80 FR 13934 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Exchange of Contract for Related Position Transactions and Block Trades
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 51 (March 17, 2015)
Federal Register Volume 80, Issue 51 (March 17, 2015)
| Page Range | 13934-13936 | |
| FR Document | 2015-06013 |
[Federal Register Volume 80, Number 51 (Tuesday, March 17, 2015)] [Notices] [Pages 13934-13936] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-06013] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-74483; File No. SR-CFE-2015-002] Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Exchange of Contract for Related Position Transactions and Block Trades March 11, 2015. Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on February 25, 2015 CBOE Futures Exchange, LLC (``CFE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change described in Items I, II, and III below, which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed this proposed rule change with the Commodity Futures Trading Commission (``CFTC''). CFE filed a written certification with the CFTC under Section 5c(c) of the Commodity Exchange Act (``CEA'')\2\ on February 25, 2015. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(7). \2\ 7 U.S.C. 7a-2(c). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Description of the Proposed Rule Change The Exchange proposes to amend its rules related to Exchange of Contract for Related Position (``ECRP'') transactions and block trades. The scope of this filing is limited solely to the application of the rule amendments to security futures traded on CFE. The only security futures currently traded on CFE are traded under Chapter 16 of CFE's Rulebook which is applicable to Individual Stock Based and Exchange- Traded Fund Based Volatility Index security futures. The text of the proposed rule change is attached as Exhibit 4 to the filing but is not attached to the publication of this notice. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, CFE 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 [[Page 13935]] in Item IV below. CFE 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 purpose of the proposed CFE rule amendments included as part of this rule change is to: (i) Amend CFE Rule 414 (Exchange of Contract for Related Position) to extend the time to report ECRP transactions to the Exchange from ten minutes to thirty minutes; and (ii) amend CFE Rules 414 and 415 (Block Trading) to clarify that the CFE Help Desk can provide written transaction summaries for ECRP transactions and block trades on the business day for which the transaction is submitted for clearing or the calendar day of the transaction. The rule amendments included as part of this rule change are to apply to all products traded on CFE, including both non-security futures and security futures. Reporting Timeframe for ECRP Transactions CFE is proposing to amend CFE Rule 414 (Exchange of Contract for Related Position) to extend the timeframe for reporting ECRP transactions. CFE Rule 414 currently provides that each party to an ECRP transaction is obligated to have an Authorized Reporter (which is defined in CFE Rule 414(h) and 415(f)) \3\ notify the CFE Help Desk of the terms of the ECRP transaction no later than ten minutes after the transaction is agreed upon. The amendments extend this current reporting window for ECRP transactions to thirty minutes. --------------------------------------------------------------------------- \3\ CFE Rule 414(h) and CFE Rule 415(f) require that each CFE Trading Privilege Holder (``TPH'') executing an Exchange of Contract for Related Position transaction or a side of a block trade must have designated at least one Authorized Reporter that is pre- authorized by a CFE clearing member to report the ECRP transaction or block trade on behalf of the TPH. --------------------------------------------------------------------------- CFE believes this extension is justified for the following reasons. First, it will allow CFE to stay competitive with other futures exchanges that currently provide market participants with additional time to report these transactions. Specifically, CME Group provides that such transactions ``must be submitted within one hour after the relevant terms have been determined,'' \4\ and ICE Futures U.S. provides no definitive timeframe and rather that such transactions ``should be submitted to the Exchange as soon as possible following agreement to the terms by the relevant parties.'' \5\ Second, the extension takes into account the specific, logistical aspects associated with these off-exchange transactions, which entail related transactions in two different instruments. Specifically, ECRP transactions in CFE products frequently involve contra-parties that operate on a trading floor instead of an office setting. In addition, the required recordkeeping presents logistical issues as each contra- party to an ECRP must coordinate with an Authorized Reporter to report to the CFE Help Desk the relevant ECRP transaction as well as collect or create records evidencing compliance with the criteria set forth in CFE Rule 414 as required by CFE Rule 414 (g).