80 FR 43507 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Size of a Creation Unit Applicable to Shares of the PIMCO Total Return Active Exchange-Traded Fund
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 140 (July 22, 2015)
Federal Register Volume 80, Issue 140 (July 22, 2015)
| Page Range | 43507-43508 | |
| FR Document | 2015-17890 |
[Federal Register Volume 80, Number 140 (Wednesday, July 22, 2015)] [Notices] [Pages 43507-43508] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-17890] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-75475; File No. SR-NYSEArca-2015-63] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Size of a Creation Unit Applicable to Shares of the PIMCO Total Return Active Exchange-Traded Fund July 16, 2015. Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that, on July 10, 2015, NYSE Arca, Inc. (the ``Exchange'' or ``NYSE Arca'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and II 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. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 15 U.S.C. 78a. \3\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change The Exchange proposes to reflect a change in the size of a Creation Unit applicable to shares of the PIMCO Total Return Active Exchange- Traded Fund from 100,000 Shares to at least 50,000 Shares. The Fund is currently listed and traded on the Exchange under NYSE Arca Equities Rule 8.600. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.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 self-regulatory organization 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 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 Commission has approved a proposed rule change relating to listing and trading on the Exchange of shares (``Shares'') of the PIMCO Total Return Active Exchange-Traded Fund (``Fund'') under NYSE Arca Equities Rule 8.600,\4\ which governs the listing and trading of Managed Fund Shares.\5\ The Shares are offered by PIMCO ETF Trust (the ``Trust''), a statutory trust organized under the laws of the State of Delaware and registered with the Commission as an open-end management investment company.\6\ The investment manager to the Fund is Pacific Investment Management Company LLC (``PIMCO'' or the ``Adviser''). The Fund's Shares are currently listed and traded on the Exchange under NYSE Arca Equities Rule 8.600.\7\ --------------------------------------------------------------------------- \4\ See Securities Exchange Act Release No. 65988 (December 16, 2011), 76 FR 79741 (December 22, 2011) (SR-NYSEArca-2011-95) (notice of filing of proposed rule change relating to listing and trading of Shares of the Fund on the Exchange) (``Prior Notice''); 66321 (February 3, 2012), 77 FR 6850 (February 9, 2012) (SR-NYSEArca-2011- 95) (order approving listing and trading of Shares of the Fund on the Exchange) (``Prior Order'' and, together with the Prior Notice, the ``Prior Release''). See also Securities Exchange Act Release No. 72666 (July 24, 2014), 79 FR 44224 (July 30, 2014) (SR-NYSEArca- 2013-122) (order approving proposed rule change relating to use of derivatives by the Fund). \5\ A Managed Fund Share is a security that represents an interest in an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a-1) (``1940 Act'') organized as an open-end investment company or similar entity that invests in a portfolio of securities selected by its investment adviser consistent with its investment objectives and policies. In contrast, an open-end investment company that issues Investment Company Units, listed and traded on the Exchange under NYSE Arca Equities Rule 5.2(j)(3), seeks to provide investment results that correspond generally to the price and yield performance of a specific foreign or domestic stock index, fixed income securities index or combination thereof. \6\ The Trust is registered under the Investment Company Act of 1940 (``1940 Act''). On October 27, 2014, the Trust filed with the Commission the most recent post-effective amendment to its registration statement under the Securities Act of 1933 (15 U.S.C. 77a) (``1933 Act'') and under the 1940 Act relating to the Fund (File Nos. 333-155395 and 811-22250) (the ``Registration Statement''). The description of the operation of the Trust and the Fund herein is based, in part, on the Registration Statement. A change to the name of the Fund from PIMCO Total Return Exchange- Traded Fund to PIMCO Total Return Active Exchange-Traded Fund was reflected in such amendment to the Registration Statement. In addition, the Commission has issued an order granting certain exemptive relief to the Trust under the 1940 Act. See Investment Company Act Release No. 28993 (November 10, 2009) (File No. 812- 13571) (``Exemptive Order''). \7\ The Trust implemented a change in the name of the Fund from PIMCO Total Return Exchange-Traded Fund to PIMCO Total Return Active Exchange-Traded Fund on October 31, 2014. --------------------------------------------------------------------------- According to the Registration Statement and the Prior Release, Shares of the Fund that trade in the secondary market are created at net asset value (``NAV'') by Authorized Participants only in block-size Creation Units of 100,000 Shares or multiples thereof. The Exchange proposes to reflect a change in the size of a Creation Unit from 100,000 Shares to at least 50,000 Shares.