80 FR 12054 - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Proposed National Market System Plan To Implement a Tick Size Pilot Program on a One-Year Pilot Basis by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 43 (March 5, 2015)

Page Range		12054-12055
FR Document		2015-05052

Federal Register, Volume 80 Issue 43 (Thursday, March 5, 2015)

[Federal Register Volume 80, Number 43 (Thursday, March 5, 2015)]
[Notices]
[Pages 12054-12055]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2015-05052]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74388; File No. 4-657]

Joint Industry Plan; Notice of Designation of a Longer Period for
Commission Action on the Proposed National Market System Plan To
Implement a Tick Size Pilot Program on a One-Year Pilot Basis by BATS
Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc.,
EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory
Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq
Stock Market LLC, New York Stock Exchange LLC, NYSE MKT LLC, and NYSE
Arca, Inc.

February 26, 2015.
On August 25, 2014, NYSE Group, Inc., on behalf of BATS Exchange,
Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA
Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory
Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, and The
Nasdaq Stock Market LLC and New York Stock Exchange LLC, NYSE MKT LLC,
NYSE Arca, Inc. (collectively, the ``Participants''), filed with the
Securities and Exchange Commission (``Commission''), pursuant to
Section 11A of the Securities Exchange Act of 1934 (``Act''),\1\ and
Rule 608 of Regulation NMS thereunder,\2\ a proposed national market
system (``NMS'') Plan to Implement a Tick Size Pilot Program On a One-
Year Pilot Basis (``Plan'').\3\ The proposed Plan was published for
comment in the Federal Register on November 7, 2014.\4\ The Commission
has received 74 comment letters on the proposed Plan.\5\
---------------------------------------------------------------------------

