80 FR 52530 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 168 (August 31, 2015)
Federal Register Volume 80, Issue 168 (August 31, 2015)
| Page Range | 52530-52532 | |
| FR Document | 2015-21405 |
[Federal Register Volume 80, Number 168 (Monday, August 31, 2015)] [Notices] [Pages 52530-52532] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-21405] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-75757; File No. SR-FINRA-2015-030] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook August 25, 2015. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on August 20, 2015, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by FINRA. FINRA has designated the proposal as constituting a ``non- controversial'' proposed rule change pursuant to section 19(b)(3)(A) of the Act \3\ and Rule 19b-4(f)(6) thereunder,\4\ which renders it effective upon filing with the Commission. 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. \3\ 15 U.S.C. 78s(b)(3)(A). \4\ 17 CFR 240.19b-4(f)(6). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change FINRA is proposing to adopt NASD Rule 3040 (Private Securities Transactions of an Associated Person) as FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the consolidated FINRA rulebook without any substantive changes. FINRA also proposes to update cross-references within other FINRA rules accordingly. The text of the proposed rule change is available at the principal office of FINRA, on FINRA's Web site at http://www.finra.org, 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, FINRA 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. FINRA 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 the process of developing a new consolidated rulebook (``Consolidated FINRA Rulebook''),\5\ FINRA is proposing to transfer NASD Rule 3040 (Private Securities Transactions of an Associated Person) into the Consolidated FINRA Rulebook as FINRA Rule 3280 (Private Securities Transactions of an Associated Person) without any substantive changes. As with NASD Rule 3040, proposed FINRA Rule 3280 states that, prior to participating in any private securities transaction, any person associated with a FINRA member must provide written [[Page 52531]] notice to the member with which he or she is associated. The written notice must describe the transaction and the associated person's role, and disclose whether the associated person has received or may receive selling compensation in connection with the transaction. If the associated person has received or may receive selling compensation, the FINRA member must advise the individual in writing whether it approves or disapproves the associated person's participation in the transaction. If the member disapproves the associated person's participation in the transaction, the associated person may not directly or indirectly participate in the transaction in any manner. If the member approves the associated person's participation in the transaction, then the transaction must be recorded on the member's books and records, and the member must supervise the associated person's participation as if the transaction were executed on behalf of the member. If the associated person has not received and will not receive any selling compensation, the member must provide the associated person with written acknowledgement of the notice and, at its discretion, may impose conditions on the associated person's participation in the transaction. In addition, proposed FINRA Rule 3280 includes definitions of the terms ``private securities transaction'' and ``selling compensation'' that are substantively identical to the definitions in NASD Rule 3040. --------------------------------------------------------------------------- \5\ The current FINRA rulebook consists of: (1) FINRA Rules; (2) NASD Rules; and (3) rules incorporated from New York Stock Exchange LLC (``NYSE'') (``Incorporated NYSE Rules'') (together, the NASD Rules and Incorporated NYSE Rules are referred to as the ``Transitional Rulebook''). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE. The FINRA Rules apply to all FINRA members, unless such rules have a more limited application by their terms. For more information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). --------------------------------------------------------------------------- Proposed FINRA Rule 3280 closely tracks the language of NASD Rule 3040 and makes only non-substantive, technical changes to the text of the NASD rule by, for instance, replacing the reference to a legacy NASD rule with the applicable FINRA rule.\6\ --------------------------------------------------------------------------- \6\ FINRA previously solicited comment on a proposal to move NASD Rule 3040 to the Consolidated FINRA Rulebook with substantive changes and make it part of FINRA's supervision rule, but determined to address NASD Rule 3040 as a separate proposal. See Regulatory Notice 08-24 (May 2008); see also Exchange Act Release No. 64736 (June 23, 2011), 76 FR 38245 (June 29, 2011) (Notice of Filing File No. SR-FINRA-2011-028) (withdrawn on September 27, 2011)). Given that FINRA would like to proceed with the rulebook consolidation process expeditiously to provide greater clarity and regulatory efficiency to FINRA members, FINRA is proposing to move NASD Rule 3040 to the Consolidated FINRA Rulebook without substantive changes at this time, but FINRA may consider proposing substantive changes to the rule in the future. --------------------------------------------------------------------------- The proposed rule change would also replace all references to NASD Rule 3040 in FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2150.04 (Applicability of Other Rules to Sharing Arrangements), 3270 (Outside Business Activities of Registered Persons), and 6630 (Applicability of FINRA Rules to Securities Previously Designated as PORTAL Securities) with references to proposed FINRA Rule 3280 accordingly. FINRA has filed the proposed rule change for immediate effectiveness. 