80_FR_52697 80 FR 52529 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees

80 FR 52529 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 168 (August 31, 2015)

Page Range52529-52530
FR Document2015-21403

Federal Register, Volume 80 Issue 168 (Monday, August 31, 2015)
[Federal Register Volume 80, Number 168 (Monday, August 31, 2015)]
[Notices]
[Pages 52529-52530]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-21403]



[[Page 52529]]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75755; File No. SR-ISE-2015-24]


Self-Regulatory Organizations; International Securities Exchange, 
LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule 
Change Relating to Market Data Fees

August 25, 2015.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given 
that on August 21, 2015, the International Securities Exchange, LLC 
(the ``Exchange'' or the ``ISE'') filed with the Securities and 
Exchange Commission the proposed rule change as described in Items I, 
II, and III below, which items have been prepared by the self-
regulatory organization. The Commission is publishing this notice to 
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    The purpose of this proposed rule change is to amend the Exchange's 
Schedule of Fees to eliminate ISE's Historical Options Tick Data (``HOT 
Data'') service. The text of the proposed rule change is available on 
the Exchange's Web site (http://www.ise.com), at the principal office 
of the Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the 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 these statements may be examined at 
the places specified in Item IV below. The self-regulatory organization 
has prepared summaries, set forth in sections A, B and C below, of the 
most significant aspects of such statements.

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

1. Purpose
    The purpose of this proposed rule change is to amend the Exchange's 
Schedule of Fees to eliminate ISE's HOT Data service because the ISE 
has determined to no longer offer this service to members or non-
members.
    ISE's HOT Data was generated from daily data received from the 
Options Price Reporting Authority (``OPRA''), which is the ``securities 
information processor for market information generated by trading of 
securities options in the United States.'' \3\ The core data 
disseminated by OPRA includes last sale reports and quotations; 
however, OPRA also disseminates other information including, for 
example, the number of options contracts traded, open interest, and end 
of day summaries.\4\ Specifically, to create ISE's HOT Data, the ISE 
captured OPRA tick data \5\ and made it available as an ``end of day'' 
file \6\ or as a ``historical'' file \7\ for HOT Data subscribers and 
other market participants that made ad hoc requests for data.
---------------------------------------------------------------------------

    \3\ OPRA Overview at http://www.opradata.com/overview/opra_over.jsp.
    \4\ Id.
    \5\ The Exchange collected this data throughout each trading day 
and at the end of each trading day, the Exchange compressed the data 
and uploaded it onto a server. Once the data was loaded onto the 
server, it was then made available to subscribers and other market 
participants.
    \6\ An end of day file refers to OPRA tick data for a trading 
day that was distributed prior to the opening of the next trading 
day. An end of day file was made available to subscribers as soon as 
practicable at the end of each trading day on an on-going basis 
pursuant to an annual subscription or through an ad-hoc request.
    \7\ An end of day file that was distributed after the start of 
the next trading day was called a historical file. A historical file 
was available to customers for a pre-determined date range by ad-hoc 
requests only.
---------------------------------------------------------------------------

    The most recent fee charged to subscribers of HOT Data was $2,000 
per month on an annual subscription basis. For ad-hoc requests, ISE 
charged $120 per day, with a minimum purchase of $1,000 plus a 
processing fee of $499 per order for up to 1.5 Terabytes (TB). An order 
that exceeded 1.5 TB was charged an additional $399 for up to an 
additional 1.5 TB.
    The Exchange now proposes to eliminate the HOT Data service.\8\
---------------------------------------------------------------------------

    \8\ No rule requires the ISE or any other exchange to offer this 
data nor are vendors required to purchase or display this data.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent 
with the requirements of the Act and the rules and regulations 
thereunder that are applicable to a national securities exchange, and, 
in particular, with the requirements of section 6(b) of the Act.\9\ In 
particular, the proposal is consistent with section 6(b)(5) of the 
Act,\10\ because is designed to promote just and equitable principles 
of trade, remove impediments to and perfect the mechanisms of a free 
and open market and a national market system and, in general, to 
protect investors and the public interest.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes eliminating the service is consistent with 
the Exchange Act because it eliminates a service relating to market 
data that the Exchange has determined to no longer offer to members or 
non-members. The Exchange believes that the proposed rule change is 
consistent with the protection of investors and the public interest 
because the underlying data is available to market participants from 
other sources. Although ISE's HOT Data is separate from the core data 
feed available from OPRA, all the information that was available via 
the HOT Data feed is included in the OPRA core data feed, and this data 
is widely distributed. Additionally, the OPRA tick data collected and 
stored by ISE is neither exclusive nor proprietary to the Exchange. As 
such, the Exchange notes that there is nothing unique in ISE's HOT data 
that a third party vendor could not also provide.