\1\ 15 U.S.C. 78k-1.
\2\ 17 CFR 242.608.
\3\ See Letter from Brendon J. Weiss, Vice President, NYSE Group
Inc., to Secretary, Commission, dated August 25, 2014.
\4\ See Securities Exchange Act Release No. 73511 (November 3,
2014), 79 FR 66423.
\5\ See Letters from Shawn Leary, dated August 24, 2014; Tony
BenBrahim, dated August 24, 2014; John Richardson, dated August 26,
2014; Arthur T. Ling, dated August 26, 2014; Dan Blecha, dated
August 26, 2014; Tom Sosnoff, dated August 27, 2014; Michael Choffy,
dated August 28, 2014; Joseph Runsdorf, dated August 29, 2014; Tony
J. Gagliano, dated September 1, 2014; Howard L. Greenblatt, dated
September 2, 2014; Ernest Callipari, dated September 2, 2014 ; Ali
Bangura, dated September 3, 2014; Tony J. Gagliano, dated September
3, 2014; Theodore R. Lazo, Managing Director and Associate General
Counsel of SIFMA, dated September 9, 2014; John C. Nagel, Managing
Director and Sr. Deputy General Counsel of Citadel, LLC, dated
September 12, 2014; Christopher Nagy, CEO, and Dave Lauer,
President, KOR Group LLC, dated September 15, 2014; Stuart J.
Kaswell, Executive Vice President & Managing Director, General
Counsel of Managed Funds Association, dated September 20, 2014; John
Daley, Chairman of the Board and James Toes, President & CEO of
Security Traders Association, dated September 23, 2014; Brian A.
Johnson, Executive Director for Research of Committee on Capital
Markets Regulation, dated September 26, 2014; Jeffrey P. Ricker,
dated October 6, 2014; David Adorney, Professional Equity Trader,
dated November 11, 2014; Richard B. Gorelick, CEO of RGM Advisors,
LLC, dated November 13, 2014; Representative Sean P. Duffy, U.S.
House of Representatives, dated November 17, 2014; Joseph Galinskie,
dated November 18, 2014; Tom Quaadman, Vice President, U.S. Chamber
of Commerce Center for Capital Markets Competitiveness, dated
November 20, 2014; David Shields, Vice Chairman & Co-CEO, Wellington
Shields & Co., dated December 2, 2014; Dave Weild, Chairman & CEO,
IssuWorks, Inc., dated December 3, 2014; Tim Quast, President,
ModernNetworks IR, LLC, dated December 8, 2014; Larry Tabb, Founder
& CEO, Tabb Group, dated December 10, 2014; John Endean, President,
American Business Conference, dated December 12, 2014; Scott Kupor,
Managing Partner, Andreessen Horowitz and Jeffrey M. Solomon, CEO
Cowen and Company, Equity Capital Formation Task Force, dated
December 18, 2014; Eduardo A. Repetto, Vice Chairman & Co-CEO,
Dimensional Fund Advisors, Co-Chief Executive Officer and Co-Chief
Investment Officer, Dimensional Fund Advisors, dated December 18,
2014; Sal Arnuk & Joseph Saluzzi, Partners and Co-Founders, Themis
Trading, LLC, dated December 19, 2014; Simon D. Yates, CEO, Two
Sigma Securities, LLC, dated December 19, 2014; Mortimer J. Buckley,
Managing Director and Chief and Investment Officer, The Vanguard
Group, Inc., dated December 19, 2014; Rob Flatley, CEO and Dave
Weisberger, Managing Director, Head of Market Structure Analysis,
CoreOne Technologies LLC, submitted December 19, 2014; Alan F. Hill,
CEO and William K. Jones, Executive Chairman, JonesTrading
Institutional Services LLC, dated December 19, 2014; R. Glenn
Hubbard, Co-Chair, John L. Thornton, Co-Chair and Hal S. Scott,
Director, Committee on Capital Markets Regulation, dated December
19, 2014; John Daley, Chairman of the Board and James Toes,
President & CEO, Security Traders Association, dated December 19,
2014; John McCarthy, General Counsel, KCG Holdings, Inc., dated
December 19, 2014; Douglas A. Cifu, Chief Executive Officer, Virtu
Financial, dated December 19, 2014; E. Cartier Esham, Executive Vice
President, Emerging Companies, Biotechnology Industry Organization
(BIO), dated December 22, 2014; Micah Hauptman, Financial Services
Counsel, Consumer Federation of America, dated December 22, 2014;
Bobby Franklin, President & CEO, National Venture Capital
Association, dated December 22, 2014; Eric Swanson, General Counsel
& Secretary, BATS Global Markets, Inc. dated December 22, 2014;
Theodore R. Lazo, Managing Director and Associate General Counsel,
Securities Industry and Financial Markets Association, dated
December 22, 2014; Daniel G. Weaver, Ph.D., Professor of Finance,
Director, Master of Financial Analysis Program, Associate Director,
Whitcomb Center for Research in Financial Services, Rutgers, The
State University of New Jersey, dated December 22, 2014; Stuart J.
Kaswell, Executive Vice President & Managing Director, General
Counsel, Managed Funds Association, dated December 22, 2014; Kurt N.
Schacht, Managing Director and James C. Allen, Head; CFA Institute,
dated December 22, 2014; Robert J. McCarthy, Director of Regulatory
Policy, Wells Fargo Advisors, LLC, dated December 22, 2014; Daniel
Keegan, Managing Director, Head of Equities for the Americas,
Citigroup Global Markets Inc., dated December 22, 2014; Richie
Prager, Managing Director; Hubert DeJesus, Managing Director;
Supurna Vedbrat, Managing Director; Joanne Medero, Managing
Director, BlackRock, Inc., dated December 22, 2014; Adam Sussman,
Head of Market Structure, Liquidnet, Inc., dated December 22, 2014;
Manisha Kimmel, Managing Director, Financial Information Forum,
dated December 22, 2014; Tom Quaadman, Vice President, U.S. Chamber
of Commerce, Center for Capital Markets Competitiveness, dated
December 22, 2014; Ari Burstein, Senior Counsel, Investment Company
Institute, dated December 22, 2014; Jeff Brown, Senior Vice
President, Legislative and Regulatory Affairs, Charles Schwab & Co.,
Inc., dated December 22, 2014; Kimberly Unger, CEO and Executive
Director, Security Traders Association of New York, dated December
22, 2014; Scott C. Goebel, Senior Vice President & General Counsel,
Fidelity Management & Research Co., dated December 22, 2014; Dennis
Dick, CFA, Head, Equity Market Structure, Bright Trading LLC, dated
December 22, 2014; Raymond M. Tierney III, President and Chief
Executive Officer, Gary Stone, Chief Strategy Officer, Bloomberg
Tradebook LLC dated December 22, 2014; Mao Ye, Assistant Professor
of Finance, University of Illinois, Urbana-Champaign, dated December
22, 2014; Paul J. Jiganti, Managing Director, Market Structure and
Client Advocacy and John S. Markle, Deputy General Counsel--Retail
and Clearing Operations, TD Ameritrade, Inc., dated December 22,
2014; James J. Angel, Ph.D., CFA, Associate Professor of Finance,
Georgetown University dated December 22, 2014; Christopher Nagy and
Dave Lauer, KOR Group, LLC dated December 22, 2014; James G. Ongena,
General Counsel, Chicago Stock Exchange, Inc., dated December 22,
2014; Andrew Stevens, General Counsel, IMC Financial Markets, dated
December 30, 2014; Michael Jacejko, Chief Executive Manager, Birch
Bay Capital, LLC, dated December 31, 2014; James P. Selway III,
Managing Director, Head of Electronic Brokerage, ITG Inc., dated
January 5, 2015; John C. Nagel, Managing Director & Sr. Deputy
General Counsel, Citadel LLC, dated January 5, 2015; Thomas Wittman,
Executive Vice President, The NASDAQ OMX Group, LLC, dated January
16, 2015; Brendon J. Weiss, Co-Head Government Affairs, NYSE, LLC,
dated January 16, 2015; Senators Mark R. Warner and Pat Toomey, The
United States Senate, dated January 23, 2015; Daniel Zinn, General
Counsel, OTC Markets Group Inc., dated February 24, 2015. Copies of
all comment letters received on the proposed Plan are available on
the Commission's Web site located at http://www.sec.gov/comments/4-657/4-657.shtml and http://www.sec.gov/comments/jobs-title-i/tick-size-study/tick-size-study.shtml. Comments are also 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. EST.