\8\ The size of a Creation Unit will be subject to change. The Exchange believes that the change to the size of a Creation Unit will not adversely impact investors or Exchange trading. A reduction in the size of a Creation Unit may provide potential benefits to investors by facilitating additional creation and redemption activity in the Shares, thereby potentially resulting in increased secondary market trading activity, tighter bid/ask spreads and narrower premiums or discounts to NAV.\9\ --------------------------------------------------------------------------- \8\ The change to size of a Creation Unit will be effective upon filing with the Commission of an amendment to the Trust's Registration Statement on Form N-1A, and shareholders will be notified of such change by means of such amendment. \9\ The Exchange notes that the Commission has approved the listing and trading of other issues of Managed Fund Shares that have applied a minimum Creation Unit size of 50,000 shares or greater. See, e.g., Securities Exchange Act Release Nos. 65458 (September 30, 2011), 76 FR 62112 (October 6, 2011) (SR-NYSEArca-2011-54) (order approving listing and trading of WisdomTree Dreyfus Australia and New Zealand Debt Fund); 66112 (January 5, 2012), 77 FR 1761 (January 11, 2012) (SR-NYSEArca-2011-80) (order approving listing and trading of Rockledge SectorSAM ETF). --------------------------------------------------------------------------- [[Page 43508]] The Adviser represents that the proposed change to reduce the size of a Creation Unit, as described above, is consistent with the Fund's investment objective, and will further assist the Adviser to achieve such investment objective. Except for the change noted above, all other representations made in the Prior Release remain unchanged.\10\ The Fund will continue to comply with all initial and continued listing requirements under NYSE Arca Equities Rule 8.600. The Adviser represents that the investment objective of the Fund is not changing. --------------------------------------------------------------------------- \10\ See note 4, supra. All terms referenced but not defined herein are defined in the Prior Release. --------------------------------------------------------------------------- 2. Statutory Basis The basis under the Act for this proposed rule change is the requirement under Section 6(b)(5) \11\ that an exchange have rules that are designed to 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, in general, to protect investors and the public interest. --------------------------------------------------------------------------- \11\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- The proposed rule change is designed to perfect the mechanism of a free and open market and, in general, to protect investors and the public interest. The Exchange believes that the change to the size of a Creation Unit to at least 50,000 Shares will not adversely impact investors or Exchange trading. In addition, a reduction in the size of a Creation Unit may provide potential benefits to investors by facilitating additional creation and redemption activity in the Shares, thereby potentially resulting in increased secondary market trading activity, tighter bid/ask spreads and narrower premiums or discounts to NAV. 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 in furtherance of the purpose of the Act. The Exchange believes the proposed rule change, because of the potential increase in secondary market trading activity that may result from a decrease in the Creation Unit size for Shares of the Fund, will enhance competition among issues of exchange-traded funds that invest in fixed income securities. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, if consistent with the protection of investors and the public interest, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act \12\ and Rule 19b-4(f)(6) thereunder.\13\ --------------------------------------------------------------------------- \12\ 15 U.S.C. 78s(b)(3)(A). \13\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19-4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement. --------------------------------------------------------------------------- At any time within 60 days of the filing of the proposed rule change, the Commission 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 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 CommentsUse 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-NYSE-Arca-2015-63 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-NYSEArca-2015-63. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of such filing also will be available for inspection and copying at the principal offices of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-NYSEArca-2015- 63, and should be submitted on or before August 12, 2015. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\14\ --------------------------------------------------------------------------- \14\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Robert W. Errett, Deputy Secretary. [FR Doc. 2015-17890 Filed 7-21-15; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 140 / Wednesday, July 22, 2015 / Notices 43507
with respect to the proposed rule I. Self-Regulatory Organization’s offered by PIMCO ETF Trust (the
change that are filed with the Statement of the Terms of the Substance ‘‘Trust’’), a statutory trust organized
Commission, and all written of the Proposed Rule Change under the laws of the State of Delaware
communications relating to the The Exchange proposes to reflect a and registered with the Commission as