\6\ CFE believes a limited additional window for compliance is justified given these logistical aspects. Accordingly, CFE believes that extending the timeframe from ten to thirty minutes represents a sound balance that takes into account the above competitive and logistical considerations while remaining sufficiently limited in duration so as not to be detrimental to CFE's market. --------------------------------------------------------------------------- \4\ CME Group, Market Regulation Advisory Notice (Aug. 4, 2014), Q&A22, available at http://www.cmegroup.com/rulebook/files/ra1311-5r.pdf. \5\ ICE Futures U.S., EFRP FAQs (Sept. 5, 2014), Q&A 17, available at https://www.theice.com/publicdocs/futures_us/EFRP_FAQ.pdf. \6\ CFE Rule 414 (g) requires that each TPH involved in any ECRP transaction shall either maintain records evidencing compliance with the criteria set forth in Rule 414 or be able to obtain such records from its Customer involved in the ECRPs. Information required to be maintained but which is not systematically provided in conjunction with the processing of these trades may include the options delta utilized at the time of the trade in order to demonstrate that the Contract transaction would serve as an appropriate hedge for the Related Position. --------------------------------------------------------------------------- Clarification Regarding Written Summaries for ECRP Transactions and Block Trades CFE is proposing to amend CFE Rule 414 (Exchange of Contract for Related Position) and CFE Rule 415 (Block Trading) to clarify that the CFE Help Desk can provide written transaction summaries for ECRP transactions and block trades on the business day for which the transaction is submitted for clearing or the calendar day of the transaction. CFE Rules 414 and 415 currently contain language that imply that the CFE Help Desk always provides a written transaction summary of an ECRP transaction or a block trade on the business day for which the transaction is submitted for clearing. The amendments clarify that the CFE Help Desk can provide a written transaction summary of an ECRP transaction or block trade to each Authorized Reporter on either the business day for which the transaction is submitted for clearing or on the calendar day of the transaction. For ECRP transactions and block trades that occur during most of the trading day, the CFE Help Desk would provide a transaction summary on the business day for which the transaction is submitted for clearing. However, there are circumstances in which the CFE Help Desk would provide a transaction summary on the calendar day of the transaction and not on the business day for which the transaction is submitted for clearing. For example, this could occur if an ECRP transaction or block trade in CBOE Volatility Index (``VIX'') futures was reported to the CFE Help Desk between 3:30 p.m. and 4:00 p.m. on a Monday through Thursday and was designated by the parties for clearance on the calendar day of the transaction. In that case, the next business day would have already started when the transaction is reported to the CFE Help Desk pursuant to the extended trading hours schedule in VIX futures, as the prior business day would have ended at 3:15 p.m. and the new business day would have started at 3:30 p.m. Accordingly, the CFE Help Desk would be providing a written transaction summary to the Authorized Reporters on the calendar day of the transaction and not on the business day for which the transaction would be submitted for clearing (since in this case the transaction would be submitted for clearing for the prior business day). CFE is also making a technical, non-substantive change to CFE Rule 415(c) to correct a typographical error. Rule 415(c) incorrectly references Rule 415(i) for the reporting deadline instead of to Rule 415(g) where the relevant reporting deadline is contained and this rule change corrects this cross-reference. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act,\7\ in general, and furthers the objectives of Sections 6(b)(5) \8\ and 6(b)(7) \9\ in particular in that it is designed: --------------------------------------------------------------------------- \7\ 15 U.S.C. 78f(b). \8\ 15 U.S.C. 78f(b)(5). \9\ 15 U.S.C. 78f(b)(7). ---------------------------------------------------------------------------To foster cooperation and coordination with persons engaged in facilitating transactions in securities, and to remove impediments to and perfect the mechanism of a free and open market and a national market system, and in general, to protect investors and the public interest. [[Page 13936]] The Exchange believes that the proposed rule change would benefit market participants because it would provide them with a limited amount of additional time to report ECRP transactions. First, the change will allow CFE to stay competitive with other futures exchanges that currently provide market participants with additional time to report these transactions.\10\ Second, the extension takes into account the logistical aspects associated with these transactions, which entail related transactions in two different instruments. Specifically, ECRP transactions involve contra-parties operating on a trading floor instead of an office setting. In addition, the required recordkeeping presents logistical issues as each contra-party to an ECRP must coordinate with an Authorized Reporter to report to the CFE Help Desk its ECRP transaction as well as conduct the required recordkeeping manually. CFE believes extending the timeframe from ten to thirty minutes represents a sound balance that takes into account the above competitive and logistical considerations while remaining sufficiently limited in duration so as not to be detrimental to CFE's market. --------------------------------------------------------------------------- \10\ See CME Group, Market Regulation Advisory Notice (Aug. 4, 2014), Q&A22, available athttp://www.cmegroup.com/rulebook/files/ra1311-5r.pdf; ICE Futures U.S., EFRP FAQs (Sept. 5, 2014), Q&A 17, available athttp://www.theice.com/publicdocs/futures_us/ EFRP_FAQ.pdf. --------------------------------------------------------------------------- In