---------------------------------------------------------------------------

[[Page 12055]]

Rule 608 \6\ under Section 11A of the Act \7\ provides that within
120 days of the date of publication of notice of filing of a NMS plan
or an amendment to an effective NMS plan, or within such longer period
as the Commission may designate up to 180 days of such date if it finds
such longer period to be appropriate and publishes its reasons for so
finding or as to which the sponsors consent, the Commission shall
approve such plan or amendment, with such changes or subject to such
conditions as the Commission may deem necessary or appropriate, if it
finds that such plan or amendment is necessary or appropriate in the
public interest, for the protection of investors and the maintenance of
fair and orderly markets, to remove impediments to, and perfect the
mechanisms of, a national market system, or otherwise in furtherance of
the purposes of the Act. The 120th day for the proposed Plan is March
7, 2015.
---------------------------------------------------------------------------

\6\ 17 CFR 242.608.
\7\ 15 U.S.C. 78k-1.
---------------------------------------------------------------------------

The Commission hereby extends the time period for Commission action
on the proposed Plan from the 120th day and designates May 6, 2015,
which is the 180th day for the proposed Plan, as the time period for
Commission action. The Commission finds that it is appropriate to
designate a longer period within which to take action on the proposed
Plan because the extension will provide the Commission with additional
time to consider, and take action in light of, among other things, the
comments received on the proposed Plan.
Accordingly, pursuant to Section 11A of the Act \8\ and Rule 608
thereunder,\9\ the Commission designates May 6, 2015 as the date for
Commission action on the proposed Plan.
---------------------------------------------------------------------------

\8\ Id.
\9\ 17 CFR 242.608.

