80 FR 14419 - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 53 (March 19, 2015)
Federal Register Volume 80, Issue 53 (March 19, 2015)
| Page Range | 14419-14421 | |
| FR Document | 2015-06263 |
[Federal Register Volume 80, Number 53 (Thursday, March 19, 2015)] [Notices] [Pages 14419-14421] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-06263] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-74505; File No. SR-ISEGemini-2015-06] Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees March 13, 2015. 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 March 2, 2015, ISE Gemini, LLC (the ``Exchange'' or ``ISE Gemini'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change, as described in Items I, II, and III below, which items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change ISE Gemini proposes to amend the Schedule of Fees as described in more detail below. The text of the proposed rule change is available on the Exchange's Internet Web site at http://www.ise.com, at the principal office of the Exchange, and at 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, the Exchange 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 self-regulatory organization 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 proposes to amend the Schedule of Fees to increase Priority Customer \3\ rebates in Penny Symbols \4\ and SPY as well as related fees for non-Priority Customer orders trading against Priority Customer orders in these symbols. --------------------------------------------------------------------------- \3\ A ``Priority Customer'' is a person or entity that is not a broker/dealer in securities, and does not place more than 390 orders in listed options per day on average during a calendar month for its own beneficial account(s), as defined in Rule 100(a)(37A). \4\ ``Penny Symbols'' are options overlying all symbols listed on ISE Gemini that are in the Penny Pilot Program. --------------------------------------------------------------------------- Currently, Priority Customer orders that add liquidity on ISE Gemini are provided a maker rebate in Penny Symbols and SPY of $0.25 per contract for Tier 1,\5\ $0.40 per contract for Tier 2, $0.46 per contract for Tier 3, $0.48 per contract for Tier 4, and $0.50 per contract for Tier 5. In order to incentivize members to bring their Priority Customer orders to ISE Gemini, the Exchange now proposes to provide higher maker rebates to members that achieve Tier 3 or higher. In particular, the Exchange proposes to increase the [[Page 14420]] Priority Customer rebate in Penny Symbols and SPY to $0.48 per contract for Tier 3, $0.50 per contract for Tier 4, and $0.52 per contract for Tier 5. --------------------------------------------------------------------------- \5\ This rebate is $0.32 per contract for members that execute a Priority Customer Maker ADV of 5,000 to 19,999 contracts in a given month. --------------------------------------------------------------------------- Market Maker,\6\ Non-ISE Gemini Market Maker,\7\ Firm Proprietary \8\/Broker-Dealer,\9\ and Professional Customer \10\ (i.e. non-Priority Customer) orders currently pay a taker fee of $0.49 per contract, subject to a discount to $0.48 per contract for Market Makers that achieve the highest tier. In connection with the increased Priority Customer rebates described above, the Exchange further proposes to charge non-Priority Customer orders a taker fee of $0.50 per contract when trading against a Priority Customer order.\11\ --------------------------------------------------------------------------- \6\ The term Market Maker refers to ``Competitive Market Makers'' and ``Primary Market Makers'' collectively. See Rule 100(a)(25). \7\ A ``Non-ISE Gemini Market Maker'' is a market maker as defined in Section 3(a)(38) of the Securities Exchange Act of 1934, as amended, registered in the same options class on another options exchange. \8\ A ``Firm Proprietary'' order is an order submitted by a member for its own proprietary account. \9\ A ``Broker-Dealer'' order is an order submitted by a member for a broker-dealer account that is not its own proprietary account. \10\ A ``Professional Customer'' is a person or entity that is not a broker/dealer and is not a Priority Customer. \11\ The Exchange notes that there will be no Tier 5 Market Maker discount when trading against a Priority Customer. --------------------------------------------------------------------------- 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the provisions of Section 6 of the Act,\12\ in general, and Section 6(b)(4) of the Act,\13\ in particular, in that it is designed to provide for the equitable allocation of reasonable dues, fees, and other charges among its members and other persons using its facilities. --------------------------------------------------------------------------- \12\ 15 U.S.C. 78f. \13\ 15 U.S.C. 78f(b)(4). --------------------------------------------------------------------------- The Exchange believes that it is reasonable and equitable to increase the rebates offered to Priority Customer orders in Penny Symbols and SPY, as the proposed change is designed to attract additional Priority Customer volume to the Exchange. The Exchange already provides enhanced rebates for Priority Customer orders, and believes that further increasing the rebates will incentivize members to send additional Priority Customer order flow to ISE Gemini, creating additional liquidity to the benefit of all members that trade on the Exchange. The Exchange further believes that it is reasonable and equitable to increase the fee charged to non-Priority Customers that trade against a Priority Customer order as this change is designed to offset the enhanced rebates offered to incentivize the other side of the trade. As explained above, the Exchange believes that all members will benefit from the additional liquidity created by the higher Priority Customer rebates. Furthermore, the proposed taker fee for non- Priority Customer orders trading against a Priority Customer is within the range of fees charged by other options exchanges, including the BOX Options Exchange (``BOX''), which charges as much as $0.59 per contract for non-customer orders in penny pilot symbols that trade against a public customer.