80 FR 17801 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the Amended and Restated Certificate of Incorporation of National Stock Exchange Holdings, Inc., the Exchange's Parent Corporation, and the Amended and Restated Certificate of Incorporation of the Exchange

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 63 (April 2, 2015)

Page Range		17801-17803
FR Document		2015-07518

Federal Register, Volume 80 Issue 63 (Thursday, April 2, 2015)

[Federal Register Volume 80, Number 63 (Thursday, April 2, 2015)]
[Notices]
[Pages 17801-17803]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2015-07518]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74597; File No. SR-NSX-2015-01]

Self-Regulatory Organizations; National Stock Exchange, Inc.;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in
Connection With the Amended and Restated Certificate of Incorporation
of National Stock Exchange Holdings, Inc., the Exchange's Parent
Corporation, and the Amended and Restated Certificate of Incorporation
of the Exchange

March 27, 2015.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Exchange Act'' or ``Act'') \1\ and Rule 19b-4 thereunder,\2\
notice is hereby given that on March 19, 2015, National Stock Exchange,
Inc. (``NSX[supreg]'' or the ``Exchange'') 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
substantially prepared by the Exchange. The Exchange has designated
this rule proposal as ``non-controversial'' pursuant to Section
19(b)(3)(A) of the Act \3\ and Rule 19b-4(f)(6)(iii) thereunder.\4\ The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ 17 CFR 240.19b-4(f)(6)(iii).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

The Exchange is filing the instant rule amendment to effectuate
ministerial, non-substantive amendments to (i) the certificate of
incorporation of National Stock Exchange Holdings, Inc. (``NSX
Holdings''), a Delaware corporation that owns all of the issued and
outstanding shares of NSX; and (ii) the certificate of incorporation of
NSX. The text of the proposed change to the NSX Holdings certificate of
incorporation is attached as Exhibit 5A and the text of the proposed
change to the NSX certificate of incorporation is attached as Exhibit
5B.

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 self-regulatory organization
included

[[Page 17802]]