For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

\10\ 17 CFR 200.30-3(a)(42).
---------------------------------------------------------------------------

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-05052 Filed 3-4-15; 8:45 am]
BILLING CODE 8011-01-P

12054 Federal Register / Vol. 80, No. 43 / Thursday, March 5, 2015 / Notices

1. In light of the passage of time since Electronic Comments SECURITIES AND EXCHANGE
the adoption of the Omgeo Exemptive COMMISSION
Order, developments in technology, and • Use the Commission’s Internet
comment form (http://www.sec.gov/ [Release No. 34–74388; File No. 4–657]
enhancements in market practices, are
the proposed conditions to the rules/proposed.shtml); or
Joint Industry Plan; Notice of
exemptive order appropriate? • Send an email to rule-comments@ Designation of a Longer Period for
Specifically, are all of the conditions sec.gov. Please include File Number Commission Action on the Proposed
designed to facilitate interoperability 600–33 on the subject line; or National Market System Plan To
necessary? Could the Commission Implement a Tick Size Pilot Program
continue to promote the purposes of Paper Comments
on a One-Year Pilot Basis by BATS
section 17A of the Exchange Act by
• Send paper comments in triplicate Exchange, Inc., BATS Y-Exchange,
additional modification or elimination Inc., Chicago Stock Exchange, Inc.,
to Brent J. Fields, Secretary, Securities
of some or all of the conditions? If so, EDGA Exchange, Inc., EDGX
which conditions should be modified or and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090. All Exchange, Inc., Financial Industry
eliminated? Regulatory Authority, Inc., NASDAQ
submissions should refer to File
2. What, if any, effect will moving OMX BX, Inc., NASDAQ OMX PHLX
Number 600–33.
from a single provider to two or more LLC, The Nasdaq Stock Market LLC,
providers have on the efficiency of the To help us process and review your New York Stock Exchange LLC, NYSE
trade settlement process? comments more efficiently, please use MKT LLC, and NYSE Arca, Inc.
3. What, if any, impact will the only one method. The Commission will
February 26, 2015.
introduction of a second provider have post all comments on the Commission’s
on pricing, quality of service, and On August 25, 2014, NYSE Group,
Internet Web site (http://www.sec.gov/
innovation? Inc., on behalf of BATS Exchange, Inc.,
rules/other.shtml).
BATS Y-Exchange, Inc., Chicago Stock
4. Will the introduction of one or Copies of the submission, all Exchange, Inc., EDGA Exchange, Inc.,
more additional providers increase or subsequent amendments, all written EDGX Exchange, Inc., Financial
reduce risk in the marketplace? statements with respect to the Industry Regulatory Authority, Inc.,
5. Does BSTP’s application for application that are filed with the NASDAQ OMX BX, Inc., NASDAQ
exemption from registration help Commission, and all written OMX PHLX LLC, and The Nasdaq Stock
achieve the underlying policy objectives communications relating to the Market LLC and New York Stock
of the Exchange Act? Why or why not? application between the Commission Exchange LLC, NYSE MKT LLC, NYSE
In particular, please address whether and any person, other than those that Arca, Inc. (collectively, the
granting an exemption from registration ‘‘Participants’’), filed with the Securities
may be withheld from the public in
does or does not further the goals of and Exchange Commission
accordance with the provisions of 5
promoting investor protection and the (‘‘Commission’’), pursuant to Section
U.S.C. 552, will be available for Web
integrity of the securities markets. 11A of the Securities Exchange Act of
site viewing and printing in the
6. Are the proposed conditions to the 1934 (‘‘Act’’),1 and Rule 608 of
Commission’s Public Reference Section,
exemptive order sufficient to promote Regulation NMS thereunder,2 a
100 F Street NE., Washington, DC 20549
the purposes of section 17A of the proposed national market system
Exchange Act and to allow the on official business days between the
hours of 10:00 a.m. and 3:00 p.m. All (‘‘NMS’’) Plan to Implement a Tick Size
Commission to adequately monitor the Pilot Program On a One-Year Pilot Basis
effects of BSTP’s proposed activities on comments received will be posted
(‘‘Plan’’).3 The proposed Plan was
the national system for the clearance without change; the Commission does
published for comment in the Federal
and settlement of securities not edit personal identifying Register on November 7, 2014.4 The
transactions? Why or why not? information from submissions. You Commission has received 74 comment
7. Would the links and interfaces with should submit only information that letters on the proposed Plan.5
other matching services as described in you wish to make available publicly. All
BSTP’s application have a positive or submissions should refer to File 1 15 U.S.C. 78k–1.
negative effect on other matching Number 600–33 and should be 2 17 CFR 242.608.
services that are registered with the submitted on or before April 6, 2015. 3 See Letter from Brendon J. Weiss, Vice

