80 FR 31427 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 105 (June 2, 2015)

Page Range		31427-31429
FR Document		2015-13173
Federal Register, Volume 80 Issue 105 (Tuesday, June 2, 2015)
[Federal Register Volume 80, Number 105 (Tuesday, June 2, 2015)]
[Notices]
[Pages 31427-31429]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-13173]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75051; File No. SR-BX-2015-030]


Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of 
Filing of Proposed Rule Change To Amend the Amended and Restated 
Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.

May 27, 2015.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 
(the

[[Page 31428]]

``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that 
on May 19, 2015, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed 
with the Securities and Exchange Commission (``SEC'' or ``Commission'') 
the proposed rule change as described in Items I, II, and III below, 
which Items have been prepared by the Exchange. 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.
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    The Exchange is filing this proposed rule change with respect to 
amendments of the Amended and Restated Certificate of Incorporation 
(the ``Charter'') and By-Laws (the ``By-Laws'') of its parent 
corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the 
``Company''), to change the name of the Company to Nasdaq, Inc. The 
proposed amendments will be implemented on a date designated by NASDAQ 
OMX following approval by the Commission. The text of the proposed rule 
change is available on the Exchange's Web site at http://nasdaqomxbx.cchwallstreet.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 it received on the proposed rule change. The text of 
these 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 aspects of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    As part of an ongoing global rebranding initiative, the Company has 
begun to refer to itself, both internally and externally, as Nasdaq, 
rather than NASDAQ OMX. For purposes of consistency with its marketing, 
communications and other materials, the Company has decided to change 
the legal names of NASDAQ OMX and certain of its subsidiaries to 
eliminate references to OMX. The Company therefore proposes to amend 
its Charter and By-Laws to change its legal name from The NASDAQ OMX 
Group, Inc. to Nasdaq, Inc.
    Specifically, the Company proposes to file a Certificate of 
Amendment to its Charter with the Secretary of State of the State of 
Delaware to amend Article First of the Charter to reflect the new name. 
In addition, the Company proposes to amend the title and Article I(f) 
of the By-Laws to reflect the new name.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with section 
6(b) of the Act,\3\ in general, and furthers the objectives of section 
6(b)(5) of the Act,\4\ in particular, in that it is designed 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 Company is proposing amendments to its Charter and By-Laws to 
effectuate its name change to Nasdaq, Inc. The Exchange believes that 
the changes will protect investors and the public interest by 
eliminating confusion that may exist because of differences between the 
Company's corporate name and its current global branding.
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    \3\ 15 U.S.C. 78f(b).
    \4\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    Because the proposed rule change relates to the governance of 
NASDAQ OMX and not to the operations of the Exchange, the Exchange 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.

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

    No written comments were either solicited or received.

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

    Within 45 days of the date of publication of this notice in the 
Federal Register or within such longer period (i) as the Commission may 
designate up to 90 days of such date if it finds such longer period to 
be appropriate and publishes its reasons for so finding or (ii) as to 
which the Exchange consents, the Commission shall: (a) By order approve 
or disapprove such proposed rule change, or (b) institute proceedings 
to determine whether the proposed rule change should be 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 [email protected]. Please 
include File Number SR-BX-2015-030 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-BX-2015-030. 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-BX-2015-030 and should be 
submitted on or before June 23, 2015.


[[Page 31429]]


    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\5\
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    \5\ 17 CFR 200.30-3(a)(12).
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Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-13173 Filed 6-1-15; 8:45 am]
 BILLING CODE 8011-01-P
Federal Register / Vol. 80, No. 105 / Tuesday, June 2, 2015 / Notices 31427