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

    This proposed rule change does not impose any burden on competition 
that is not necessary or appropriate in furtherance of the purposes of 
the Exchange Act because ISE is eliminating a service that provides 
data, which is available to market participants from other sources.

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

    The Exchange has not solicited, and does not intend to solicit, 
comments on this proposed rule change. The Exchange has not received 
any unsolicited written comments from members or other interested 
parties.

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

    The Exchange believes that the foregoing proposed rule change may 
take effect upon filing with the Commission pursuant to sction 
19(b)(3)(A) \11\ of the Act and Rule 19b-4(f)(6) thereunder \12\ 
because the foregoing proposed rule change does not

[[Page 52530]]

(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 after its filing date, or such shorter 
time as the Commission may designate.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    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: (i) 
Necessary or appropriate in the public interest; (ii) for the 
protection of investors; or (iii) otherwise in furtherance of the 
purposes of the Act. If the Commission takes such action, the 
Commission shall institute proceedings to determine whether the 
proposed rule should be approved or disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and 
arguments concerning the foregoing, including whether the proposed rule 
change is consistent with the Act. Comments may be submitted by any of 
the following methods:

Electronic 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-ISE-2015-24 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-ISE-2015-24. 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 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-ISE-2015-24, and should be 
submitted on or before September 21, 2015.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\13\
---------------------------------------------------------------------------

    \13\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-21403 Filed 8-28-15; 8:45 am]
BILLING CODE 8011-01-P



                                                                            Federal Register / Vol. 80, No. 168 / Monday, August 31, 2015 / Notices                                             52529