President, NYSE Group Inc., to Secretary,
Commission or that receive from the For the Commission by the Division of Commission, dated August 25, 2014.
Commission an exemption from clearing Trading and Markets, pursuant to delegated 4 See Securities Exchange Act Release No. 73511

agency registration? Why or why not? authority.25 (November 3, 2014), 79 FR 66423.
Should the proposed condition to Jill M. Peterson,
5 See Letters from Shawn Leary, dated August 24,

develop an interface with another 2014; Tony BenBrahim, dated August 24, 2014;
Assistant Secretary. John Richardson, dated August 26, 2014; Arthur T.
matching service provider be made Ling, dated August 26, 2014; Dan Blecha, dated
[FR Doc. 2015–05053 Filed 3–4–15; 8:45 am]
mandatory, rather than only upon August 26, 2014; Tom Sosnoff, dated August 27,
request from another provider? BILLING CODE 8011–01–P 2014; Michael Choffy, dated August 28, 2014;
Joseph Runsdorf, dated August 29, 2014; Tony J.
8. Would the links and interfaces with Gagliano, dated September 1, 2014; Howard L.
other matching services as described in Greenblatt, dated September 2, 2014; Ernest
BSTP’s application have a positive or Callipari, dated September 2, 2014 ; Ali Bangura,
mstockstill on DSK4VPTVN1PROD with NOTICES

negative effect on end-user clients of all dated September 3, 2014; Tony J. Gagliano, dated
September 3, 2014; Theodore R. Lazo, Managing
matching services, regardless of which Director and Associate General Counsel of SIFMA,
matching service completes trade dated September 9, 2014; John C. Nagel, Managing
matching prior to settlement? Why or Director and Sr. Deputy General Counsel of Citadel,
why not? LLC, dated September 12, 2014; Christopher Nagy,
CEO, and Dave Lauer, President, KOR Group LLC,
Comments may be submitted by any dated September 15, 2014; Stuart J. Kaswell,
of the following methods: 25 17 CFR 200.30–3(a)(16). Executive Vice President & Managing Director,

VerDate Sep<11>2014 19:28 Mar 04, 2015 Jkt 235001 PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 E:\FR\FM\05MRN1.SGM 05MRN1