\14\ --------------------------------------------------------------------------- \14\ See BOX Fee Schedule, Section 1, Exchange Fees, A. Non- Auction Transactions. --------------------------------------------------------------------------- In addition, while the Exchange is increasing Priority Customer rebates as well as corresponding fees for non-Priority Customers trading against Priority Customer orders, the Exchange does not believe that these proposed changes are unfairly discriminatory. As has historically been the case, Priority Customer orders remain entitled to more favorable fees and rebates than other market participants in order to encourage this order flow. A Priority Customer is by definition not a broker or dealer in securities, and does not place more than 390 orders in listed options per day on average during a calendar month for its own beneficial account(s). This limitation does not apply to participants whose behavior is substantially similar to that of market professionals, including Professional Customers, who will generally submit a higher number of orders (many of which do not result in executions) than Priority Customers. B. Self-Regulatory Organization's Statement on Burden on Competition In accordance with Section 6(b)(8) of the Act,\15\ the Exchange does not believe that the proposed rule change will impose any burden on intermarket or intramarket competition that is not necessary or appropriate in furtherance of the purposes of the Act. The proposed changes to fees and rebates in Penny Symbols and SPY are designed to attract additional order flow to the Exchange. The Exchange believes that the proposed fees and rebates are competitive with fees and rebates offered to orders executed on other options exchanges. The Exchange operates in a highly competitive market in which market participants can readily direct their order flow to competing venues. In such an environment, the Exchange must continually review, and consider adjusting, its fees and rebates to remain competitive with other exchanges. For the reasons described above, the Exchange believes that the proposed fee changes reflect this competitive environment. --------------------------------------------------------------------------- \15\ 15 U.S.C. 78f(b)(8). --------------------------------------------------------------------------- C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange has not solicited, and does not intend to solicit, comments on this proposed rule change. The Exchange has not received any unsolicited written comments from members or other interested parties. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act,\16\ and subparagraph (f)(2) of Rule 19b-4 thereunder,\17\ because it establishes a due, fee, or other charge imposed by ISE Gemini. --------------------------------------------------------------------------- \16\ 15 U.S.C. 78s(b)(3)(A)(ii). \17\ 17 CFR 240.19b-4(f)(2). --------------------------------------------------------------------------- At any time within 60 days of the filing of such 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 shall institute proceedings to determine whether the proposed rule should be approved or disapproved. 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 CommentsUse 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-ISEGemini-2015-06 on the subject line. Paper Comments Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-ISEGemini-2015-06. This file number should be included on the [[Page 14421]] 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 office 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-ISEGemini-2015-06, and should be submitted on or before April 9, 2015. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\18\ --------------------------------------------------------------------------- \18\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Brent J. Fields, Secretary. [FR Doc. 2015-06263 Filed 3-18-15; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 53 / Thursday, March 19, 2015 / Notices 14419
Commission, Office of FOIA Services, recordkeeping and retention comments on the proposed rule change
100 F Street NE., Washington, DC requirements under Rules 17Ad–6 and from interested persons.
20549–2736. 17Ad–7 are mandatory to assist the
I. Self-Regulatory Organization’s
Extension: Rules 17Ad–6 and 17Ad–7. Commission and other regulatory
Statement of the Terms of the Substance
SEC File No. 270–151, OMB Control No. agencies with monitoring transfer agents
of the Proposed Rule Change
3235–0291. and ensuring compliance with the rules.
These rules do not involve the ISE Gemini proposes to amend the
Notice is hereby given that pursuant Schedule of Fees as described in more
collection of confidential information.
to the Paperwork Reduction Act of 1995 detail below. The text of the proposed
An agency may not conduct or
(44 U.S.C. 3501 et seq.) the Securities rule change is available on the
sponsor, and a person is not required to
and Exchange Commission Exchange’s Internet Web site at http://
respond to, a collection of information
(‘‘Commission’’) has submitted to the www.ise.com, at the principal office of
under the PRA unless it displays a
Office of Management and Budget the Exchange, and at the Commission’s
currently valid OMB control number.