fund’s directors have approved approximately 20 minutes per required by the rule, we estimate that
procedures for purchases made in transaction and that annually, in the the rule’s contract modification
reliance on the rule, regularly review aggregate, funds spend approximately requirement will result in 188 burden
fund purchases to determine whether 1,117 hours 4 to comply with this hours annually.10
they comply with these procedures, and portion of the rule. The staff estimates, therefore, that rule
approve necessary changes to the In addition, fund boards must, no less 10f–3 imposes an information collection
procedures; and (iii) a written record of than quarterly, examine each of these burden of 4,060 hours.11 This estimate
each transaction effected under the rule transactions to ensure that they comply does not include the time spent filing
is maintained for six years, the first two with the fund’s policies and procedures. transaction reports on Form N–SAR,
of which in an easily accessible place. The information or materials upon which is encompassed in the
The written record must state: (i) From which the board relied to come to this information collection burden estimate
whom the securities were acquired; (ii) determination also must be maintained for that form.
the identity of the underwriting and the staff estimates that it takes a The collection of information required
syndicate’s members; (iii) the terms of fund 1 hour per quarter and, in the by rule 10f–3 is necessary to obtain the
the transactions; and (iv) the aggregate, approximately 1,080 hours 5 benefits of the rule. Responses will not
information or materials on which the annually to comply with this rule be kept confidential. An agency may not
fund’s board of directors has determined requirement. conduct or sponsor, and a person is not
that the purchases were made in The staff estimates that reviewing and required to respond to, a collection of
compliance with procedures established revising as needed written procedures information unless it displays a
by the board. for rule 10f–3 transactions takes, on currently valid OMB control number.
The rule also conditionally allows average for each fund, two hours of a The public may view the background
managed portions of fund portfolios to compliance attorney’s time per year.6 documentation for this information
purchase securities offered in otherwise Thus, annually, in the aggregate, the collection at the following Web site,
off-limits primary offerings. To qualify staff estimates that funds spend a total www.reginfo.gov. Comments should be
for this exemption, rule 10f–3 requires of approximately 540 hours 7 on directed to: (i) Desk Officer for the
that the subadviser that is advising the monitoring and revising rule 10f–3 Securities and Exchange Commission,
purchaser be contractually prohibited procedures. Office of Information and Regulatory
from providing investment advice to Based on an analysis of fund filings, Affairs, Office of Management and
any other portion of the fund’s portfolio the staff estimates that approximately Budget, Room 10102, New Executive
and consulting with any other of the 251 fund portfolios enter into Office Building, Washington, DC 20503,
fund’s advisers that is a principal subadvisory agreements each year.8 or by sending an email to: Shagufta_
underwriter or affiliated person of a Based on discussions with industry Ahmed@omb.eop.gov; and (ii) Pamela
principal underwriter concerning the representatives, the staff estimates that Dyson, Director/Chief Information
fund’s securities transactions. it will require approximately 3 attorney Officer, Securities and Exchange
These requirements provide a hours to draft and execute additional Commission, c/o Remi Pavlik-Simon,
mechanism for fund boards to oversee clauses in new subadvisory contracts in 100 F Street NE., Washington, DC 20549
compliance with the rule. The required order for funds and subadvisers to be or send an email to: PRA_Mailbox@
recordkeeping facilitates the able to rely on the exemptions in rule sec.gov. Comments must be submitted to
Commission staff’s review of rule 10f– 10f–3. Because these additional clauses OMB within 30 days of this notice.
3 transactions during routine fund are identical to the clauses that a fund
inspections and, when necessary, in Dated: May 28, 2015.
would need to insert in their Robert W. Errett,
connection with enforcement actions. subadvisory contracts to rely on rules
The staff estimates that approximately Deputy Secretary.
12d3–1, 17a–10, and 17e–1, and because
270 funds engage in a total of [FR Doc. 2015–13381 Filed 6–1–15; 8:45 am]
we believe that funds that use one such
approximately 3,350 rule 10f–3 BILLING CODE 8011–01–P
rule generally use all of these rules, we
transactions each year.1 Rule 10f–3
apportion this 3 hour time burden
requires that the purchasing fund create
equally to all four rules. Therefore, we
a written record of each transaction that SECURITIES AND EXCHANGE
estimate that the burden allocated to
includes, among other things, from COMMISSION
rule 10f–3 for this contract change
whom the securities were purchased
would be 0.75 hours.9 Assuming that all
and the terms of the transaction. The [Release No. 34–75051; File No. SR–BX–
251 funds that enter into new
staff estimates 2 that it takes an average 2015–030]
subadvisory contracts each year make
fund approximately 30 minutes per
the modification to their contract Self-Regulatory Organizations;
transaction and approximately 1,675
hours 3 in the aggregate to comply with 4 This estimate is based on the following
NASDAQ OMX BX, Inc.; Notice of Filing
this portion of the rule. calculations: (20 minutes × 3,350 transactions =
of Proposed Rule Change To Amend
The funds also must maintain and 67,000 minutes; 67,000 minutes/60 = 1,117 hours). the Amended and Restated Certificate
preserve these transactional records in 5 This estimate is based on the following of Incorporation and By-Laws of The
accordance with the rule’s calculation: (1 hour per quarter × 4 quarters × 270 NASDAQ OMX Group, Inc.
funds = 1,080 hours).
recordkeeping requirement, and the staff 6 These averages take into account the fact that in May 27, 2015.
asabaliauskas on DSK5VPTVN1PROD with NOTICES