proposed rule change between the change in the size of a Creation Unit an open-end management investment
Commission and any person, other than applicable to shares of the PIMCO Total company.6 The investment manager to
those that may be withheld from the Return Active Exchange-Traded Fund the Fund is Pacific Investment
public in accordance with the from 100,000 Shares to at least 50,000 Management Company LLC (‘‘PIMCO’’
provisions of 5 U.S.C. 552, will be Shares. The Fund is currently listed and or the ‘‘Adviser’’). The Fund’s Shares
available for Web site viewing and traded on the Exchange under NYSE are currently listed and traded on the
printing in the Commission’s Public Arca Equities Rule 8.600. The text of the Exchange under NYSE Arca Equities
Reference Room, 100 F Street NE., proposed rule change is available on the Rule 8.600.7
Washington, DC 20549 on official Exchange’s Web site at www.nyse.com, According to the Registration
business days between the hours of at the principal office of the Exchange, Statement and the Prior Release, Shares
10:00 a.m. and 3:00 p.m. Copies of the and at the Commission’s Public of the Fund that trade in the secondary
filing also will be available for Reference Room. market are created at net asset value
inspection and copying at the principal (‘‘NAV’’) by Authorized Participants
office of the MSRB. All comments II. Self-Regulatory Organization’s only in block-size Creation Units of
received will be posted without change; Statement of the Purpose of, and 100,000 Shares or multiples thereof.
the Commission does not edit personal Statutory Basis for, the Proposed Rule The Exchange proposes to reflect a
identifying information from Change change in the size of a Creation Unit
submissions. You should submit only In its filing with the Commission, the from 100,000 Shares to at least 50,000
information that you wish to make self-regulatory organization included Shares.8 The size of a Creation Unit will
available publicly. All submissions statements concerning the purpose of, be subject to change. The Exchange
should refer to File Number SR–MSRB– and basis for, the proposed rule change believes that the change to the size of a
2015–05 and should be submitted on or and discussed any comments it received Creation Unit will not adversely impact
before August 12, 2015. on the proposed rule change. The text investors or Exchange trading. A
of those statements may be examined at reduction in the size of a Creation Unit
For the Commission, pursuant to delegated may provide potential benefits to
authority.18 the places specified in Item IV below.
The Exchange has prepared summaries, investors by facilitating additional
Robert W. Errett, creation and redemption activity in the
set forth in sections A, B, and C below,
Deputy Secretary. Shares, thereby potentially resulting in
of the most significant parts of such
[FR Doc. 2015–17899 Filed 7–21–15; 8:45 am] statements. increased secondary market trading
BILLING CODE 8011–01–P activity, tighter bid/ask spreads and
A. Self-Regulatory Organization’s narrower premiums or discounts to
Statement of the Purpose of, and NAV.9
SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule
COMMISSION Change 5.2(j)(3), seeks to provide investment results that
correspond generally to the price and yield
[Release No. 34–75475; File No. SR– 1. Purpose performance of a specific foreign or domestic stock
NYSEArca–2015–63] The Commission has approved a index, fixed income securities index or combination
thereof.
proposed rule change relating to listing 6 The Trust is registered under the Investment
Self-Regulatory Organizations; NYSE and trading on the Exchange of shares Company Act of 1940 (‘‘1940 Act’’). On October 27,
Arca, Inc.; Notice of Filing and (‘‘Shares’’) of the PIMCO Total Return 2014, the Trust filed with the Commission the most
Immediate Effectiveness of Proposed Active Exchange-Traded Fund (‘‘Fund’’) recent post-effective amendment to its registration
Rule Change Relating to a Change in under NYSE Arca Equities Rule 8.600,4 statement under the Securities Act of 1933 (15
the Size of a Creation Unit Applicable U.S.C. 77a) (‘‘1933 Act’’) and under the 1940 Act
which governs the listing and trading of relating to the Fund (File Nos. 333–155395 and
to Shares of the PIMCO Total Return Managed Fund Shares.5 The Shares are 811–22250) (the ‘‘Registration Statement’’). The
Active Exchange-Traded Fund description of the operation of the Trust and the
4 See Securities Exchange Act Release No. 65988 Fund herein is based, in part, on the Registration
July 16, 2015. Statement. A change to the name of the Fund from
(December 16, 2011), 76 FR 79741 (December 22,
Pursuant to Section 19(b)(1) 1
of the 2011) (SR–NYSEArca-2011–95) (notice of filing of PIMCO Total Return Exchange-Traded Fund to
Securities Exchange Act of 1934 (the proposed rule change relating to listing and trading PIMCO Total Return Active Exchange-Traded Fund
of Shares of the Fund on the Exchange) (‘‘Prior was reflected in such amendment to the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Registration Statement. In addition, the
Notice’’); 66321 (February 3, 2012), 77 FR 6850
notice is hereby given that, on July 10, (February 9, 2012) (SR–NYSEArca-2011–95) (order Commission has issued an order granting certain
2015, NYSE Arca, Inc. (the ‘‘Exchange’’ approving listing and trading of Shares of the Fund exemptive relief to the Trust under the 1940 Act.