statements concerning the purpose of, and statutory basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts 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 is proposing to make ministerial, non-substantive
amendments to the certificates of incorporation of NSX Holdings and of
NSX. The Exchange is proposing these amendments in order to satisfy the
requirements of the Delaware General Corporation Law (the ``DGCL'') and
correct technical defects in those documents. The Exchange previously
submitted to the Commission (i) a proposed ``Second Amended and
Restated Certificate of Incorporation for National Stock Exchange
Holdings, Inc.'' (the ``Holdings Amended Certificate''); and (ii) a
proposed ``Second Amended and Restated Certificate of Incorporation for
National Stock Exchange, Inc.'' (the ``NSX Amended Certificate''). Both
of these documents were submitted to the Commission as part of a rule
filing seeking approval of a transaction in which NSX Holdings
purchased all of the outstanding shares of NSX from the CBOE Stock
Exchange, LLC.\5\ The Commission granted its approval of the proposed
transaction on February 13, 2015 \6\ and the transaction closed on
February 18, 2015.
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\5\ See Securities Exchange Act Release No. 73944 (December 24,
2014), 80 FR 85 (January 2, 2015) (SR-NSX-2014-017).
\6\ See Securities Exchange Act Release No. 74270 (February 13,
2015), 80 FR 9286 (February 20, 2015) (``Order Granting Approval of
Proposed Rule Change in Connection With a Proposed Transaction in
Which National Stock Exchange Holdings, Inc. Will Acquire Ownership
of the Exchange from the CBOE Stock Exchange, LLC'').
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In connection with filing the Holdings Amended Certificate and the
NSX Amended Certificate with the Delaware Secretary of State, the
Exchange became aware that the titles of both documents, as filed with
and approved by the Commission, were not correct and would not be
acceptable for filing. Specifically, the Holdings Amended Certificate
was incorrectly titled as the ``Second Amended and Restated Certificate
of Incorporation'' because, as described below, a prior amendment to
the Holdings certificate of incorporation through a ``Certificate of
Amendment to the Certificate of Incorporation'' (the ``Certificate of
Amendment'') did not constitute an amendment and restatement of the NSX
Holdings certificate of incorporation under the DGCL. Accordingly, as
proposed, the Holdings Amended Certificate will be entitled ``Amended
and Restated Certificate of Incorporation for National Stock Exchange
Holdings, Inc.'' The NSX Amended Certificate will be entitled ``Amended
and Restated Certificate of Incorporation of National Stock Exchange,
Inc.'' because the Exchange had previously filed with the Delaware
Secretary of State an amended and restated certificate of incorporation
which would have been deemed a ``second'' amended and restated
certificate of incorporation, although it had not been titled as such.
The Exchange also proposes to make conforming amendments to the text of
each document.
NSX Holdings was incorporated in the State of Delaware on August
19, 2014. The original certificate of incorporation for NSX Holdings
was amended on October 2, 2014 with the filing of the Certificate of
Amendment with the Delaware Secretary of State. The Certificate of
Amendment increased the total number of shares of common stock that NSX
Holdings was authorized to issue from 10,000 shares to 100,000 shares
with a par value of $0.01 but made no other changes to the certificate
of incorporation. Prior to the filing of the Holdings Amended
Certificate with the Delaware Secretary of State, the Exchange became
aware that, under the DGCL, the document should properly be entitled
``Amended and Restated Certificate of Incorporation'' because it seeks
to: (i) Integrate into a single instrument all of the provisions of NSX
Holdings' certificate of incorporation and the Certificate of
Amendment; and (ii) further amend NSX Holdings' certificate of
incorporation.\7\ Since NSX Holdings had not previously filed an
``Amended and Restated Certificate of Incorporation'' with the Delaware
Secretary of State, but had only filed the Certificate of Amendment
increasing the authorized shares that NSX Holdings was permitted to
issue, the Holdings Amended Certificate in its present form, as filed
with and approved by the Commission, would not be accepted for filing.
Accordingly, the Exchange seeks approval for NSX Holdings to modify the
form of the Holdings Amended Certificate that it proposes to file with
the Delaware Secretary of State by changing the title and making
certain conforming amendments in the text of the document. The Exchange
also proposes to eliminate references in the introductory paragraph of
the Holdings Amended Certificate to the October 2, 2014 amendment of
the original certificate of incorporation through the Certificate of
Amendment, because such references are not necessary for purposes of
the DGCL.
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\7\ Specifically, Section 245(a) of the DGCL provides that ``[a]
corporation may, whenever desired, integrate into a single
instrument all of the provisions of its certificate of incorporation
which are then in effect and operative as a result of there having
theretofore been filed with the Secretary of State [one] or more
certificates or other instruments . . . and it may at the same time
also further amend its certificate of incorporation by adopting a
restated certificate of incorporation.''
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With respect to the NSX Amended Certificate, the Exchange became
aware that entitling it the ``Second Amended and Restated Certificate
of Incorporation'' was not correct because a document meeting the
definition of a second amended and restated certificate of
incorporation had previously been filed with the Delaware Secretary of
State, even though it had not been specifically entitled as such.\8\ On
February 18, 2015, the NSX Amended Certificate, in the form approved by
the Commission was submitted for filing to the Delaware Secretary of
State. The Delaware Secretary of State refused to accept the NSX
Amended Certificate unless it was modified to eliminate the reference
to it being the ``Second'' Amended and Restated Certificate of
Incorporation. The title of the document was changed and conforming
modifications were made to the text. The NSX Amended Certificate was
accepted by and successfully filed with the Delaware Secretary of
State.
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\8\ On December 30, 2011, the Exchange filed an ``Amended and
Restated Certificate of Incorporation of National Stock Exchange,
Inc.'' with the Delaware Secretary of State. As stated therein, the
original Certificate of Incorporation was filed on December 12, 2005
and was restated on June 29, 2006.
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Accordingly, the Exchange is proposing to amend the NSX Amended
Certificate previously filed with, and approved by, the Commission by
entitling the NSX Amended Certificate as the ``Amended and Restated
Certificate of Incorporation of National Stock Exchange, Inc.'' and
making conforming amendments to the text of the document. In so doing,
the Exchange seeks to fully comply with DGCL and with the Exchange Act.
The Exchange notes that the proposed changes to the Holdings Amended
Certificate and the NSX Amended Certificate are

