change To Amend (‘‘FINRA’’) filed with the Securities and Counsel, Financial Services Institute, dated July 24,
Rules 11.9, 11.12, and 11.13 of BATS Exchange Commission (‘‘SEC’’ or 2014 (‘‘FSI Letter’’); Thomas J. Berthel, CEO, Berthel
Exchange, Inc.; Correction ‘‘Commission’’), pursuant to section Fisher & Company, dated July 24, 2014 (‘‘Berthel
19(b)(1) of the Securities Exchange Act Letter’’); Kevin M. Carroll, Managing Director and
February 26, 2015. Associate General Counsel, Securities Industry and
of 1934 (‘‘Act’’) 1 and Rule 19b–4 Financial Markets Association, dated July 24, 2014
AGENCY:Securities and Exchange thereunder,2 a proposed rule change to (‘‘SIFMA July Letter’’); CJ Croll, Student Intern,
Commission amend FINRA Rule 12100(p) of the Elissa Germaine, Supervising Attorney, and Jill I.
Code of Arbitration Procedure for Gross, Director, Investor Rights Clinic at Pace Law
ACTION: Notice; correction. School, dated July 24, 2014 (‘‘PIRC July Letter’’);
Customer Disputes (‘‘Customer Code’’) Jason Doss, President, Public Investors Arbitration
and FINRA Rule 13100(p) of the Code Bar Association, dated July 24, 2014 (‘‘PIABA
SUMMARY: The Securities and Exchange of Arbitration Procedure for Industry Letter’’); George H. Friedman, Esq., George H.
Commission published a document in Disputes (‘‘Industry Code’’) Friedman Consulting, LLC, dated July 24, 2014
(‘‘Friedman July Letter’’); Gary N. Hardiman, dated
the Federal Register on February 18, (collectively, ‘‘Codes’’), defining the July 24,2014 (‘‘Hardiman Letter’’); J. Burton
2015, concerning a Notice of Filing of a term ‘‘non-public arbitrator;’’ and LeBlanc, President, American Association for
Proposed Rule Change to Amend Rules FINRA Rule 12100(u) of the Customer Justice, dated July 24, 2014 (‘‘AAJ Letter’’); Richard
11.9, 11.12, and 11.13 of BATS Code and Rule 13100(u) of the Industry P. Ryder, Esq., President, Securities Arbitration
Commentator, Inc., dated July 24, 2014 (‘‘SAC July
Exchange, Inc.. The document Code, defining the term ‘‘public Letter’’); Andrea Seidt, President, North American
contained a typographical error. arbitrator.’’ Securities Administrators Association, and Ohio
The proposed rule change was Securities Commissioner, dated July 24, 2014
FOR FURTHER INFORMATION CONTACT: published for comment in the Federal (‘‘NASAA July Letter’’); Robert Getman, dated July
Christopher P. Grobbel, Division of Register on July 3, 2014.3 On August 4, 28, 2014 (‘‘Getman Letter’’); Barry D. Estell,
Attorney at Law (retired), dated August 13, 2014
Trading and Markets, Securities and 2014, FINRA extended the time period (‘‘Estell Letter’’); and Walter N. Vernon III, Esq.,
Exchange Commission, 100 F Street NE., in which the Commission must approve dated August 21, 2014 (‘‘Vernon Letter’’). Comment
Washington, DC 20549, (202) 551–5491. the proposed rule change, disapprove letters are available at www.sec.gov.
the proposed rule change, or institute The Commission discussed these comments in
Correction the Proceedings Order. See infra note 7.
proceedings to determine whether to 5 Letter from Margo A. Hassan, Assistant Chief

In the Federal Register of February approve or disapprove the proposed Counsel, FINRA Dispute Resolution, to Brent J.
18, 2015 in FR Doc. 2015–3222, on page rule change to October 1, 2014. The Fields, Secretary, SEC, dated September 30, 2014
8720, in the first and second line in the Commission received three hundred (‘‘FINRA September Letter’’). The FINRA September
sixteen (316) comment letters in Letter is available at www.sec.gov.
subheading under the heading 6 15 U.S.C. 78s(b)(2)(B).