Federal Register / Vol. 80, No. 43 / Thursday, March 5, 2015 / Notices 12055

Rule 608 6 under Section 11A of the markets, to remove impediments to, and
General Counsel of Managed Funds Association, Act 7 provides that within 120 days of perfect the mechanisms of, a national
dated September 20, 2014; John Daley, Chairman of
the Board and James Toes, President & CEO of
the date of publication of notice of filing market system, or otherwise in
Security Traders Association, dated September 23, of a NMS plan or an amendment to an furtherance of the purposes of the Act.
2014; Brian A. Johnson, Executive Director for effective NMS plan, or within such The 120th day for the proposed Plan is
Research of Committee on Capital Markets longer period as the Commission may March 7, 2015.
Regulation, dated September 26, 2014; Jeffrey P. designate up to 180 days of such date if The Commission hereby extends the
Ricker, dated October 6, 2014; David Adorney,
Professional Equity Trader, dated November 11, it finds such longer period to be time period for Commission action on
2014; Richard B. Gorelick, CEO of RGM Advisors, appropriate and publishes its reasons the proposed Plan from the 120th day
LLC, dated November 13, 2014; Representative Sean for so finding or as to which the and designates May 6, 2015, which is
P. Duffy, U.S. House of Representatives, dated sponsors consent, the Commission shall the 180th day for the proposed Plan, as
November 17, 2014; Joseph Galinskie, dated
November 18, 2014; Tom Quaadman, Vice
approve such plan or amendment, with the time period for Commission action.
President, U.S. Chamber of Commerce Center for such changes or subject to such The Commission finds that it is
Capital Markets Competitiveness, dated November conditions as the Commission may appropriate to designate a longer period
20, 2014; David Shields, Vice Chairman & Co-CEO, deem necessary or appropriate, if it within which to take action on the
Wellington Shields & Co., dated December 2, 2014; finds that such plan or amendment is
Dave Weild, Chairman & CEO, IssuWorks, Inc.,
proposed Plan because the extension
dated December 3, 2014; Tim Quast, President, necessary or appropriate in the public will provide the Commission with
ModernNetworks IR, LLC, dated December 8, 2014; interest, for the protection of investors additional time to consider, and take
Larry Tabb, Founder & CEO, Tabb Group, dated and the maintenance of fair and orderly action in light of, among other things,
December 10, 2014; John Endean, President,
American Business Conference, dated December 12,
the comments received on the proposed
Market Structure, Liquidnet, Inc., dated December Plan.
2014; Scott Kupor, Managing Partner, Andreessen
22, 2014; Manisha Kimmel, Managing Director,
Horowitz and Jeffrey M. Solomon, CEO Cowen and
Financial Information Forum, dated December 22,
Accordingly, pursuant to Section 11A
Company, Equity Capital Formation Task Force, 2014; Tom Quaadman, Vice President, U.S. of the Act 8 and Rule 608 thereunder,9
dated December 18, 2014; Eduardo A. Repetto, Vice Chamber of Commerce, Center for Capital Markets the Commission designates May 6, 2015
Chairman & Co-CEO, Dimensional Fund Advisors, Competitiveness, dated December 22, 2014; Ari
Co-Chief Executive Officer and Co-Chief Investment as the date for Commission action on
Burstein, Senior Counsel, Investment Company
Officer, Dimensional Fund Advisors, dated Institute, dated December 22, 2014; Jeff Brown,
the proposed Plan.
December 18, 2014; Sal Arnuk & Joseph Saluzzi, Senior Vice President, Legislative and Regulatory For the Commission, by the Division of
Partners and Co-Founders, Themis Trading, LLC, Affairs, Charles Schwab & Co., Inc., dated December
dated December 19, 2014; Simon D. Yates, CEO, Trading and Markets, pursuant to delegated
22, 2014; Kimberly Unger, CEO and Executive authority.10
Two Sigma Securities, LLC, dated December 19, Director, Security Traders Association of New York,
2014; Mortimer J. Buckley, Managing Director and dated December 22, 2014; Scott C. Goebel, Senior Jill M. Peterson,
Chief and Investment Officer, The Vanguard Group, Vice President & General Counsel, Fidelity Assistant Secretary.
Inc., dated December 19, 2014; Rob Flatley, CEO Management & Research Co., dated December 22,
and Dave Weisberger, Managing Director, Head of [FR Doc. 2015–05052 Filed 3–4–15; 8:45 am]
2014; Dennis Dick, CFA, Head, Equity Market
Market Structure Analysis, CoreOne Technologies Structure, Bright Trading LLC, dated December 22, BILLING CODE 8011–01–P
LLC, submitted December 19, 2014; Alan F. Hill, 2014; Raymond M. Tierney III, President and Chief
CEO and William K. Jones, Executive Chairman, Executive Officer, Gary Stone, Chief Strategy
JonesTrading Institutional Services LLC, dated Officer, Bloomberg Tradebook LLC dated December
December 19, 2014; R. Glenn Hubbard, Co-Chair, 22, 2014; Mao Ye, Assistant Professor of Finance, DEPARTMENT OF TRANSPORTATION
John L. Thornton, Co-Chair and Hal S. Scott, University of Illinois, Urbana-Champaign, dated
Director, Committee on Capital Markets Regulation, December 22, 2014; Paul J. Jiganti, Managing Federal Motor Carrier Safety
dated December 19, 2014; John Daley, Chairman of Director, Market Structure and Client Advocacy and Administration
the Board and James Toes, President & CEO, John S. Markle, Deputy General Counsel—Retail
Security Traders Association, dated December 19, and Clearing Operations, TD Ameritrade, Inc., dated
2014; John McCarthy, General Counsel, KCG December 22, 2014; James J. Angel, Ph.D., CFA,
Sunshine Act Meetings; Unified Carrier
Holdings, Inc., dated December 19, 2014; Douglas Associate Professor of Finance, Georgetown Registration Plan Board of Directors
A. Cifu, Chief Executive Officer, Virtu Financial, University dated December 22, 2014; Christopher
dated December 19, 2014; E. Cartier Esham, Nagy and Dave Lauer, KOR Group, LLC dated AGENCY: Federal Motor Carrier Safety
Executive Vice President, Emerging Companies, December 22, 2014; James G. Ongena, General Administration (FMCSA), DOT.
Biotechnology Industry Organization (BIO), dated Counsel, Chicago Stock Exchange, Inc., dated
ACTION: Notice of Unified Carrier
December 22, 2014; Micah Hauptman, Financial December 22, 2014; Andrew Stevens, General
Services Counsel, Consumer Federation of America, Counsel, IMC Financial Markets, dated December Registration Plan Board of Directors
dated December 22, 2014; Bobby Franklin, 30, 2014; Michael Jacejko, Chief Executive Manager, Meeting.
President & CEO, National Venture Capital Birch Bay Capital, LLC, dated December 31, 2014;
Association, dated December 22, 2014; Eric James P. Selway III, Managing Director, Head of TIME AND DATE: The meeting will be held
Swanson, General Counsel & Secretary, BATS Electronic Brokerage, ITG Inc., dated January 5,
Global Markets, Inc. dated December 22, 2014; 2015; John C. Nagel, Managing Director & Sr. on April 9, 2015, from 12:00 Noon to
Theodore R. Lazo, Managing Director and Associate Deputy General Counsel, Citadel LLC, dated 3:00 p.m., Eastern Daylight Time.
General Counsel, Securities Industry and Financial January 5, 2015; Thomas Wittman, Executive Vice PLACE: This meeting will be open to the
Markets Association, dated December 22, 2014; President, The NASDAQ OMX Group, LLC, dated
Daniel G. Weaver, Ph.D., Professor of Finance, January 16, 2015; Brendon J. Weiss, Co-Head public via conference call. Any
Director, Master of Financial Analysis Program, Government Affairs, NYSE, LLC, dated January 16, interested person may call 1–877–422–
Associate Director, Whitcomb Center for Research 2015; Senators Mark R. Warner and Pat Toomey, 1931, passcode 2855443940, to listen
in Financial Services, Rutgers, The State University The United States Senate, dated January 23, 2015; and participate in this meeting.
of New Jersey, dated December 22, 2014; Stuart J. Daniel Zinn, General Counsel, OTC Markets Group
Kaswell, Executive Vice President & Managing Inc., dated February 24, 2015. Copies of all STATUS: Open to the public.
Director, General Counsel, Managed Funds comment letters received on the proposed Plan are MATTERS TO BE CONSIDERED: The Unified
Association, dated December 22, 2014; Kurt N. available on the Commission’s Web site located at
http://www.sec.gov/comments/4-657/4-657.shtml Carrier Registration Plan Board of
Schacht, Managing Director and James C. Allen,
mstockstill on DSK4VPTVN1PROD with NOTICES