or ‘‘NYSE Arca’’) filed with the on the Exchange) (‘‘Prior Order’’ and, together with See Investment Company Act Release No. 28993
the Prior Notice, the ‘‘Prior Release’’). See also (November 10, 2009) (File No. 812–13571)
Securities and Exchange Commission (‘‘Exemptive Order’’).
Securities Exchange Act Release No. 72666 (July 24,
(the ‘‘Commission’’) the proposed rule 2014), 79 FR 44224 (July 30, 2014) (SR–NYSEArca- 7 The Trust implemented a change in the name of
change as described in Items I and II 2013–122) (order approving proposed rule change the Fund from PIMCO Total Return Exchange-
below, which Items have been prepared relating to use of derivatives by the Fund). Traded Fund to PIMCO Total Return Active
5 A Managed Fund Share is a security that Exchange-Traded Fund on October 31, 2014.
by the Exchange. The Commission is 8 The change to size of a Creation Unit will be
represents an interest in an investment company
publishing this notice to solicit registered under the Investment Company Act of effective upon filing with the Commission of an
tkelley on DSK3SPTVN1PROD with NOTICES
comments on the proposed rule change 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as amendment to the Trust’s Registration Statement on
from interested persons. an open-end investment company or similar entity Form N–1A, and shareholders will be notified of
that invests in a portfolio of securities selected by such change by means of such amendment.
18 17
its investment adviser consistent with its 9 The Exchange notes that the Commission has
CFR 200.30–3(a)(12). investment objectives and policies. In contrast, an approved the listing and trading of other issues of
1 15 U.S.C. 78s(b)(1). open-end investment company that issues Managed Fund Shares that have applied a
2 15 U.S.C. 78a.
Investment Company Units, listed and traded on minimum Creation Unit size of 50,000 shares or
3 17 CFR 240.19b–4. the Exchange under NYSE Arca Equities Rule Continued
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![43508 Federal Register / Vol. 80, No. 140 / Wednesday, July 22, 2015 / Notices
The Adviser represents that the issues of exchange-traded funds that Paper Comments
proposed change to reduce the size of a invest in fixed income securities.
Creation Unit, as described above, is • Send paper comments in triplicate
C. Self-Regulatory Organization’s to Secretary, Securities and Exchange
consistent with the Fund’s investment
Statement on Comments on the Commission, 100 F Street NE.,
objective, and will further assist the
Proposed Rule Change Received From Washington, DC 20549–1090.