(‘‘OMB’’) a request for approval of Public Reference Room.
The public may view background
extension of the existing collection of
documentation for this information II. Self-Regulatory Organization’s
information provided for in the
collection at the following Web site: Statement of the Purpose of, and
following rules: Rule 17Ad–6 (17 CFR
www.reginfo.gov. Comments should be Statutory Basis for, the Proposed Rule
240.17Ad–6) and Rule 17Ad–7 (17 CFR
directed to: (i) Desk Officer for the Change
240.17Ad–7) under the Securities
Securities and Exchange Commission,
Exchange Act of 1934 (15 U.S.C. 78a et In its filing with the Commission, the
Office of Information and Regulatory
seq.) (‘‘Exchange Act’’). Exchange included statements
Rule 17Ad–6 under the Exchange Act Affairs, Office of Management and
concerning the purpose of, and basis for,
requires every registered transfer agent Budget, Room 10102, New Executive
the proposed rule change and discussed
to make and keep current records about Office Building, Washington, DC 20503,
any comments it received on the
a variety of information, such as: (1) or by sending an email to: Shagufta_ proposed rule change. The text of these
Specific operational data regarding the Ahmed@omb.eop.gov; and (ii) Pamela statements may be examined at the
time taken to perform transfer agent Dyson, Director/Chief Information places specified in Item IV below. The
activities (to ensure compliance with Officer, Securities and Exchange self-regulatory organization has
the minimum performance standards in Commission, c/o Remi Pavlik-Simon, prepared summaries, set forth in
Rule 17Ad–2 (17 CFR 240.17Ad–2)); (2) 100 F Street NE., Washington, DC Sections A, B and C below, of the most
written inquiries and requests by 20549, or by sending an email to: PRA_ significant aspects of such statements.
shareholders and broker-dealers and Mailbox@sec.gov. Comments must be
submitted to OMB within 30 days of A. Self-Regulatory Organization’s
response time thereto; (3) resolutions, Statement of the Purpose of, and
contracts, or other supporting this notice.
Statutory Basis for, the Proposed Rule
documents concerning the appointment Dated: March 13, 2015.
Change
or termination of the transfer agent; (4) Brent J. Fields,
stop orders or notices of adverse claims Secretary. 1. Purpose
to the securities; and (5) all canceled [FR Doc. 2015–06316 Filed 3–18–15; 8:45 am] The Exchange proposes to amend the
registered securities certificates. BILLING CODE 8011–01–P Schedule of Fees to increase Priority
Rule 17Ad–7 under the Exchange Act Customer 3 rebates in Penny Symbols 4
requires each registered transfer agent to and SPY as well as related fees for non-
retain the records specified in Rule SECURITIES AND EXCHANGE Priority Customer orders trading against
17Ad–6 in an easily accessible place for COMMISSION Priority Customer orders in these
a period of six months to six years, symbols.
depending on the type of record or [Release No. 34–74505; File No. SR–
ISEGemini–2015–06] Currently, Priority Customer orders
document. Rule 17Ad–7 also specifies that add liquidity on ISE Gemini are
the manner in which records may be Self-Regulatory Organizations; ISE provided a maker rebate in Penny
maintained using electronic, microfilm, Gemini, LLC; Notice of Filing and Symbols and SPY of $0.25 per contract
and microfiche storage methods. Immediate Effectiveness of Proposed for Tier 1,5 $0.40 per contract for Tier
These recordkeeping requirements are Rule Change To Amend the Schedule 2, $0.46 per contract for Tier 3, $0.48
designed to ensure that all registered of Fees per contract for Tier 4, and $0.50 per
transfer agents are maintaining the contract for Tier 5. In order to
records necessary for transfer agents to March 13, 2015. incentivize members to bring their
monitor and keep control over their own Pursuant to Section 19(b)(1) of the Priority Customer orders to ISE Gemini,
performance and for the Commission to Securities Exchange Act of 1934 (the the Exchange now proposes to provide
adequately examine registered transfer ‘‘Act’’),1 and Rule 19b–4 thereunder,2 higher maker rebates to members that
agents on an historical basis for notice is hereby given that on March 2, achieve Tier 3 or higher. In particular,
compliance with applicable rules. 2015, ISE Gemini, LLC (the ‘‘Exchange’’ the Exchange proposes to increase the
The Commission estimates that or ‘‘ISE Gemini’’) filed with the
approximately 429 registered transfer Securities and Exchange Commission 3 A ‘‘Priority Customer’’ is a person or entity that
agents will spend a total of 214,500 (the ‘‘Commission’’) the proposed rule is not a broker/dealer in securities, and does not
place more than 390 orders in listed options per day
hours per year complying with Rules change, as described in Items I, II, and
Rmajette on DSK2VPTVN1PROD with NOTICES
on average during a calendar month for its own
17Ad–6 and 17Ad–7 (500 hours per year III below, which items have been beneficial account(s), as defined in Rule
per transfer agent). prepared by the self-regulatory 100(a)(37A).