Head; CFA Institute, dated December 22, 2014; and http://www.sec.gov/comments/jobs-title-i/tick- Directors (the Board) will continue its
Robert J. McCarthy, Director of Regulatory Policy, size-study/tick-size-study.shtml. Comments are also work in developing and implementing
Wells Fargo Advisors, LLC, dated December 22, available for Web site viewing and printing in the the Unified Carrier Registration Plan
2014; Daniel Keegan, Managing Director, Head of Commission’s Public Reference Room, 100 F Street
NE., Washington, DC 20549, on official business and Agreement and to that end, may
Equities for the Americas, Citigroup Global Markets
Inc., dated December 22, 2014; Richie Prager, days between the hours of 10:00 a.m. and 3:00 p.m.
EST. 8 Id.
Managing Director; Hubert DeJesus, Managing
6 17 CFR 242.608. 9 17 CFR 242.608.
Director; Supurna Vedbrat, Managing Director;
Joanne Medero, Managing Director, BlackRock, Inc., 7 15 U.S.C. 78k–1. 10 17 CFR 200.30–3(a)(42).
dated December 22, 2014; Adam Sussman, Head of

VerDate Sep<11>2014 19:28 Mar 04, 2015 Jkt 235001 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 E:\FR\FM\05MRN1.SGM 05MRN1

Document Created: 2015-12-18 12:09:10
Document Modified: 2015-12-18 12:09:10

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
FR Citation		80 FR 12054