Adviser to achieve such investment
objective. Except for the change noted Members, Participants, or Others
All submissions should refer to File
above, all other representations made in No written comments were solicited Number SR–NYSEArca–2015–63. This
the Prior Release remain unchanged.10 or received with respect to the proposed file number should be included on the
The Fund will continue to comply with rule change. subject line if email is used. To help the
all initial and continued listing Commission process and review your
requirements under NYSE Arca Equities III. Date of Effectiveness of the
Proposed Rule Change and Timing for comments more efficiently, please use
Rule 8.600. The Adviser represents that
Commission Action only one method. The Commission will
the investment objective of the Fund is
not changing. post all comments on the Commission’s
Because the foregoing proposed rule Internet Web site (http://www.sec.gov/
2. Statutory Basis change does not: (i) Significantly affect rules/sro.shtml). Copies of the
the protection of investors or the public submission, all subsequent
The basis under the Act for this
interest; (ii) impose any significant
proposed rule change is the requirement amendments, all written statements
burden on competition; and (iii) become
under Section 6(b)(5) 11 that an with respect to the proposed rule
operative for 30 days from the date on
exchange have rules that are designed to change that are filed with the
which it was filed, or such shorter time
prevent fraudulent and manipulative Commission, and all written
as the Commission may designate, if
acts and practices, to promote just and communications relating to the
consistent with the protection of
equitable principles of trade, to remove proposed rule change between the
investors and the public interest, the
impediments to, and perfect the Commission and any person, other than
mechanism of a free and open market proposed rule change has become
effective pursuant to Section 19(b)(3)(A) those that may be withheld from the
and, in general, to protect investors and public in accordance with the
the public interest. of the Act 12 and Rule 19b–4(f)(6)
thereunder.13 provisions of 5 U.S.C. 552, will be
The proposed rule change is designed
At any time within 60 days of the available for Web site viewing and
to perfect the mechanism of a free and
open market and, in general, to protect filing of the proposed rule change, the printing in the Commission’s Public
investors and the public interest. The Commission may temporarily suspend Reference Room, 100 F Street NE.,
Exchange believes that the change to the such rule change if it appears to the Washington, DC 20549 on official
size of a Creation Unit to at least 50,000 Commission that such action is business days between the hours of
Shares will not adversely impact necessary or appropriate in the public 10:00 a.m. and 3:00 p.m. Copies of such
investors or Exchange trading. In interest, for the protection of investors, filing also will be available for
addition, a reduction in the size of a or otherwise in furtherance of the inspection and copying at the principal
Creation Unit may provide potential purposes of the Act. If the Commission offices of the Exchange. All comments
benefits to investors by facilitating takes such action, the Commission shall received will be posted without change;
additional creation and redemption institute proceedings to determine the Commission does not edit personal
activity in the Shares, thereby whether the proposed rule change identifying information from
potentially resulting in increased should be approved or disapproved. submissions. You should submit only
secondary market trading activity, information that you wish to make
IV. Solicitation of Comments
tighter bid/ask spreads and narrower available publicly. All submissions
premiums or discounts to NAV. Interested persons are invited to should refer to File Number SR–
B. Self-Regulatory Organization’s submit written data, views, and NYSEArca-2015–63, and should be
Statement on Burden on Competition arguments concerning the foregoing, submitted on or before August 12, 2015.
including whether the proposed rule
The Exchange does not believe that change is consistent with the Act. For the Commission, by the Division of
the proposed rule change will impose Comments may be submitted by any of Trading and Markets, pursuant to delegated
any burden on competition that is not the following methods: authority.14
necessary or appropriate in furtherance Robert W. Errett,
of the purpose of the Act. The Exchange Electronic Comments
Deputy Secretary.
believes the proposed rule change, • Use the Commission’s Internet [FR Doc. 2015–17890 Filed 7–21–15; 8:45 am]
because of the potential increase in comment form (http://www.sec.gov/ BILLING CODE 8011–01–P
secondary market trading activity that rules/sro.shtml); or
may result from a decrease in the
• Send an email to rule-comments@
Creation Unit size for Shares of the
sec.gov. Please include File Number SR–
Fund, will enhance competition among
NYSE–Arca–2015–63 on the subject
greater. See, e.g., Securities Exchange Act Release
line.
Nos. 65458 (September 30, 2011), 76 FR 62112
(October 6, 2011) (SR–NYSEArca–2011–54) (order 12 15
U.S.C. 78s(b)(3)(A).
tkelley on DSK3SPTVN1PROD with NOTICES
approving listing and trading of WisdomTree 13 17
CFR 240.19b–4(f)(6). In addition, Rule 19–
Dreyfus Australia and New Zealand Debt Fund); 4(f)(6) requires a self-regulatory organization to give
66112 (January 5, 2012), 77 FR 1761 (January 11, the Commission written notice of its intent to file
2012) (SR–NYSEArca–2011–80) (order approving the proposed rule change at least five business days
listing and trading of Rockledge SectorSAM ETF). prior to the date of filing of the proposed rule
10 See note 4, supra. All terms referenced but not
change, or such shorter time as designated by the
defined herein are defined in the Prior Release. Commission. The Exchange has satisfied this
11 15 U.S.C. 78f(b)(5). requirement. 14 17 CFR 200.30–3(a)(12).
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Document Created: 2015-12-15 12:54:50
Document Modified: 2015-12-15 12:54:50
| 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 43507 |
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