estimates that it takes a fund most years, fund attorneys and boards spend little Pursuant to section 19(b)(1) of the
or no time modifying procedures and in other years,
1 These estimates are based on staff extrapolations they spend significant time doing so. Securities Exchange Act of 1934 (the
from filings with the Commission. 7 This estimate is based on the following
2 Unless stated otherwise, the information calculation: (270 funds × 2 hours = 540 hours). 10 These estimates are based on the following

collection burden estimates are based on 8 Based on information in Commission filings, we calculations: (0.75 hours × 251 portfolios = 188
conversations between the staff and representatives estimate that 38 percent of funds are advised by burden hours).
of funds. subadvisers. 11 This estimate is based on the following
3 This estimate is based on the following 9 This estimate is based on the following calculation: (1,675 hours + 1,117 hours + 1,080
calculation: (0.5 hours × 3,350 = 1,675 hours). calculation (3 hours ÷ 4 rules = .75 hours). hours + 188 hours = 4,060 total burden hours).

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31428 Federal Register / Vol. 80, No. 105 / Tuesday, June 2, 2015 / Notices

‘‘Act’’),1 and Rule 19b–4 thereunder,2 references to OMX. The Company approve or disapprove such proposed
notice is hereby given that on May 19, therefore proposes to amend its Charter rule change, or (b) institute proceedings
2015, NASDAQ OMX BX, Inc. (‘‘BX’’ or and By-Laws to change its legal name to determine whether the proposed rule
‘‘Exchange’’) filed with the Securities from The NASDAQ OMX Group, Inc. to change should be disapproved.
and Exchange Commission (‘‘SEC’’ or Nasdaq, Inc.
‘‘Commission’’) the proposed rule Specifically, the Company proposes to IV. Solicitation of Comments
change as described in Items I, II, and file a Certificate of Amendment to its Interested persons are invited to
III below, which Items have been Charter with the Secretary of State of the submit written data, views, and
prepared by the Exchange. The State of Delaware to amend Article First arguments concerning the foregoing,
Commission is publishing this notice to of the Charter to reflect the new name. including whether the proposed rule
solicit comments on the proposed rule In addition, the Company proposes to change is consistent with the Act.
change from interested persons. amend the title and Article I(f) of the Comments may be submitted by any of
I. Self-Regulatory Organization’s By-Laws to reflect the new name. the following methods:
Statement of the Terms of Substance of 2. Statutory Basis
the Proposed Rule Change Electronic Comments
The Exchange believes that its
The Exchange is filing this proposed proposal is consistent with section 6(b) • Use the Commission’s Internet
rule change with respect to amendments of the Act,3 in general, and furthers the comment form (http://www.sec.gov/
of the Amended and Restated Certificate objectives of section 6(b)(5) of the Act,4 rules/sro.shtml); or
of Incorporation (the ‘‘Charter’’) and By- in particular, in that it is designed to • Send an email to rule-comments@
Laws (the ‘‘By-Laws’’) of its parent promote just and equitable principles of sec.gov. Please include File Number SR–
corporation, The NASDAQ OMX Group, trade, to remove impediments to and BX–2015–030 on the subject line.
Inc. (‘‘NASDAQ OMX’’ or the perfect the mechanism of a free and
‘‘Company’’), to change the name of the open market and a national market Paper Comments
Company to Nasdaq, Inc. The proposed system, and, in general to protect
amendments will be implemented on a • Send paper comments in triplicate
investors and the public interest. The
date designated by NASDAQ OMX Company is proposing amendments to to Brent J. Fields, Secretary, Securities
following approval by the Commission. its Charter and By-Laws to effectuate its and Exchange Commission, 100 F Street
The text of the proposed rule change is name change to Nasdaq, Inc. The NE., Washington, DC 20549–1090.
available on the Exchange’s Web site at Exchange believes that the changes will All submissions should refer to File
http://nasdaqomxbx.cchwallstreet.com, protect investors and the public interest Number SR–BX–2015–030. This file
at the principal office of the Exchange, by eliminating confusion that may exist number should be included on the
and at the Commission’s Public because of differences between the subject line if email is used. To help the
Reference Room. Company’s corporate name and its Commission process and review your
II. Self-Regulatory Organization’s current global branding. comments more efficiently, please use
Statement of the Purpose of, and B. Self-Regulatory Organization’s only one method. The Commission will
Statutory Basis for, the Proposed Rule Statement on Burden on Competition post all comments on the Commission’s
Change Internet Web site (http://www.sec.gov/
Because the proposed rule change rules/sro.shtml). Copies of the
In its filing with the Commission, the relates to the governance of NASDAQ
Exchange included statements submission, all subsequent
OMX and not to the operations of the amendments, all written statements
concerning the purpose of and basis for Exchange, the Exchange does not
the proposed rule change and discussed with respect to the proposed rule
believe that the proposed rule change change that are filed with the
any it received on the proposed rule will impose any burden on competition
change. The text of these statements Commission, and all written
not necessary or appropriate in communications relating to the
may be examined at the places specified furtherance of the purposes of the Act.
in Item IV below. The Exchange has proposed rule change between the
prepared summaries, set forth in C. Self-Regulatory Organization’s Commission and any person, other than
sections A, B, and C below, of the most Statement on Comments on the those that may be withheld from the
significant aspects of such statements. Proposed Rule Change Received From public in accordance with the
Members, Participants, or Others provisions of 5 U.S.C. 552, will be
A. Self-Regulatory Organization’s available for Web site viewing and
Statement of the Purpose of, and No written comments were either
printing in the Commission’s Public
Statutory Basis for, the Proposed Rule solicited or received.
Reference Room, 100 F Street NE.,
Change III. Date of Effectiveness of the Washington, DC 20549, on official
1. Purpose Proposed Rule Change and Timing for business days between the hours of
As part of an ongoing global Commission Action 10:00 a.m. and 3:00 p.m. Copies of the
rebranding initiative, the Company has Within 45 days of the date of filing also will be available for
begun to refer to itself, both internally publication of this notice in the Federal inspection and copying at the principal
and externally, as Nasdaq, rather than Register or within such longer period (i) office of the Exchange. All comments
received will be posted without change;
asabaliauskas on DSK5VPTVN1PROD with NOTICES