‘‘SECURITIES AND EXCHANGE response to the Notice of Filing.4 On 7 Exchange Act Release No. 73277 (Oct. 1, 2014),

COMMISSION’’ in the third column, 79 FR 60556 (Oct. 7, 2014) (Order Instituting
1 15 U.S.C. 78s(b)(1). Proceedings To Determine Whether To Approve or
correct the reference to ‘‘File No. SR– 2 17 CFR 240.19b–4. Disapprove Proposed Rule Change Relating to
BATS–2014–09’’ instead to ‘‘File No. 3 Exchange Act Release No. 72491 (Jun. 27, 2014), Revisions to the Definitions of Non-Public
SR–BATS–2015–09.’’ 79 FR 38080 (Jul. 3, 2014) (Notice of Filing of Arbitrator and Public Arbitrator) (‘‘Proceedings
Proposed Rule Change Relating to Revisions to the Order’’). The comment period closed on November
Jill M. Peterson, Definitions of Non-Public Arbitrator and Public 6, 2014.
Arbitrator) (‘‘Notice of Filing’’). The comment 8 The comment letters were submitted by: John A.
Assistant Secretary. period closed on July 24, 2014. Bender, Esq., Member, Ryan Swanson Cleveland,
[FR Doc. 2015–04423 Filed 3–3–15; 8:45 am] 4 Of the 316 letters, 21 were unique letters, and dated October 10, 2014 (‘‘Bender Letter’’); George H.
BILLING CODE 8011–01–P 295 of the letters followed a form designated as the Friedman, Esquire, George H. Friedman Consulting,
‘‘Type A’’ letter, submitted by self-identified LLC, dated October 20, 2014 (‘‘Friedman October
independent financial advisors (‘‘independent Letter’’); Richard P. Ryder, Esq., President,
financial advisors’’) (‘‘Type A Letter’’). The unique Securities Arbitration Commentator, Inc., dated
letters were submitted by: Philip M. Aidikoff, October 26, 2014 (‘‘SAC October Letter’’); Steven B.
Aidikoff, Uhl & Bakhtiari, dated July 1, 2014 Caruso, Esq., Maddox Hargett & Caruso, P.C., dated
mstockstill on DSK4VPTVN1PROD with NOTICES

(‘‘Aidikoff Letter’’); Steven B. Caruso, Esq., Maddox October 29, 2014 (‘‘Caruso October Letter’’); Ryan
Hargett & Caruso, P.C., dated July 1, 2014 (‘‘Caruso K. Bakhtiari, Aidikoff, Uhl & Bakhtiari, dated
July Letter’’); Ryan K. Bakhtiari, Aidikoff, Uhl & October 30, 2014 (‘‘Bakhtiari October Letter’’);
Bakhtiari, dated July 2, 2014 (‘‘Bakhtiari July Glenn S. Gitomer, McCausland Keen and Buckman,
Letter’’); Richard A. Stephens, Attorney at Law, dated November 5, 2014 (‘‘Gitomer November
dated July 6, 2014 (‘‘Stephens Letter’’); Daniel E. Letter’’); William Beatty, President, North American
Bacine, Barrack, Rodos & Bacine, dated July 18, Securities Administrators Association and
2014 (‘‘Bacine Letter’’); Blossom Nicinski, dated Washington Securities Administrator, dated
July 20, 2014 (‘‘Nicinski Letter’’); Christopher L. Continued

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Document Created: 2018-02-21 09:31:47
Document Modified: 2018-02-21 09:31:47

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice; correction.
Contact		Christopher P. Grobbel, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, (202) 551-5491.
FR Citation		80 FR 11695