The retention period under Rule organization. The Commission is 4 ‘‘Penny Symbols’’ are options overlying all
17Ad–7 for the recordkeeping symbols listed on ISE Gemini that are in the Penny
publishing this notice to solicit Pilot Program.
requirements under Rule 17Ad–6 is six 5 This rebate is $0.32 per contract for members
months to six years, depending on the 1 15 U.S.C. 78s(b)(1). that execute a Priority Customer Maker ADV of
particular record or document. The 2 17 CFR 240.19b–4. 5,000 to 19,999 contracts in a given month.
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![Federal Register / Vol. 80, No. 53 / Thursday, March 19, 2015 / Notices 14421
subject line if email is used. To help the (‘‘NYSE’’) and NYSE MKT LLC 2 Commission.8 For this reason and the
Commission process and review your (‘‘NYSE MKT’’ and, together with reasons stated in the Order originally
comments more efficiently, please use NYSE, the ‘‘Exchanges’’) limited granting the limited exemptions, the
only one method. The Commission will exemptions from the Sub-Penny Rule in Commission finds that extending the
post all comments on the Commission’s connection with the operation of the exemptions, pursuant to its authority
Internet Web site (http://www.sec.gov/ Exchanges’ respective Retail Liquidity under Rule 612(c) of Regulation NMS, is
rules/sro.shtml). Copies of the Programs (the ‘‘Programs’’).3 The appropriate in the public interest and
submission, all subsequent limited exemptions were granted consistent with the protection of
amendments, all written statements concurrently with the Commission’s investors.
with respect to the proposed rule approval of the Exchanges’ proposals to Therefore, it is hereby ordered that,
change that are filed with the adopt their respective Programs for one- pursuant to Rule 612(c) of Regulation
Commission, and all written year pilot terms.4 The exemptions were NMS, each Exchange is granted a
communications relating to the granted coterminous with the limited exemption from Rule 612 of
proposed rule change between the effectiveness of the pilot Programs; both Regulation NMS that allows it to accept
Commission and any person, other than the pilot Programs and exemptions are and rank orders priced equal to or
those that may be withheld from the scheduled to expire on March 31, 2015.5 greater than $1.00 per share in
public in accordance with the The Exchanges now seek to extend increments of $0.001, in connection
provisions of 5 U.S.C. 552, will be the exemptions until September 30, with the operation of its Retail Liquidity
available for Web site viewing and 2015.6 The Exchanges’ request was Program, until September 30, 2015.
printing in the Commission’s Public made in conjunction with immediately The limited and temporary
Reference Room, 100 F Street NE., effective filings that extend the exemptions extended by this Order are
Washington, DC 20549 on official operation of the Programs through the subject to modification or revocation if
business days between the hours of same date.7 In their request to extend at any time the Commission determines
10:00 a.m. and 3:00 p.m. Copies of such the exemptions, the Exchanges note that that such action is necessary or
filing also will be available for the participation in the Programs has appropriate in furtherance of the
inspection and copying at the principal increased more recently. Accordingly, purposes of the Securities Exchange Act
office of the Exchange. All comments the Exchanges have asked for additional of 1934. Responsibility for compliance
received will be posted without change; time to allow themselves and the with any applicable provisions of the
the Commission does not edit personal Commission to analyze more robust data Federal securities laws must rest with
identifying information from concerning the Programs, which the the persons relying on the exemptions
submissions. You should submit only Exchanges committed to provide to the that are the subject of this Order.
information that you wish to make 2 At the time it filed the original proposal to adopt For the Commission, by the Division of
available publicly. All submissions the Retail Liquidity Program, NYSE MKT went by Trading and Markets, pursuant to delegated
should refer to File Number SR– the name NYSE Amex LLC. On May 14, 2012, the authority.9
ISEGemini–2015–06, and should be Exchange filed a proposed rule change, Brent J. Fields,
submitted on or before April 9, 2015. immediately effective upon filing, to change its
name from NYSE Amex LLC to NYSE MKT LLC. Secretary.