2. Statutory Basis FINRA believes that the proposed rule change is consistent with the provisions of section 15A(b)(6) of the Act,\7\ which requires, among other things, that FINRA rules must be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. FINRA believes that the proposed rule change, which does not substantively change the rule, is consistent with the Act because it is being undertaken pursuant to the rulebook consolidation process, which is designed to provide additional clarity and regulatory efficiency to FINRA members by consolidating the applicable NASD, Incorporated NYSE, and FINRA rules into one rule set. --------------------------------------------------------------------------- \7\ 15 U.S.C. 78o-3(b)(6). --------------------------------------------------------------------------- B. Self-Regulatory Organization's Statement on Burden on Competition FINRA does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. As noted above, the proposed rule change will not substantively change either the text or application of the rule. FINRA would like to proceed with the rulebook consolidation process expeditiously, which it believes will provide additional clarity and regulatory efficiency to members. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received with respect to the proposed rule change to transfer NASD Rule 3040 into the Consolidated FINRA Rulebook without any substantive changes.\8\ --------------------------------------------------------------------------- \8\ But see supra note 6. --------------------------------------------------------------------------- III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The Exchange has designated the proposed rule change as non- controversial under section 19(b)(3)(A) of the Act \9\ and Rule 19b- 4(f)(6) thereunder.\10\ 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, it has become effective pursuant to section 19(b)(3)(A) of the Act and Rule 19b- 4(f)(6) thereunder. --------------------------------------------------------------------------- \9\ 15 U.S.C. 78s(b)(3)(A). \10\ 17 CFR 240.19b-4(f)(6). --------------------------------------------------------------------------- In accordance with Rule 19b-4(f)(6),\11\ FINRA submitted written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing, or such shorter time as the Commission may designate, as specified in Rule 19b-4(f)(6)(iii) under the Act.\12\ --------------------------------------------------------------------------- \11\ 17 CFR 240.19b-4(f)(6). \12\ 17 CFR 240.19b-4(f)(6)(iii). --------------------------------------------------------------------------- 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 CommentsUse 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-FINRA-2015-030 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-FINRA-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/ [[Page 52532]] 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 FINRA. 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-FINRA-2015- 030, 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. 2015-21405 Filed 8-28-15; 8:45 am] BILLING CODE 8011-01-P
![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).
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![52532 Federal Register / Vol. 80, No. 168 / Monday, August 31, 2015 / Notices
rules/sro.shtml). Copies of the Exchange under Section 19(b)(3)(A)(ii) Office, and Non-BATS Market Maker to
submission, all subsequent of the Act 3 and Rule 19b–4(f)(2) the BATS Options fee schedule. More
amendments, all written statements thereunder,4 which renders the specifically, the Exchange is proposing
with respect to the proposed rule proposed rule change effective upon to add the following definitions: (i)
change that are filed with the filing with the Commission. The ‘‘Broker Dealer’’ applies to any order for
Commission, and all written Commission is publishing this notice to the account of a broker dealer, including
communications relating to the solicit comments on the proposed rule a foreign broker dealer, that clears in the
proposed rule change between the change from interested persons. Customer range at the Options Clearing
Commission and any person, other than Corporation (‘‘OCC’’); (ii) ‘‘Joint Back
I. Self-Regulatory Organization’s
those that may be withheld from the Office’’ applies to any transaction
Statement of the Terms of Substance of
public in accordance with the identified by a Member for clearing in
the Proposed Rule Change
provisions of 5 U.S.C. 552, will be the Firm Range at the OCC that is
available for Web site viewing and The Exchange filed a proposal to identified with an origin code as Joint
printing in the Commission’s Public amend the fee schedule applicable to Back Office. A Joint Back Office
Reference Room, 100 F Street NE., Members 5 and non-members of the participant is a Member that maintains
Washington, DC 20549 on official Exchange pursuant to BATS Rules a Joint Back Office arrangement with a
business days between the hours of 15.1(a) and (c). clearing broker-dealer; and (iii) ‘‘Non-
10:00 a.m. and 3:00 p.m. Copies of the The text of the proposed rule change BATS Market Maker’’ applies to any
filing also will be available for is available at the Exchange’s Web site transaction identified by a Member for
inspection and copying at the principal at www.batstrading.com, at the clearing in the Market Maker range at
office of FINRA. All comments received principal office of the Exchange, and at the OCC, where such Member is not
will be posted without change; the the Commission’s Public Reference registered with the Exchange as a
Commission does not edit personal Room.