                                              SECURITIES AND EXCHANGE                                  Schedule of Fees to eliminate ISE’s HOT                  with section 6(b)(5) of the Act,10
                                              COMMISSION                                               Data service because the ISE has                         because is designed to promote just and
                                                                                                       determined to no longer offer this                       equitable principles of trade, remove
                                              [Release No. 34–75755; File No. SR–ISE–
                                              2015–24]
                                                                                                       service to members or non-members.                       impediments to and perfect the
                                                                                                          ISE’s HOT Data was generated from                     mechanisms of a free and open market
                                              Self-Regulatory Organizations;                           daily data received from the Options                     and a national market system and, in
                                              International Securities Exchange,                       Price Reporting Authority (‘‘OPRA’’),                    general, to protect investors and the
                                              LLC; Notice of Filing and Immediate                      which is the ‘‘securities information                    public interest.
                                              Effectiveness of Proposed Rule                           processor for market information                            The Exchange believes eliminating
                                              Change Relating to Market Data Fees                      generated by trading of securities                       the service is consistent with the
                                                                                                       options in the United States.’’ 3 The core               Exchange Act because it eliminates a
                                              August 25, 2015.                                         data disseminated by OPRA includes                       service relating to market data that the
                                                 Pursuant to section 19(b)(1) of the                   last sale reports and quotations;                        Exchange has determined to no longer
                                              Securities Exchange Act of 1934 (the                     however, OPRA also disseminates other                    offer to members or non-members. The
                                              ‘‘Act’’),1 and Rule 19b–4 thereunder,2                   information including, for example, the                  Exchange believes that the proposed
                                              notice is hereby given that on August                    number of options contracts traded,                      rule change is consistent with the
                                              21, 2015, the International Securities                   open interest, and end of day                            protection of investors and the public
                                              Exchange, LLC (the ‘‘Exchange’’ or the                   summaries.4 Specifically, to create ISE’s                interest because the underlying data is
                                              ‘‘ISE’’) filed with the Securities and                   HOT Data, the ISE captured OPRA tick                     available to market participants from
                                              Exchange Commission the proposed                         data 5 and made it available as an ‘‘end                 other sources. Although ISE’s HOT Data
                                              rule change as described in Items I, II,                 of day’’ file 6 or as a ‘‘historical’’ file 7 for        is separate from the core data feed
                                              and III below, which items have been                     HOT Data subscribers and other market                    available from OPRA, all the
                                              prepared by the self-regulatory                          participants that made ad hoc requests                   information that was available via the
                                              organization. The Commission is                                                                                   HOT Data feed is included in the OPRA
                                                                                                       for data.
                                              publishing this notice to solicit                                                                                 core data feed, and this data is widely
                                              comments on the proposed rule change                        The most recent fee charged to
                                                                                                       subscribers of HOT Data was $2,000 per                   distributed. Additionally, the OPRA tick
                                              from interested persons.                                                                                          data collected and stored by ISE is
                                                                                                       month on an annual subscription basis.
                                              I. Self-Regulatory Organization’s                        For ad-hoc requests, ISE charged $120                    neither exclusive nor proprietary to the
                                              Statement of the Terms of Substance of                   per day, with a minimum purchase of                      Exchange. As such, the Exchange notes
                                              the Proposed Rule Change                                 $1,000 plus a processing fee of $499 per                 that there is nothing unique in ISE’s
                                                                                                       order for up to 1.5 Terabytes (TB). An                   HOT data that a third party vendor
                                                 The purpose of this proposed rule
                                                                                                       order that exceeded 1.5 TB was charged                   could not also provide.
                                              change is to amend the Exchange’s
                                              Schedule of Fees to eliminate ISE’s                      an additional $399 for up to an                          B. Self-Regulatory Organization’s
                                              Historical Options Tick Data (‘‘HOT                      additional 1.5 TB.                                       Statement on Burden on Competition
                                              Data’’) service. The text of the proposed                   The Exchange now proposes to
                                                                                                                                                                   This proposed rule change does not
                                              rule change is available on the                          eliminate the HOT Data service.8
                                                                                                                                                                impose any burden on competition that
                                              Exchange’s Web site (http://                                                                                      is not necessary or appropriate in
                                                                                                       2. Statutory Basis
                                              www.ise.com), at the principal office of                                                                          furtherance of the purposes of the
                                              the Exchange, and at the Commission’s                      The Exchange believes that the
                                                                                                                                                                Exchange Act because ISE is eliminating
                                              Public Reference Room.                                   proposed rule change is consistent with
                                                                                                                                                                a service that provides data, which is
                                                                                                       the requirements of the Act and the
                                              II. Self-Regulatory Organization’s                                                                                available to market participants from
                                                                                                       rules and regulations thereunder that
                                              Statement of the Purpose of, and                                                                                  other sources.
                                                                                                       are applicable to a national securities
                                              Statutory Basis for, the Proposed Rule
                                                                                                       exchange, and, in particular, with the                   C. Self-Regulatory Organization’s
                                              Change
                                                                                                       requirements of section 6(b) of the Act.9                Statement on Comments on the
                                                 In its filing with the Commission, the                In particular, the proposal is consistent                Proposed Rule Change Received From
                                              self-regulatory organization included                                                                             Members, Participants, or Others
                                              statements concerning the purpose of,                       3 OPRA Overview at http://www.opradata.com/
                                                                                                                                                                  The Exchange has not solicited, and
                                              and basis for, the proposed rule change                  overview/opra_over.jsp.
                                                                                                                                                                does not intend to solicit, comments on
                                              and discussed any comments it received                      4 Id.
                                                                                                                                                                this proposed rule change. The
                                              on the proposed rule change. The text                       5 The Exchange collected this data throughout

                                                                                                       each trading day and at the end of each trading day,     Exchange has not received any
                                              of these statements may be examined at
                                                                                                       the Exchange compressed the data and uploaded it         unsolicited written comments from
                                              the places specified in Item IV below.                   onto a server. Once the data was loaded onto the         members or other interested parties.
                                              The self-regulatory organization has                     server, it was then made available to subscribers
                                              prepared summaries, set forth in                         and other market participants.                           III. Date of Effectiveness of the
                                                                                                          6 An end of day file refers to OPRA tick data for
                                              sections A, B and C below, of the most                                                                            Proposed Rule Change and Timing for
                                                                                                       a trading day that was distributed prior to the
                                              significant aspects of such statements.                  opening of the next trading day. An end of day file
                                                                                                                                                                Commission Action
                                              A. Self-Regulatory Organization’s                        was made available to subscribers as soon as                The Exchange believes that the
                                                                                                       practicable at the end of each trading day on an on-
                                              Statement of the Purpose of, and                         going basis pursuant to an annual subscription or
                                                                                                                                                                foregoing proposed rule change may
                                              Statutory Basis for, the Proposed Rule                   through an ad-hoc request.                               take effect upon filing with the
                                              Change                                                      7 An end of day file that was distributed after the   Commission pursuant to sction
tkelley on DSK3SPTVN1PROD with NOTICES




                                                                                                       start of the next trading day was called a historical    19(b)(3)(A) 11 of the Act and Rule 19b–
                                              1. Purpose                                               file. A historical file was available to customers for   4(f)(6) thereunder 12 because the
                                                                                                       a pre-determined date range by ad-hoc requests
                                                 The purpose of this proposed rule                     only.                                                    foregoing proposed rule change does not
                                              change is to amend the Exchange’s                           8 No rule requires the ISE or any other exchange
                                                                                                                                                                 10 15 U.S.C. 78f(b)(5).
                                                                                                       to offer this data nor are vendors required to
                                                1 15 U.S.C. 78s(b)(1).                                 purchase or display this data.                            11 15 U.S.C. 78s(b)(3)(A).
                                                2 17 CFR 240.19b–4.                                       9 15 U.S.C. 78f(b).                                    12 17 CFR 240.19b–4(f)(6).