addition, the proposed rule change benefits market participants by clarifying to them that their Authorized Reporters will receive written transactions summaries: (i) Regarding ECRP transactions on either the business day for which the contract leg of the ECRP transaction is submitted for clearing or the calendar day of the transaction; and (ii) regarding block trades, on either the business day for which the block trade is submitted for clearing or on the calendar day of the transaction. B. Self-Regulatory Organization's Statement on Burden on Competition CFE does not believe that the proposed rule change will impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act. Specifically, the Exchange believes that the proposed rule change will not burden competition because the new ECRP reporting timeframe and timeframe for receiving written summaries of ECRP transactions and block trades will apply to all persons and the revised rule provisions do not discriminate between market participants. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The proposed rule change will become effective on March 11, 2015. At any time within 60 days of the date of effectiveness of the proposed rule change, the Commission, after consultation with the CFTC, may summarily abrogate the proposed rule change and require that the proposed rule change be refiled in accordance with the provisions of Section 19(b)(1) of the Act.\11\ --------------------------------------------------------------------------- \11\ 15 U.S.C. 78s(b)(1). --------------------------------------------------------------------------- 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 email to [email protected]. Please include File Number SR-CFE-2015-002 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-CFE-2015-002. 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 such filing also will be available for inspection and copying at the principal offices 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-CFE-2015-002, and should be submitted on or before April 7, 2015. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\12\ --------------------------------------------------------------------------- \12\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Brent J. Fields, Secretary. [FR Doc. 2015-06013 Filed 3-16-15; 8:45 am] BILLING CODE 8011-01-P
![13934 Federal Register / Vol. 80, No. 51 / Tuesday, March 17, 2015 / Notices
investors or the public interest; (ii) Electronic Comments SECURITIES AND EXCHANGE
impose any significant burden on COMMISSION
competition; and (iii) become operative • Use the Commission’s Internet
comment form (http://www.sec.gov/ [Release No. 34–74483; File No. SR–CFE–
for 30 days from the date on which it 2015–002]
was filed, or such shorter time as the rules/sro.shtml); or
Commission may designate, the • Send an email to rule-comments@ Self-Regulatory Organizations; CBOE
proposed rule change has become sec.gov. Please include File Number SR– Futures Exchange, LLC; Notice of
effective pursuant to Section 19(b)(3)(A) SR–BOX–2015–14 on the subject line. Filing and Immediate Effectiveness of
of the Act and Rule 19b–4(f)(6) a Proposed Rule Change Regarding
thereunder.6 Paper Comments Exchange of Contract for Related
A proposed rule change filed under Position Transactions and Block
• Send paper comments in triplicate
Rule 19b–4(f)(6) normally does not Trades
become operative for 30 days after the to Secretary, Securities and Exchange
date of filing. However, Rule 19b– Commission, 100 F Street NE., March 11, 2015.
4(f)(6)(iii) permits the Commission to Washington, DC 20549–1090. Pursuant to Section 19(b)(7) of the
designate a shorter time if such action All submissions should refer to File Securities Exchange Act of 1934
is consistent with the protection of Number SR–BOX–2015–14. This file (‘‘Act’’),1 notice is hereby given that on
investors and the public interest. The February 25, 2015 CBOE Futures
number should be included on the
Exchange has asked the Commission to Exchange, LLC (‘‘CFE’’ or ‘‘Exchange’’)
subject line if email is used. To help the
waive the 30-day operative delay filed with the Securities and Exchange
Commission process and review your Commission (‘‘SEC’’ or ‘‘Commission’’)
because the Transfer is intended to be comments more efficiently, please use
completed in less than 30 days. The the proposed rule change described in
only one method. The Commission will Items I, II, and III below, which Items
Commission believes that an earlier
post all comments on the Commission’s have been prepared by CFE. The
operative date will ensure that the filing
Internet Web site (http://www.sec.gov/ Commission is publishing this notice to
is effective prior to the intended
completion of the Transfer in less than rules/sro.shtml). Copies of the solicit comments on the proposed rule
30 days. Based on the foregoing, the submission, all subsequent change from interested persons. CFE
Commission believes that waiving the amendments, all written statements also has filed this proposed rule change
30-day operative delay is consistent with respect to the proposed rule with the Commodity Futures Trading
with the protection of investors and the change that are filed with the Commission (‘‘CFTC’’). CFE filed a
public interest.7 The Commission Commission, and all written written certification with the CFTC
hereby grants the Exchange’s request communications relating to the under Section 5c(c) of the Commodity
and designates the proposal operative proposed rule change between the Exchange Act (‘‘CEA’’)2 on February 25,
upon filing. Commission and any person, other than 2015.