For the Commission, by the Division of See Securities Exchange Act Release No. 67037 [FR Doc. 2015–06265 Filed 3–18–15; 8:45 am]
Trading and Markets, pursuant to delegated (May 21, 2012), 77 FR 31415 (May 25, 2012) (SR–
BILLING CODE 8011–01–P
authority.18 NYSEAmex–2012–32).
3 See Securities Exchange Act Release No. 67347
Brent J. Fields, (July 3, 2012), 77 FR 40673 (July 10, 2012) (SR–
Secretary. NYSE–2011–55; SR–NYSEAmex–2011–84) SECURITIES AND EXCHANGE
[FR Doc. 2015–06263 Filed 3–18–15; 8:45 am] (‘‘Order’’). COMMISSION
4 See id.
BILLING CODE 8011–01–P
5 The pilot term of the Programs was originally [Release No. 34–74496; File No. SR–MIAX–
scheduled to end on July 31, 2013, but the 2015–03]
Exchanges initially extended the term for an
SECURITIES AND EXCHANGE additional year, through July 31, 2014, see Self-Regulatory Organizations; Miami
COMMISSION Securities Exchange Act Release Nos. 70096
(August 2, 2013), 78 FR 48520 (August 8, 2013) International Securities Exchange LLC;
[Release No. 34–74507; File Nos. SR–NYSE– (SR–NYSE–2013–48), and 70100 (August 2, 2013), Order Granting Approval to Proposed
2011–55; SR–NYSEAmex–2011–84] 78 FR 48535 (August 8, 2013) (SR–NYSEMKT– Rule Change, as Modified by
2013–60), and then subsequently extended the term Amendment No. 1 Thereto, To Adopt a
again through March 31, 2015, see Securities
Self-Regulatory Organizations; New Exchange Act Release Nos. 72629 (July 16, 2014), ‘‘Risk Protection Monitor’’
York Stock Exchange LLC; NYSE MKT 79 FR 42564 (July 22, 2014) (SR–NYSE–2014–35), Functionality Under Proposed MIAX
LLC; Order Granting an Extension to and 72625 (July 16, 2014), 79 FR 42566 (July 22, Rule 519A and Amend the ‘‘Aggregate
Limited Exemptions From Rule 612(c) 2014) (SR–NYSEMKT–2014–60). Each time the Risk Monitor’’ Functionality Under
pilot term of the Programs was extended, the
of Regulation NMS in Connection With Commission granted the Exchanges’ requests to also MIAX Rule 612
the Exchanges’ Retail Liquidity extend the Sub-Penny Exemption through July 31,
Programs Until September 30, 2015 2014, see Securities Exchange Act Release No. March 13, 2015.
70085 (July 31, 2013), 78 FR 47807 (August 6,
March 13, 2015. 2013), and March 31, 2015, see Securities Exchange
I. Introduction
On July 3, 2012, the Securities and Act Release No. 72732 (July 31, 2014), 79 FR 45851 On January 8, 2015, Miami
(August 6, 2014), respectively.
Exchange Commission (‘‘Commission’’) International Securities Exchange LLC
Rmajette on DSK2VPTVN1PROD with NOTICES
6 See Letter from Martha Redding, Senior
issued an order pursuant to its authority Counsel, NYSE, to Brent J. Fields, Secretary, (‘‘MIAX’’ or ‘‘Exchange’’) filed with the
under Rule 612(c) of Regulation NMS Securities and Exchange Commission, dated Securities and Exchange Commission
(‘‘Sub-Penny Rule’’) 1 that granted the February 27, 2015. (‘‘Commission’’), pursuant to section
7 See Securities Exchange Act Release Nos. 34–
New York Stock Exchange LLC 19(b)(1) of the Securities Exchange Act
74454 (March 6, 2015), 80 FR 13054 (March 12,
2015) (SR–NYSE–2015–10), and 34–74455 (March
18 17 CFR 200.30–3(a)(12). 8 See Order, supra note 3, 77 FR at 40681.
6, 2015), 80 FR 13047 (March 12, 2015) (SR–
1 17 CFR 242.612(c). NYSEMKT–2015–14). 9 17 CFR 200.30–3(a)(83).
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Document Created: 2018-02-21 09:42:25
Document Modified: 2018-02-21 09:42:25
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 80 FR 14419 |
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