                                         VerDate Sep<11>2014    16:19 Aug 28, 2015   Jkt 235001   PO 00000   Frm 00090   Fmt 4703   Sfmt 4703   E:\FR\FM\31AUN1.SGM      31AUN1


                                              52530                        Federal Register / Vol. 80, No. 168 / Monday, August 31, 2015 / Notices

                                              (i) significantly affect the protection of              10:00 a.m. and 3:00 p.m. Copies of such               I. Self-Regulatory Organization’s
                                              investors or the public interest, (ii)                  filing also will be available for                     Statement of the Terms of the Substance
                                              impose any significant burden on                        inspection and copying at the principal               of the Proposed Rule Change
                                              competition, and (iii) become operative                 office of the Exchange. All comments                     FINRA is proposing to adopt NASD
                                              for 30 days after its filing date, or such              received will be posted without change;               Rule 3040 (Private Securities
                                              shorter time as the Commission may                      the Commission does not edit personal                 Transactions of an Associated Person) as
                                              designate.                                              identifying information from                          FINRA Rule 3280 (Private Securities
                                                 At any time within 60 days of the                    submissions. You should submit only                   Transactions of an Associated Person) in
                                              filing of the proposed rule change, the                                                                       the consolidated FINRA rulebook
                                                                                                      information that you wish to make
                                              Commission summarily may                                                                                      without any substantive changes.
                                                                                                      available publicly. All submissions
                                              temporarily suspend such rule change if                                                                       FINRA also proposes to update cross-
                                              it appears to the Commission that such                  should refer to File Number SR–ISE–
                                                                                                      2015–24, and should be submitted on or                references within other FINRA rules
                                              action is: (i) Necessary or appropriate in                                                                    accordingly.
                                              the public interest; (ii) for the protection            before September 21, 2015.
                                                                                                                                                               The text of the proposed rule change
                                              of investors; or (iii) otherwise in                       For the Commission, by the Division of              is available at the principal office of
                                              furtherance of the purposes of the Act.                 Trading and Markets, pursuant to delegated            FINRA, on FINRA’s Web site at http://
                                              If the Commission takes such action, the                authority.13                                          www.finra.org, and at the Commission’s
                                              Commission shall institute proceedings                  Robert W. Errett,                                     Public Reference Room.
                                              to determine whether the proposed rule                  Deputy Secretary.
                                              should be approved or disapproved.                                                                            II. Self-Regulatory Organization’s
                                                                                                      [FR Doc. 2015–21403 Filed 8–28–15; 8:45 am]           Statement of the Purpose of, and
                                              IV. Solicitation of Comments                            BILLING CODE 8011–01–P                                Statutory Basis for, the Proposed Rule
                                                Interested persons are invited to                                                                           Change
                                              submit written data, views, and                                                                                  In its filing with the Commission,
                                              arguments concerning the foregoing,                     SECURITIES AND EXCHANGE
                                                                                                                                                            FINRA included statements concerning
                                              including whether the proposed rule                     COMMISSION                                            the purpose of and basis for the
                                              change is consistent with the Act.                                                                            proposed rule change and discussed any
                                              Comments may be submitted by any of                     [Release No. 34–75757; File No. SR–FINRA–             comments it received on the proposed
                                              the following methods:                                  2015–030]                                             rule change. The text of these statements
                                              Electronic Comments                                                                                           may be examined at the places specified
                                                                                                      Self-Regulatory Organizations;                        in Item IV below. FINRA has prepared
                                                • Use the Commission’s Internet                       Financial Industry Regulatory                         summaries, set forth in sections A, B,
                                              comment form (http://www.sec.gov/                       Authority, Inc.; Notice of Filing and                 and C below, of the most significant
                                              rules/sro.shtml); or                                    Immediate Effectiveness of a Proposed                 aspects of such statements.
                                                • Send an email to rule-comments@                     Rule Change To Adopt FINRA Rule
                                              sec.gov. Please include File Number SR–                                                                       A. Self-Regulatory Organization’s
                                                                                                      3280 (Private Securities Transactions
                                              ISE–2015–24 on the subject line.                                                                              Statement of the Purpose of, and
                                                                                                      of an Associated Person) in the
                                                                                                                                                            Statutory Basis for, the Proposed Rule
                                              Paper Comments                                          Consolidated FINRA Rulebook
                                                                                                                                                            Change
                                                • Send paper comments in triplicate                   August 25, 2015.
                                              to Brent J. Fields, Secretary, Securities                                                                     1. Purpose
                                              and Exchange Commission, 100 F Street                      Pursuant to section 19(b)(1) of the                   As part of the process of developing
                                              NE., Washington, DC 20549–1090.                         Securities Exchange Act of 1934                       a new consolidated rulebook
                                              All submissions should refer to File                    (‘‘Act’’) 1 and Rule 19b–4 thereunder,2               (‘‘Consolidated FINRA Rulebook’’),5
                                              Number SR–ISE–2015–24. This file                        notice is hereby given that on August                 FINRA is proposing to transfer NASD
                                              number should be included on the                        20, 2015, Financial Industry Regulatory               Rule 3040 (Private Securities
                                              subject line if email is used. To help the              Authority, Inc. (‘‘FINRA’’) filed with the            Transactions of an Associated Person)
                                              Commission process and review your                      Securities and Exchange Commission                    into the Consolidated FINRA Rulebook
                                              comments more efficiently, please use                   (‘‘Commission’’) the proposed rule                    as FINRA Rule 3280 (Private Securities
                                              only one method. The Commission will                    change as described in Items I, II, and               Transactions of an Associated Person)
                                              post all comments on the Commission’s                   III below, which Items have been                      without any substantive changes. As
                                              Internet Web site (http://www.sec.gov/                  substantially prepared by FINRA.                      with NASD Rule 3040, proposed FINRA
                                              rules/sro.shtml). Copies of the                         FINRA has designated the proposal as                  Rule 3280 states that, prior to
                                              submission, all subsequent                              constituting a ‘‘non-controversial’’                  participating in any private securities
                                              amendments, all written statements                      proposed rule change pursuant to                      transaction, any person associated with
                                              with respect to the proposed rule                       section 19(b)(3)(A) of the Act 3 and Rule             a FINRA member must provide written
                                              change that are filed with the                          19b–4(f)(6) thereunder,4 which renders                   5 The current FINRA rulebook consists of: (1)
                                              Commission, and all written                             it effective upon filing with the                     FINRA Rules; (2) NASD Rules; and (3) rules
                                              communications relating to the                          Commission. The Commission is                         incorporated from New York Stock Exchange LLC
                                              proposed rule change between the                        publishing this notice to solicit                     (‘‘NYSE’’) (‘‘Incorporated NYSE Rules’’) (together,
                                              Commission and any person, other than                                                                         the NASD Rules and Incorporated NYSE Rules are
                                                                                                      comments on the proposed rule change                  referred to as the ‘‘Transitional Rulebook’’). While
                                              those that may be withheld from the
                                                                                                      from interested persons.                              the NASD Rules generally apply to all FINRA
tkelley on DSK3SPTVN1PROD with NOTICES