At any time within 60 days of the those that may be withheld from the I. Self-Regulatory Organization’s
filing of the proposed rule change, the public in accordance with the Description of the Proposed Rule
Commission summarily may provisions of 5 U.S.C. 552, will be Change
temporarily suspend such rule change if available for Web site viewing and
it appears to the Commission that such The Exchange proposes to amend its
printing in the Commission’s Public
action is necessary or appropriate in the rules related to Exchange of Contract for
Reference Room, 100 F Street NE.,
public interest, for the protection of Related Position (‘‘ECRP’’) transactions
Washington, DC 20549 on official and block trades. The scope of this filing
investors, or otherwise in furtherance of business days between the hours of
the purposes of the Act. If the is limited solely to the application of the
10:00 a.m. and 3:00 p.m. Copies of the rule amendments to security futures
Commission takes such action, the filing also will be available for
Commission shall institute proceedings traded on CFE. The only security futures
inspection and copying at the principal currently traded on CFE are traded
to determine whether the proposed rule office of the Exchange. All comments
should be approved or disapproved. under Chapter 16 of CFE’s Rulebook
received will be posted without change; which is applicable to Individual Stock
IV. Solicitation of Comments the Commission does not edit personal Based and Exchange-Traded Fund
Interested persons are invited to identifying information from Based Volatility Index security futures.
submit written data, views, and submissions. You should submit only The text of the proposed rule change is
arguments concerning the foregoing, information that you wish to make attached as Exhibit 4 to the filing but is
including whether the proposed rule available publicly. All submissions not attached to the publication of this
change is consistent with the Act. should refer to File Number SR–BOX– notice.
Comments may be submitted by any of 2015–14 and should be submitted on or II. Self-Regulatory Organization’s
the following methods: before April 7, 2015. Statement of the Purpose of, and
For the Commission, by the Division of Statutory Basis for, the Proposed Rule
6 In addition, Rule 19b–4(f)(6)(iii) requires the Trading and Markets, pursuant to delegated Change
Exchange to give the Commission written notice of
the Exchange’s intent to file the proposed rule authority.8 In its filing with the Commission, CFE
change, along with a brief description and text of Brent J. Fields, included statements concerning the
the proposed rule change, at least five business days
mstockstill on DSK4VPTVN1PROD with NOTICES
prior to the date of filing of the proposed rule Secretary. purpose of and basis for the proposed
change, or such shorter time as designated by the [FR Doc. 2015–06020 Filed 3–16–15; 8:45 am] rule change and discussed any
Commission. The Commission has waived the 5- BILLING CODE 8011–01–P comments it received on the proposed
day prefiling requirement in this case. rule change. The text of these statements
7 For purposes only of waiving the 30-day
operative delay, the Commission has also
may be examined at the places specified
considered the proposed rule’s impact on
1 15 U.S.C. 78s(b)(7).
efficiency, competition, and capital formation. See
15 U.S.C. 78c(f). 8 17 CFR 200.30–3(a)(12). 27 U.S.C. 7a–2(c).
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![13936 Federal Register / Vol. 80, No. 51 / Tuesday, March 17, 2015 / Notices
The Exchange believes that the C. Self-Regulatory Organization’s printing in the Commission’s Public
proposed rule change would benefit Statement on Comments on the Reference Room, 100 F Street NE.,
market participants because it would Proposed Rule Change Received From Washington, DC 20549, on official
provide them with a limited amount of Members, Participants, or Others business days between the hours of
additional time to report ECRP No written comments were solicited 10:00 a.m. and 3:00 p.m. Copies of such
transactions. First, the change will allow or received with respect to the proposed filing also will be available for
CFE to stay competitive with other rule change. inspection and copying at the principal
futures exchanges that currently provide offices of the Exchange. All comments
market participants with additional time III. Date of Effectiveness of the received will be posted without change;
to report these transactions.10 Second, Proposed Rule Change and Timing for the Commission does not edit personal
the extension takes into account the Commission Action identifying information from
logistical aspects associated with these The proposed rule change will submissions. You should submit only
transactions, which entail related become effective on March 11, 2015. information that you wish to make
transactions in two different At any time within 60 days of the date available publicly. All submissions
instruments. Specifically, ECRP of effectiveness of the proposed rule should refer to File Number SR–CFE–
transactions involve contra-parties change, the Commission, after 2015–002, and should be submitted on
operating on a trading floor instead of consultation with the CFTC, may or before April 7, 2015.
an office setting. In addition, the summarily abrogate the proposed rule For the Commission, by the Division of
required recordkeeping presents change and require that the proposed Trading and Markets, pursuant to delegated
logistical issues as each contra-party to rule change be refiled in accordance authority.12
an ECRP must coordinate with an with the provisions of Section 19(b)(1) Brent J. Fields,
Authorized Reporter to report to the of the Act.11 Secretary.