NASDAQ OMX. For purposes of as the Commission may designate up to
consistency with its marketing, 90 days of such date if it finds such the Commission does not edit personal
communications and other materials, longer period to be appropriate and identifying information from
the Company has decided to change the publishes its reasons for so finding or submissions. You should submit only
legal names of NASDAQ OMX and (ii) as to which the Exchange consents, information that you wish to make
certain of its subsidiaries to eliminate the Commission shall: (a) By order available publicly. All submissions
should refer to File Number SR–BX–
1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78f(b). 2015–030 and should be submitted on
2 17 CFR 240.19b–4. 4 15 U.S.C. 78f(b)(5). or before June 23, 2015.

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Federal Register / Vol. 80, No. 105 / Tuesday, June 2, 2015 / Notices 31429

For the Commission, by the Division of II. Self-Regulatory Organization’s equitable principles of trade, and, in
Trading and Markets, pursuant to delegated Statement of the Purpose of, and general, to protect investors and the
authority.5 Statutory Basis for, the Proposed Rule public interest. FINRA believes that the
Robert W. Errett, Change proposed rule change will clarify the
Deputy Secretary. In its filing with the Commission, intended scope and operation of the
[FR Doc. 2015–13173 Filed 6–1–15; 8:45 am] FINRA included statements concerning amendments adopted by SR–FINRA–
the purpose of and basis for the 2013–046 by making clear that home
BILLING CODE 8011–01–P
proposed rule change and discussed any equity loans and home equity lines of
comments it received on the proposed credit are not within the scope of the
definition of ‘‘Asset-Backed Security.’’
SECURITIES AND EXCHANGE rule change. The text of these statements
COMMISSION may be examined at the places specified B. Self-Regulatory Organization’s
in Item IV below. FINRA has prepared Statement on Burden on Competition
[Release No. 34–75058; File No. SR–FINRA– summaries, set forth in sections A, B, FINRA does not believe that the
2015–012] and C below, of the most significant proposed rule change will result in any
aspects of such statements. burden on competition that is not
Self-Regulatory Organizations; A. Self-Regulatory Organization’s necessary or appropriate in furtherance
Financial Industry Regulatory Statement of the Purpose of, and of the purposes of the Act. The
Authority, Inc.; Notice of Filing and Statutory Basis for, the Proposed Rule proposed rule change clarifies the
Immediate Effectiveness of a Proposed Change intended operation of an existing rule.
Rule Change To Clarify the Scope of C. Self-Regulatory Organization’s
the Definition of ‘‘Asset-Backed 1. Purpose
Statement on Comments on the
Security’’ for Purposes of Reporting to On November 13, 2013, FINRA Proposed Rule Change Received From
FINRA’s Trade Reporting and proposed a revised definition of ‘‘Asset- Members, Participants, or Others
Compliance Engine (TRACE) System Backed Security’’ in Rule 6710 and also
proposed new supplementary material Written comments were neither
May 28, 2015. to provide further guidance on the solicited nor received.
Pursuant to section 19(b)(1) of the intended scope of the definition.4 In III. Date of Effectiveness of the
Securities Exchange Act of 1934 Amendment No. 1 to the Proposal, Proposed Rule Change and Timing for
(‘‘Act’’),1 and Rule 19b–4 2 thereunder, FINRA modified the definition of Commission Action
notice is hereby given that on May 19, ‘‘Asset-Backed Security’’ to provide that
Because the foregoing proposed rule
2015, Financial Industry Regulatory the term excludes any securitized
change does not: (i) Significantly affect
product backed by ‘‘residential or the protection of investors or the public
Authority, Inc. (‘‘FINRA’’) filed with the