Market Maker, but is registered as a
identifying information from II. Self-Regulatory Organization’s market maker on another options
submissions. You should submit only Statement of the Purpose of, and exchange. In conjunction with the
information that you wish to make Statutory Basis for, the Proposed Rule proposed new defined terms above, the
available publicly. All submissions Change Exchange proposes to amend the fee
should refer to File Number SR–FINRA– schedule in multiple places (including
2015–030, and should be submitted on In its filing with the Commission, the
Exchange included statements the Standard Rates and Fee Codes and
or before September 21, 2015. Associated Fees tables along with
concerning the purpose of and basis for
For the Commission, by the Division of the proposed rule change and discussed Footnotes 2, 3, 4, 6, 7, and 8) such that
Trading and Markets, pursuant to delegated any comments it received on the pricing for Broker Dealer and Joint Back
authority.13 Office transactions is the same as for
proposed rule change. The text of these
Robert W. Errett, Firm transactions and Non-BATS
statements may be examined at the
Deputy Secretary. places specified in Item IV below. The Market Maker transactions is the same
[FR Doc. 2015–21405 Filed 8–28–15; 8:45 am] Exchange has prepared summaries, set as Market Maker transactions. In certain
BILLING CODE 8011–01–P forth in Sections A, B, and C below, of places, this includes using the term
the most significant parts of such ‘‘Non-Customer’’ in order to capture
statements. pricing that relates to Professional,
SECURITIES AND EXCHANGE Firm, Market Maker, Broker Dealer,
COMMISSION (A) Self-Regulatory Organization’s Joint Back Office, and Non-BATS
Statement of the Purpose of, and Market Maker transactions.
[Release No. 34–75754; File No. SR–BATS– Statutory Basis for, the Proposed Rule
2015–63] In conjunction with these proposed
Change
additions, the Exchange is also
Self-Regulatory Organizations; BATS 1. Purpose proposing to amend the current
Exchange, Inc.; Notice of Filing and definitions of Customer, Market Maker,
The Exchange proposes to modify the
Immediate Effectiveness of a Proposed and Firm on the BATS Options fee
‘‘Options Pricing’’ section of its fee
Rule Change Related to Fees for Use schedule. Currently, the fee schedule
schedule, effective immediately, in
of BATS Exchange, Inc. states that ‘‘Customer’’ applies to any
order to modify pricing charged by the
August 25, 2015. Exchange’s options platform (‘‘BATS transaction identified by a Member for
Pursuant to Section 19(b)(1) of the Options’’) including: (i) To add clearing in the Customer range at the
Securities Exchange Act of 1934 (the definitions of Broker Dealer, Joint Back OCC, excluding any transaction for a
‘‘Act’’),1 and Rule 19b–4 thereunder,2 Office, and Non-BATS Market Maker; ‘‘Professional’’ as defined in Exchange
notice is hereby given that on August (ii) to update the definitions of Rule 16.1; ‘‘Market Maker’’ applies to
12, 2015, BATS Exchange, Inc. (the Customer and Market Maker; (iii) to any transaction identified by a Member
‘‘Exchange’’ or ‘‘BATS’’) filed with the make certain corresponding changes for clearing in the Market Maker range
Securities and Exchange Commission associated with these new and updated at the OCC; and ‘‘Firm’’ applies to any
(‘‘Commission’’) the proposed rule definitions; and (iv) to create a new transaction identified by a Member for
change as described in Items I, II and III Professional Penny Pilot Add Volume clearing in the Firm range at the OCC.
below, which Items have been prepared Tier. In order to make these definitions work
by the Exchange. The Exchange has The Exchange is proposing to add the with proposed new definitions for
tkelley on DSK3SPTVN1PROD with NOTICES
designated the proposed rule change as definitions of Broker Dealer, Joint Back Broker Dealer, Non-BATS Market
one establishing or changing a member Maker, and Joint Back Office described
due, fee, or other charge imposed by the
3 15 U.S.C. 78s(b)(3)(A)(ii). above, the Exchange is proposing that
4 17 CFR 240.19b–4(f)(2). the definitions should read as follows:
5 The term ‘‘Member’’ is defined as ‘‘any
13 17 CFR 200.30–3(a)(12). registered broker or dealer that has been admitted
(i) ‘‘Customer’’ applies to any
1 15 U.S.C. 78s(b)(1). to membership in the Exchange.’’ See Exchange transaction identified by a Member for
2 17 CFR 240.19b–4. Rule 1.5(n). clearing in the Customer range at the
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Document Created: 2018-02-23 11:04:34
Document Modified: 2018-02-23 11:04:34
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 80 FR 52530 |
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