CFE Help Desk its ECRP transaction as [FR Doc. 2015–06013 Filed 3–16–15; 8:45 am]
well as conduct the required IV. Solicitation of Comments
BILLING CODE 8011–01–P
recordkeeping manually. CFE believes Interested persons are invited to
extending the timeframe from ten to submit written data, views, and
thirty minutes represents a sound arguments concerning the foregoing, SECURITIES AND EXCHANGE
balance that takes into account the including whether the proposed rule COMMISSION
above competitive and logistical change is consistent with the Act.
considerations while remaining Comments may be submitted by any of [Release No. 34–74476; File No. SR–OCC–
sufficiently limited in duration so as not the following methods: 2015–005]
to be detrimental to CFE’s market. Electronic Comments Self-Regulatory Organizations; The
In addition, the proposed rule change
• Use the Commission’s Internet Options Clearing Corporation; Notice
benefits market participants by
comment form (http://www.sec.gov/ of Filing and Immediate Effectiveness
clarifying to them that their Authorized
rules/sro.shtml); or of a Proposed Rule Change
Reporters will receive written
transactions summaries: (i) Regarding • Send an email to rule-comments@ Concerning the Account From Which
sec.gov. Please include File Number SR– Certain Clearing Members May Fund
ECRP transactions on either the
CFE–2015–002 on the subject line. the Additional Margin Requirement
business day for which the contract leg
Associated With Overnight Trading
of the ECRP transaction is submitted for Paper Comments Sessions
clearing or the calendar day of the
transaction; and (ii) regarding block • Send paper comments in triplicate
March 11, 2015.
trades, on either the business day for to Secretary, Securities and Exchange
Pursuant to section 19(b)(1) of the
which the block trade is submitted for Commission, 100 F Street NE.,
Securities Exchange Act of 1934
clearing or on the calendar day of the Washington, DC 20549–1090.
(‘‘Act’’) 1 and Rule 19b–4 thereunder 2
transaction. All submissions should refer to File notice is hereby given that on February
Number SR–CFE–2015–002. This file 26, 2015, The Options Clearing
B. Self-Regulatory Organization’s number should be included on the
Statement on Burden on Competition Corporation (‘‘OCC’’) filed with the
subject line if email is used. To help the Securities and Exchange Commission
CFE does not believe that the Commission process and review your (‘‘Commission’’) the proposed rule
proposed rule change will impose any comments more efficiently, please use change as described in Items I, II, and
burden on competition not necessary or only one method. The Commission will III below, which Items have been
appropriate in furtherance of the post all comments on the Commission’s prepared by OCC. The Commission is
purposes of the Act. Specifically, the Internet Web site (http://www.sec.gov/ publishing this notice to solicit
Exchange believes that the proposed rules/sro.shtml). Copies of the comments on the proposed rule change
rule change will not burden competition submission, all subsequent from interested persons.
because the new ECRP reporting amendments, all written statements
timeframe and timeframe for receiving with respect to the proposed rule I. Clearing Agency’s Statement of the
written summaries of ECRP transactions change that are filed with the Terms of Substance of the Proposed
and block trades will apply to all Commission, and all written Rule Change
persons and the revised rule provisions communications relating to the This proposed rule change by The
mstockstill on DSK4VPTVN1PROD with NOTICES
do not discriminate between market proposed rule change between the Options Clearing Corporation (‘‘OCC’’)
participants. Commission and any person, other than would permit an OCC clearing member
those that may be withheld from the that is a registered futures commission
10 See CME Group, Market Regulation Advisory
public in accordance with the merchant (‘‘FCM’’) that has been
Notice (Aug. 4, 2014), Q&A22, available athttp:// provisions of 5 U.S.C. 552, will be
www.cmegroup.com/rulebook/files/ra1311-5r.pdf;
ICE Futures U.S., EFRP FAQs (Sept. 5, 2014), Q&A available for Web site viewing and 12 17 CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
17, available athttp://www.theice.com/publicdocs/
futures_us/EFRP_FAQ.pdf. 11 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4.
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Document Created: 2015-12-18 12:01:47
Document Modified: 2015-12-18 12:01:47
| 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 | |
| FR Citation | 80 FR 13934 |
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