80 FR 20049 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 71 (April 14, 2015)

Page Range		20049-20049
FR Document		2015-08630

Federal Register, Volume 80 Issue 71 (Tuesday, April 14, 2015)

[Federal Register Volume 80, Number 71 (Tuesday, April 14, 2015)]
[Notices]
[Page 20049]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-08630]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission will hold a Closed Meeting on Thursday, April 
16, 2015 at 2:00 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries will attend the Closed Meeting. 
Certain staff members who have an interest in the matters also may be 
present.
    The General Counsel of the Commission, or her designee, has 
certified that, in her opinion, one or more of the exemptions set forth 
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 
200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the 
scheduled matter at the Closed Meeting.
    Commissioner Stein, as duty officer, voted to consider the items 
listed for the Closed Meeting in closed session, and determined that no 
earlier notice thereof was possible.
    The subject matter of the Closed Meeting will be:
    Institution of injunctive actions;
    Institution and settlement of administrative proceedings; and
    Other matters relating to enforcement proceedings.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items.
    For further information and to ascertain what, if any, matters have 
been added, deleted or postponed, please contact the Office of the 
Secretary at (202) 551-5400.

    Dated: April 9, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-08630 Filed 4-10-15; 4:15 pm]
 BILLING CODE 8011-01-P

Federal Register / Vol. 80, No. 71 / Tuesday, April 14, 2015 / Notices 20049

those that may be withheld from the Other matters relating to enforcement II. Self-Regulatory Organization’s
public in accordance with the proceedings. Statement of the Purpose of, and
provisions of 5 U.S.C. 552, will be At times, changes in Commission Statutory Basis for, the Proposed Rule
available for Web site viewing and priorities require alterations in the Change
printing in the Commission’s Public scheduling of meeting items. In its filing with the Commission, the
Reference Room, 100 F Street NE., self-regulatory organization included
Washington, DC 20549, on official For further information and to
ascertain what, if any, matters have been statements concerning the purpose of,
business days between the hours of and basis for, the proposed rule change
10:00 a.m. and 3:00 p.m. Copies of such added, deleted or postponed, please
contact the Office of the Secretary at and discussed any comments it received
filings also will be available for on the proposed rule change. The text
inspection and copying at the principal (202) 551–5400.
of those statements may be examined at
office of ICE Clear Credit and on ICE Dated: April 9, 2015. the places specified in Item IV below.
Clear Credit’s Web site at https:// Brent J. Fields, The Exchange has prepared summaries,
www.theice.com/clear-credit/regulation. Secretary. set forth in sections A, B, and C below,
All comments received will be posted [FR Doc. 2015–08630 Filed 4–10–15; 4:15 pm] of the most significant parts of such
without change; the Commission does BILLING CODE 8011–01–P statements.
not edit personal identifying
information from submissions. You A. Self-Regulatory Organization’s
should submit only information that Statement of the Purpose of, and the
SECURITIES AND EXCHANGE
you wish to make available publicly. All Statutory Basis for, the Proposed Rule
COMMISSION
submissions should refer to File Change
Number SR–ICC–2015–008 and should 1. Purpose
[Release No. 34–74677; File No. SR–
be submitted on or before May 5, 2015. NYSEMKT–2015–23] The Exchange proposes to adopt a
For the Commission, by the Division of principles-based approach to prohibit
Trading and Markets, pursuant to delegated Self-Regulatory Organizations; NYSE the misuse of material nonpublic
authority.8 MKT, LLC; Notice of Filing of Proposed information by Specialists and e-
Brent J. Fields, Rule Change Adopting a Principles- Specialists by deleting Rule 927.3NY
Secretary. Based Approach To Prohibit the and section (f) of Rule 927.5NY. In so
[FR Doc. 2015–08448 Filed 4–13–15; 8:45 am] Misuse of Material Nonpublic doing, the Exchange would harmonize
BILLING CODE 8011–01–P
Information by Specialists and e- its rules governing Specialists, e-
Specialists by Deleting Rule 927.3NY Specialists and Market Makers relating
and Section (f) of Rule 927.5NY to protecting against the misuse of
SECURITIES AND EXCHANGE April 8, 2015. material, non-public information. The
COMMISSION Exchange believes that Rules 927.3NY
Pursuant to Section 19(b)(1) 1 of the and 927.5NY(f) are no longer necessary
Sunshine Act Meeting Securities Exchange Act of 1934 (the because all ATP Holders, including
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Specialists and e-Specialists, are subject
Notice is hereby given, pursuant to
notice is hereby given that, on March to the Exchange’s general principles-
the provisions of the Government in the
26, 2015, NYSE MKT LLC (the based requirements governing the
Sunshine Act, Public Law 94–409, that
‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with protection against the misuse of
the Securities and Exchange
the Securities and Exchange material, non-public information,
Commission will hold a Closed Meeting
Commission (the ‘‘Commission’’) the pursuant to Exchange Rules, Part 1—
on Thursday, April 16, 2015 at 2:00 p.m.
Commissioners, Counsel to the proposed rule change as described in General Rules, Rule 3 (General
Commissioners, the Secretary to the Items I, II, and III below, which Items Prohibitions and Duty to Report),
Commission, and recording secretaries have been prepared by the self- section (j) (‘‘Rule 3(j)’’), which obviates
will attend the Closed Meeting. Certain regulatory organization. The the need for separately-prescribed
staff members who have an interest in Commission is publishing this notice to requirements for a subset of market
the matters also may be present. solicit comments on the proposed rule participants on the Exchange.
The General Counsel of the change from interested persons.
Background
Commission, or her designee, has I. Self-Regulatory Organization’s
certified that, in her opinion, one or Statement of the Terms of Substance of The Exchange has three classes of
more of the exemptions set forth in 5 the Proposed Rule Change registered market makers. Pursuant to
U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Rule 920NY(a), a Market Maker is an
and 17 CFR 200.402(a)(3), (5), (7), 9(ii) The Exchange proposes to adopt a ATP holder that is registered with the
and (10), permit consideration of the principles-based approach to prohibit Exchange for the purpose of submitting
scheduled matter at the Closed Meeting. the misuse of material nonpublic quotes electronically and making
Commissioner Stein, as duty officer, information by Specialists and e- transactions as a dealer-specialist
voted to consider the items listed for the Specialists by deleting Rule 927.3NY verbally on the Trading Floor, through
Closed Meeting in closed session, and and section (f) of Rule 927.5NY. The the System from the Trading Floor, or
remotely from off the Trading Floor. As
asabaliauskas on DSK5VPTVN1PROD with NOTICES

determined that no earlier notice thereof text of the proposed rule change is
was possible. available on the Exchange’s Web site at the rule further provides, a Market
The subject matter of the Closed www.nyse.com, at the principal office of Maker can be either a Remote Market
Meeting will be: the Exchange, and at the Commission’s Maker, a Floor Market Maker, a
Institution of injunctive actions; Public Reference Room. Specialist, or an e-Specialist. All Market
Institution and settlement of Makers are subject to the requirements
administrative proceedings; and 1 15 U.S.C.78s(b)(1). of Rule 925NY and 925.1NY, which set
2 15 U.S.C. 78a. forth the obligations of Market Makers,
8 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4. particularly relating to quoting.

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Document Created: 2015-12-18 11:10:25
Document Modified: 2015-12-18 11:10:25

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 20049