[[Page 17803]]

ministerial and do not affect the substance of either document.
2. Statutory Basis
The Exchange believes that its rule proposal is consistent with
Section 6(b) of the Exchange Act, in general, and Section 6(b)(5) of
the Exchange Act, in particular, because the proposed change will align
the charter documents of NSX Holdings and of the Exchange with the
specific requirements of the DGCL. The Exchange's proposal to make non-
substantive changes to the Holdings Amended Certificate and the NSX
Amended Certificate furthers the purposes of Section 6(b)(5) of the Act
to, among other things, prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, 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. The proposed changes are ministerial, do not affect
the substance of either document and are necessary to assure that
charter documents of NSX Holdings and of the Exchange meet the Delaware
statutory requirements.

B. Self-Regulatory Organization's Statement on Burden on Competition

The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
for the furtherance of the Act. The proposed rule change is not
designed to address any competitive issue in the U.S. securities
markets or have any impact on competition in those markets because it
is intended to correct technical defects in the form of the
certificates of incorporation of NSX Holdings and of the Exchange.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

The Exchange has not solicited or received comments on the proposed
rule change from market participants or others.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

Because the foregoing proposed rule change does not:
A. Significantly affect the protection of investors or the public
interest;
B. impose any significant burden on competition; and
C. become operative for 30 days from the date on which it was
filed, or such shorter time as the Commission may designate, it has
become effective pursuant to Section 19(b)(3)(A) of the Act \9\ and
Rule 19b-4(f)(6) \10\ thereunder.
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\9\ 15 U.S.C. 78s(b)(3)(A).
\10\ 17 CFR 240.19b-4(f)(6).
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At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission will institute proceedings to
determine whether the proposed rule change 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 Comments

Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
Send an email to rule-comments@sec.gov. Please include
File Number SR-NSX-2015-01 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-NSX-2015-01. 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 the 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-NSX-2015-01 and should be
submitted on or before April 23, 2015.

For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
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\11\ 17 CFR 200.30-3(a)(12).
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Brent J. Fields,
Secretary.
[FR Doc. 2015-07518 Filed 4-1-15; 8:45 am]
BILLING CODE CODE 8011-01-P

17802 Federal Register / Vol. 80, No. 63 / Thursday, April 2, 2015 / Notices

statements concerning the purpose of, described below, a prior amendment to was permitted to issue, the Holdings
and statutory basis for, the proposed the Holdings certificate of incorporation Amended Certificate in its present form,
rule change and discussed any through a ‘‘Certificate of Amendment to as filed with and approved by the
comments it received on the proposed the Certificate of Incorporation’’ (the Commission, would not be accepted for
rule change. The text of those ‘‘Certificate of Amendment’’) did not filing. Accordingly, the Exchange seeks
statements may be examined at the constitute an amendment and approval for NSX Holdings to modify
places specified in Item IV below. The restatement of the NSX Holdings the form of the Holdings Amended
Exchange has prepared summaries, set certificate of incorporation under the Certificate that it proposes to file with
forth in sections A, B, and C below, of DGCL. Accordingly, as proposed, the the Delaware Secretary of State by
the most significant parts of such Holdings Amended Certificate will be changing the title and making certain
statements. entitled ‘‘Amended and Restated conforming amendments in the text of
A. Self-Regulatory Organization’s Certificate of Incorporation for National the document. The Exchange also
Statement of the Purpose of, and Stock Exchange Holdings, Inc.’’ The proposes to eliminate references in the
Statutory Basis for, the Proposed Rule NSX Amended Certificate will be introductory paragraph of the Holdings
Change entitled ‘‘Amended and Restated Amended Certificate to the October 2,
Certificate of Incorporation of National 2014 amendment of the original
1. Purpose Stock Exchange, Inc.’’ because the certificate of incorporation through the
The Exchange is proposing to make Exchange had previously filed with the Certificate of Amendment, because such
ministerial, non-substantive Delaware Secretary of State an amended references are not necessary for
amendments to the certificates of and restated certificate of incorporation purposes of the DGCL.
incorporation of NSX Holdings and of which would have been deemed a With respect to the NSX Amended
NSX. The Exchange is proposing these ‘‘second’’ amended and restated Certificate, the Exchange became aware
amendments in order to satisfy the certificate of incorporation, although it that entitling it the ‘‘Second Amended
requirements of the Delaware General had not been titled as such. The and Restated Certificate of
Corporation Law (the ‘‘DGCL’’) and Exchange also proposes to make Incorporation’’ was not correct because
correct technical defects in those conforming amendments to the text of a document meeting the definition of a
documents. The Exchange previously each document. second amended and restated certificate
submitted to the Commission (i) a NSX Holdings was incorporated in of incorporation had previously been
proposed ‘‘Second Amended and the State of Delaware on August 19, filed with the Delaware Secretary of
Restated Certificate of Incorporation for 2014. The original certificate of State, even though it had not been
National Stock Exchange Holdings, incorporation for NSX Holdings was specifically entitled as such.8 On
Inc.’’ (the ‘‘Holdings Amended amended on October 2, 2014 with the February 18, 2015, the NSX Amended
Certificate’’); and (ii) a proposed filing of the Certificate of Amendment Certificate, in the form approved by the
‘‘Second Amended and Restated with the Delaware Secretary of State. Commission was submitted for filing to
Certificate of Incorporation for National The Certificate of Amendment increased the Delaware Secretary of State. The
Stock Exchange, Inc.’’ (the ‘‘NSX the total number of shares of common Delaware Secretary of State refused to
Amended Certificate’’). Both of these stock that NSX Holdings was authorized accept the NSX Amended Certificate
documents were submitted to the to issue from 10,000 shares to 100,000 unless it was modified to eliminate the
Commission as part of a rule filing shares with a par value of $0.01 but reference to it being the ‘‘Second’’
seeking approval of a transaction in made no other changes to the certificate Amended and Restated Certificate of
which NSX Holdings purchased all of of incorporation. Prior to the filing of Incorporation. The title of the document
the outstanding shares of NSX from the the Holdings Amended Certificate with was changed and conforming
CBOE Stock Exchange, LLC.5 The the Delaware Secretary of State, the modifications were made to the text.
Commission granted its approval of the Exchange became aware that, under the The NSX Amended Certificate was
proposed transaction on February 13, DGCL, the document should properly be accepted by and successfully filed with
2015 6 and the transaction closed on entitled ‘‘Amended and Restated the Delaware Secretary of State.
February 18, 2015. Certificate of Incorporation’’ because it Accordingly, the Exchange is
In connection with filing the Holdings seeks to: (i) Integrate into a single proposing to amend the NSX Amended
Amended Certificate and the NSX instrument all of the provisions of NSX Certificate previously filed with, and
Amended Certificate with the Delaware Holdings’ certificate of incorporation approved by, the Commission by
Secretary of State, the Exchange became and the Certificate of Amendment; and entitling the NSX Amended Certificate
aware that the titles of both documents, (ii) further amend NSX Holdings’ as the ‘‘Amended and Restated
as filed with and approved by the certificate of incorporation.7 Since NSX Certificate of Incorporation of National
Commission, were not correct and Holdings had not previously filed an Stock Exchange, Inc.’’ and making
would not be acceptable for filing. ‘‘Amended and Restated Certificate of conforming amendments to the text of
Specifically, the Holdings Amended Incorporation’’ with the Delaware the document. In so doing, the Exchange
Certificate was incorrectly titled as the Secretary of State, but had only filed the seeks to fully comply with DGCL and
‘‘Second Amended and Restated Certificate of Amendment increasing the with the Exchange Act. The Exchange
Certificate of Incorporation’’ because, as authorized shares that NSX Holdings notes that the proposed changes to the
5 See Securities Exchange Act Release No. 73944
Holdings Amended Certificate and the
7 Specifically, Section 245(a) of the DGCL
(December 24, 2014), 80 FR 85 (January 2, 2015)
NSX Amended Certificate are
provides that ‘‘[a] corporation may, whenever
tkelley on DSK3SPTVN1PROD with NOTICES

(SR–NSX–2014–017). desired, integrate into a single instrument all of the
6 See Securities Exchange Act Release No. 74270 provisions of its certificate of incorporation which 8 On December 30, 2011, the Exchange filed an

(February 13, 2015), 80 FR 9286 (February 20, 2015) are then in effect and operative as a result of there ‘‘Amended and Restated Certificate of Incorporation
(‘‘Order Granting Approval of Proposed Rule having theretofore been filed with the Secretary of of National Stock Exchange, Inc.’’ with the
Change in Connection With a Proposed Transaction State [one] or more certificates or other instruments Delaware Secretary of State. As stated therein, the
in Which National Stock Exchange Holdings, Inc. . . . and it may at the same time also further amend original Certificate of Incorporation was filed on
Will Acquire Ownership of the Exchange from the its certificate of incorporation by adopting a December 12, 2005 and was restated on June 29,
CBOE Stock Exchange, LLC’’). restated certificate of incorporation.’’ 2006.

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Federal Register / Vol. 80, No. 63 / Thursday, April 2, 2015 / Notices 17803

ministerial and do not affect the designate, it has become effective 10:00 a.m. and 3:00 p.m. Copies of the
substance of either document. pursuant to Section 19(b)(3)(A) of the filing also will be available for
Act 9 and Rule 19b–4(f)(6) 10 thereunder. inspection and copying at the principal
2. Statutory Basis At any time within 60 days of the office of the Exchange. All comments
The Exchange believes that its rule filing of the proposed rule change, the received will be posted without change;
proposal is consistent with Section 6(b) Commission summarily may the Commission does not edit personal
of the Exchange Act, in general, and temporarily suspend such rule change if identifying information from
Section 6(b)(5) of the Exchange Act, in it appears to the Commission that such submissions. You should submit only
particular, because the proposed change action is necessary or appropriate in the information that you wish to make
will align the charter documents of NSX public interest, for the protection of available publicly. All submissions
Holdings and of the Exchange with the investors, or otherwise in furtherance of
specific requirements of the DGCL. The should refer to File Number SR–NSX–
the purposes of the Act. If the
Exchange’s proposal to make non- 2015–01 and should be submitted on or
Commission takes such action, the
substantive changes to the Holdings Commission will institute proceedings before April 23, 2015.
Amended Certificate and the NSX to determine whether the proposed rule For the Commission, by the Division of
Amended Certificate furthers the change should be approved or Trading and Markets, pursuant to delegated
purposes of Section 6(b)(5) of the Act to, disapproved. authority.11
among other things, prevent fraudulent Brent J. Fields,
IV. Solicitation of Comments
and manipulative acts and practices, to Secretary.
promote just and equitable principles of Interested persons are invited to
[FR Doc. 2015–07518 Filed 4–1–15; 8:45 am]
trade, to remove impediments to, and submit written data, views and
arguments concerning the foregoing, BILLING CODE CODE 8011–01–P
perfect the mechanism of a free and
open market and a national market including whether the proposed rule
system and, in general, to protect change is consistent with the Act.
Comments may be submitted by any of SECURITIES AND EXCHANGE
investors and the public interest. The
proposed changes are ministerial, do not the following methods: COMMISSION
affect the substance of either document Electronic Comments
and are necessary to assure that charter [File No. 500–1]
documents of NSX Holdings and of the • Use the Commission’s Internet
Exchange meet the Delaware statutory comment form (http://www.sec.gov/ Order of Suspension of Trading; Earth
requirements. rules/sro.shtml); or Dragon Resources, Inc.
• Send an email to rule-comments@
B. Self-Regulatory Organization’s sec.gov. Please include File Number SR– March 31, 2015.
Statement on Burden on Competition NSX–2015–01 on the subject line. It appears to the Securities and
The Exchange does not believe that Paper Comments Exchange Commission that there is a
the proposed rule change will impose lack of current and accurate information
• Send paper comments in triplicate
any burden on competition that is not concerning the securities of Earth
to Secretary, Securities and Exchange
necessary or appropriate for the Dragon Resources, Inc. (‘‘Earth Dragon’’)
Commission, 100 F Street NE.,
furtherance of the Act. The proposed because it has not filed a periodic report
Washington, DC 20549–1090.
rule change is not designed to address since it filed its Form 10–Q for the
any competitive issue in the U.S. All submissions should refer to File
Number SR–NSX–2015–01. This file period ending August 31, 2011, filed on
securities markets or have any impact October 3, 2012. Earth Dragon’s
on competition in those markets number should be included on the
subject line if email is used. To help the common stock (ticker ‘‘EARH’’) is
because it is intended to correct quoted on OTC Link (previously ‘‘Pink
technical defects in the form of the Commission process and review your
comments more efficiently, please use Sheets’’) operated by OTC Markets
certificates of incorporation of NSX
only one method. The Commission will Group, Inc.
Holdings and of the Exchange.
post all comments on the Commission’s The Commission is of the opinion that
C. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ the public interest and the protection of
Statement on Comments on the rules/sro.shtml). Copies of the investors require a suspension of trading
Proposed Rule Change Received From submission, all subsequent in the securities of Earth Dragon.
Members, Participants, or Others amendments, all written statements
with respect to the proposed rule Therefore, it is ordered, pursuant to
The Exchange has not solicited or Section 12(k) of the Securities Exchange
received comments on the proposed change that are filed with the
Commission, and all written Act of 1934, that trading in the
rule change from market participants or
communications relating to the securities of Earth Dragon is suspended
others.
proposed rule change between the for the period from 9:30 a.m. EDT on
III. Date of Effectiveness of the Commission and any person, other than March 31, 2015 through 11:59 p.m. EDT
Proposed Rule Change and Timing for those that may be withheld from the on April 14, 2015.
Commission Action public in accordance with the By the Commission.
Because the foregoing proposed rule provisions of 5 U.S.C. 552, will be Jill M. Peterson,
change does not: available for Web site viewing and
Assistant Secretary.
tkelley on DSK3SPTVN1PROD with NOTICES

A. Significantly affect the protection printing in the Commission’s Public
of investors or the public interest; [FR Doc. 2015–07674 Filed 3–31–15; 4:15 pm]
Reference Room, 100 F Street NE.,
B. impose any significant burden on Washington, DC 20549, on official BILLING CODE CODE 8011–01–P
competition; and business days between the hours of
C. become operative for 30 days from
the date on which it was filed, or such 9 15 U.S.C. 78s(b)(3)(A).
shorter time as the Commission may 10 17 CFR 240.19b–4(f)(6). 11 17 CFR 200.30–3(a)(12).

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Document Created: 2018-02-21 10:03:54
Document Modified: 2018-02-21 10:03:54

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 17801