commercial mortgage loans, mortgage- interest; (ii) impose any significant
Securities and Exchange Commission
backed securities, or other financial burden on competition; and (iii) become
(‘‘Commission’’) the proposed rule
assets derivative of mortgage-backed operative for 30 days from the date on
change as described in Items I and II securities.’’ 5 However, a corresponding
below, which items have been prepared which it was filed, or such shorter time
change to the supplementary material to as the Commission may designate, it has
by FINRA. FINRA has designated the delete such security types from the
proposed rule change as constituting a become effective pursuant to section
scope of Asset-Backed Security was not 19(b)(3)(A) of the Act 8 and Rule 19b–
‘‘non-controversial’’ rule change under made at that time. FINRA is now
paragraph (f)(6) of Rule 19b–4 under the 4(f)(6) thereunder.9
proposing to amend Supplementary FINRA has requested that the
Act,3 which renders the proposal Material .01 of Rule 6710 to make clear Commission waive the requirement that
effective upon receipt of this filing by that home equity loans and home equity the rule change, by its terms, not
the Commission. The Commission is lines of credit are not within the scope become operative for 30 days after the
publishing this notice to solicit of the defined term ‘‘Asset-Backed date of the filing as set forth in Rule
comments on the proposed rule change Security.’’ 6 19b–4(f)(6)(iii),10 so that the proposal
from interested persons. FINRA has filed the proposed rule may become operative on June 1, 2015,
change for immediate effectiveness. The which is the date that TRACE
I. Self-Regulatory Organization’s implementation date of the proposed
Statement of the Terms of Substance of dissemination of the additional Asset-
rule change will be June 1, 2015. Backed Securities information will
the Proposed Rule Change
2. Statutory Basis begin. The Commission notes that the
FINRA is proposing to clarify the proposed rule change, by making a
FINRA believes that the proposed rule conforming change to Supplementary
scope of the definition of ‘‘Asset-Backed change is consistent with the provisions
Security’’ for purposes of reporting to Material .01 of Rule 6710, would clarify
of Section 15A(b)(6) of the Act,7 which the definition of Asset-Backed Security
FINRA’s Trade Reporting and requires, among other things, that
Compliance Engine (TRACE) system. in that Rule. The Commission notes that
FINRA rules must be designed to without such a waiver there could be a
The text of the proposed rule change prevent fraudulent and manipulative period of time during which
is available on FINRA’s Web site at acts and practices, to promote just and
asabaliauskas on DSK5VPTVN1PROD with NOTICES

http://www.finra.org, at the principal 8 15 U.S.C. 78s(b)(3)(A).
4 See Securities Exchange Act Release No. 70906
office of FINRA and at the 9 17 CFR 240.19b–4(f)(6). As required under Rule
(November 20, 2013), 78 FR 70602 (November 26, 19b–4(f)(6)(iii), FINRA provided the Commission
Commission’s Public Reference Room. 2013) (Notice of Filing of File No. SR–FINRA– with written notice of its intent to file the proposed
2013–046) (‘‘Proposal’’). rule change, along with a brief description and the
5 See Amendment No. 1 to SR–FINRA–2013–046.
5 17 text of the proposed rule change, at least five
CFR 200.30–3(a)(12). 6 TRACE dissemination of additional Asset- business days prior to the date of filing of the
1 15 U.S.C. 78s(b)(1). Backed Securities will begin on June 1, 2015. See proposed rule change, or such shorter time as
2 17 CFR 240.19b–4.
Regulatory Notice 14–34 (August 2014). designated by the Commission.
3 17 CFR 240.19b–4(f)(6). 7 15 U.S.C. 78o–3(b)(6). 10 17 CFR 240.19b–4(f)(6)(iii).

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Document Created: 2015-12-15 15:12:08
Document Modified: 2015-12-15 15:12:08
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 31427