                                              public in accordance with the                                                                                 members, the Incorporated NYSE Rules apply only
                                              provisions of 5 U.S.C. 552, will be                                                                           to those members of FINRA that are also members
                                              available for Web site viewing and                        13 17 CFR 200.30–3(a)(12).                          of the NYSE. The FINRA Rules apply to all FINRA
                                              printing in the Commission’s Public                       1 15 U.S.C. 78s(b)(1).                              members, unless such rules have a more limited
                                                                                                                                                            application by their terms. For more information
                                              Reference Room, 100 F Street NE.,                         2 17 CFR 240.19b–4.
                                                                                                                                                            about the rulebook consolidation process, see
                                              Washington, DC 20549 on official                          3 15 U.S.C. 78s(b)(3)(A).
                                                                                                                                                            Information Notice, March 12, 2008 (Rulebook
                                              business days between the hours of                        4 17 CFR 240.19b–4(f)(6).                           Consolidation Process).



                                         VerDate Sep<11>2014   16:19 Aug 28, 2015   Jkt 235001   PO 00000   Frm 00091   Fmt 4703   Sfmt 4703   E:\FR\FM\31AUN1.SGM   31AUN1



Document Created: 2018-02-23 11:04:43
Document Modified: 2018-02-23 11:04:43
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation80 FR 52529 

2024 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR