80 FR 58527 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing on BATS Exchange, Inc.
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 188 (September 29, 2015)
Federal Register Volume 80, Issue 188 (September 29, 2015)
| Page Range | 58527-58528 | |
| FR Document | 2015-24599 |
[Federal Register Volume 80, Number 188 (Tuesday, September 29, 2015)] [Notices] [Pages 58527-58528] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-24599] ======================================================================= ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-75970; File No. SR-BATS-2015-57] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing on BATS Exchange, Inc. September 23, 2015. On July 30, 2015, BATS Exchange, Inc. (``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to adopt an expedited proceeding for issuing suspension orders, and if necessary, imposing other sanctions, to prohibit Exchange Members, or their clients, from engaging in trading activities that constitute continued layering or spoofing on the Exchange. On August 11, 2015, the Exchange filed Amendment No. 1 to the proposal.\3\ The proposed rule change, as modified by Amendment No. 1, was published for comment in the Federal Register on [[Page 58528]] August 19, 2015.\4\ The Commission received five comment letters regarding the proposed rule change.\5\ --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. \3\ Amendment No. 1 amended and replaced the original proposal in its entirety. \4\ See Securities Exchange Act Release No. 75693 (August 13, 2015), 80 FR 50370. \5\ See letters from: Teresa Machado B., dated August 19, 2015; Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, dated September 3, 2015; R.T. Leuchtkafer to Brent J. Fields, Secretary, Commission, dated September, 4, 2015; Mary Ann Burns, Chief Operating Officer, FIA Principal Traders Group, to Brent J. Fields, Secretary, Commission, dated September, 9, 2015; and Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, dated September 18, 2015. --------------------------------------------------------------------------- Section 19(b)(2) of the Act \6\ provides that, within 45 days of the publication of the notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding, or as to which the self- regulatory organization consents, the Commission shall either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether the proposed rule change should be disapproved. The 45th day for this filing is October 3, 2015. The Commission is extending this 45-day time period. --------------------------------------------------------------------------- \6\ 15 U.S.C. 78s(b)(2). --------------------------------------------------------------------------- The Commission finds that it is appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposed rule change, the comments received, and any response to the comments submitted by the Exchange. Accordingly, the Commission, pursuant to Section 19(b)(2) of the Act,\7\ designates November 17, 2015 as the date by which the Commission should either approve or disapprove or institute proceedings to determine whether to disapprove the proposed rule change (File Number SR-BATS-2015-57). --------------------------------------------------------------------------- \7\ Id. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\8\ --------------------------------------------------------------------------- \8\ 17 CFR 200.30-3(a)(31). --------------------------------------------------------------------------- Robert W. Errett, Deputy Secretary. [FR Doc. 2015-24599 Filed 9-28-15; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 188 / Tuesday, September 29, 2015 / Notices 58527
Regulatory Affairs (OIRA), Office of ‘‘insured’’ under the RRA at the time of Form(s) submitted: AA–11a, AA–
Management and Budget (OMB). Our death. If the deceased employee was not 21cert, AA–21, G–131, G–273a.
ICR describes the information we seek insured, jurisdiction of any survivor Type of request: Revision of an
to collect from the public. Review and benefits payable is transferred to the approved collection.
approval by OIRA ensures that we Social Security Administration and Affected public: Individuals or
impose appropriate paperwork burdens. survivor benefits are paid by that agency Households.
The RRB invites comments on the instead of the RRB. The requirements Abstract: The collection obtains the
proposed collection of information to for applying for benefits are prescribed information needed to pay death
determine (1) the practical utility of the in 20 CFR 217, 219, and 234. benefits and annuities due but unpaid at
collection; (2) the accuracy of the The collection obtains the information death under the Railroad Retirement
estimated burden of the collection; (3) required by the RRB to determine Act. Benefits are paid to designated
ways to enhance the quality, utility, and entitlement to and amount of the beneficiaries or to survivors in a priority
clarity of the information that is the survivor death benefits applied for. To designated law.
subject of collection; and (4) ways to collect the information, the RRB uses Changes proposed: The RRB proposes
minimize the burden of collections on Forms AA–11a, Designation for Change the following changes to the forms in
respondents, including the use of of Beneficiary for Residual Lump-Sum; the information collection:
automated collection techniques or AA–21, Application for Lump-Sum • Form AA–11a—Remove from the
other forms of information technology. Death Payment and Annuities Unpaid information collection due to less than
Comments to the RRB or OIRA must at Death; AA–21cert, Application 10 responses a year.
contain the OMB control number of the Summary and Certification; G–131, • Form AA–21—Add clarifying
ICR. For proper consideration of your Authorization of Payment and Release language to better define who qualifies
comments, it is best if the RRB and of All Claims to a Death Benefit or
for a child’s annuity and other minor
OIRA receive them within 30 days of Accrued Annuity Payment; and G–273a,
editorial changes.
Funeral Director’s Statement of Burial
the publication date. • Form G–131—For clarity, add an
Charges. One response is requested of
Under Section 6 of the Railroad Instructions section and space for the
each respondent. Completion is
Retirement Act (RRA), lump-sum death RRB to enter the applicant’s name and
required to obtain benefits.
benefits are payable to surviving Previous Requests for Comments: The the waived share amount.
widow(er)s, children, and certain other RRB has already published the initial • Form G–273a—Add clarifying
dependents. Lump-sum death benefits 60-day notice (80 FR 44402 on July 27, language to Item 2, regarding the total
are payable after the death of a railroad 2015) required by 44 U.S.C. 3506(c)(2). amount of charges the funeral home
employee only if there are no qualified That request elicited no comments. should enter; and what the funeral
survivors of the employee immediately home should list as types of payments
eligible for annuities. With the Information Collection Request (ICR) received or expected to be received to
exception of the residual death benefit, Title: Application for Survivor Death Item 3.
eligibility for survivor benefits depends Benefits. The burden estimate for the ICR is as
on whether the deceased employee was OMB Control Number: 3220–0031. follows:
Annual Time Burden
Form No. responses (minutes) (hours)
AA–21 (without assistance) ......................................................................................................... 200 40 133
AA–21cert (with assistance) ........................................................................................................ 3,500 20 1,167
G–131 .......................................................................................................................................... 100 5 8
G–273a ........................................................................................................................................ 4,000 10 667
Total ...................................................................................................................................... 7,800 ........................ 1,975
Additional Information or Comments: SECURITIES AND EXCHANGE 19(b)(1) of the Securities Exchange Act
Copies of the forms and supporting COMMISSION of 1934 (‘‘Act’’) 1 and Rule 19b–4
documents can be obtained from Dana [Release No. 34–75970; File No. SR–BATS–
thereunder,2 a proposed rule change to
Hickman at (312) 751–4981 or 2015–57] adopt an expedited proceeding for
Dana.Hickman@RRB.GOV. issuing suspension orders, and if
Comments regarding the information Self-Regulatory Organizations; BATS necessary, imposing other sanctions, to
collection should be addressed to Exchange, Inc.; Notice of Designation prohibit Exchange Members, or their
Charles Mierzwa, Railroad Retirement of a Longer Period for Commission clients, from engaging in trading
Board, 844 North Rush Street, Chicago, Action on a Proposed Rule Change, as activities that constitute continued
Modified by Amendment No. 1 Thereto, layering or spoofing on the Exchange.
Illinois 60611–2092 or
To Adopt New Rule 8.17 To Provide a On August 11, 2015, the Exchange filed
Charles.Mierzwa@RRB.GOV and to the
Process for an Expedited Suspension Amendment No. 1 to the proposal.3 The
OMB Desk Officer for the RRB, Fax:
asabaliauskas on DSK5VPTVN1PROD with NOTICES
Proceeding and Rule 12.15 To Prohibit proposed rule change, as modified by
202–395–6974, Email address: OIRA_ Layering and Spoofing on BATS
Submission@omb.eop.gov. Amendment No. 1, was published for
Exchange, Inc. comment in the Federal Register on
Charles Mierzwa, September 23, 2015.
Chief of Information Resources Management. On July 30, 2015, BATS Exchange, 1 15 U.S.C. 78s(b)(1).
[FR Doc. 2015–24641 Filed 9–28–15; 8:45 am] Inc. (‘‘Exchange’’) filed with the 2 17 CFR 240.19b–4.
BILLING CODE 7905–01–P Securities and Exchange Commission 3 Amendment No. 1 amended and replaced the
(‘‘Commission’’), pursuant to Section original proposal in its entirety.
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![58528 Federal Register / Vol. 80, No. 188 / Tuesday, September 29, 2015 / Notices
August 19, 2015.4 The Commission SECURITIES AND EXCHANGE and policies as set forth above. The
received five comment letters regarding COMMISSION Committee’s membership will continue
the proposed rule change.5 to be balanced fairly in terms of points
[Release Nos. 33–9927; 34–75973; File No.
Section 19(b)(2) of the Act 6 provides of view represented and functions to be
265–27]
performed. Non-voting observers for the
that, within 45 days of the publication
Advisory Committee on Small and Committee from the North American
of the notice of the filing of a proposed
Emerging Companies Securities Administrators Association
rule change, or within such longer and the U.S. Small Business
period up to 90 days as the Commission AGENCY: Securities and Exchange Administration may also be named.
may designate if it finds such longer Commission. The charter provides that the duties of
period to be appropriate and publishes ACTION: Notice of Federal Advisory the Committee are to be solely advisory.
its reasons for so finding, or as to which Committee Renewal. The Commission alone will make any
the self-regulatory organization determinations of action to be taken and
consents, the Commission shall either SUMMARY: The Securities and Exchange policy to be expressed with respect to
approve the proposed rule change, Commission is publishing this notice to matters within the Commission’s
disapprove the proposed rule change, or announce the renewal of the Securities authority as to which the Committee
institute proceedings to determine and Exchange Commission Advisory provides advice or makes
whether the proposed rule change Committee on Small and Emerging recommendations. The Committee will
should be disapproved. The 45th day for Companies. meet at such intervals as are necessary
this filing is October 3, 2015. The FOR FURTHER INFORMATION CONTACT: Julie to carry out its functions. The charter
Commission is extending this 45-day Davis, Senior Special Counsel, Office of contemplates that the full Committee
time period. Small Business Policy, Securities and will meet four times annually. Meetings
Exchange Commission, 100 F Street NE., of subgroups or subcommittees of the
The Commission finds that it is full Committee may occur more
appropriate to designate a longer period Washington, DC 20549, (202) 551–3460.
frequently.
within which to take action on the SUPPLEMENTARY INFORMATION: In
The Committee will operate for two
proposed rule change so that it has accordance with the requirements of the years from the date it was renewed or
sufficient time to consider the proposed Federal Advisory Committee Act, 5 such earlier date as determined by the
rule change, the comments received, U.S.C.—App., the Commission is Commission unless, before the
and any response to the comments publishing this notice that the Chair of expiration of that time period, it is
submitted by the Exchange. the Commission, with the concurrence renewed in accordance with the Federal
of the other Commissioners, has Advisory Committee Act. A copy of the
Accordingly, the Commission, pursuant
approved the renewal of the Securities charter for the Committee has been filed
to Section 19(b)(2) of the Act,7
and Exchange Commission Advisory with the Chair of the Commission, the
designates November 17, 2015 as the
Committee on Small and Emerging Committee on Banking, Housing, and
date by which the Commission should Companies (the ‘‘Committee’’). The
either approve or disapprove or institute Urban Affairs of the United States
Chair of the Commission affirms that the Senate, the Committee on Financial
proceedings to determine whether to renewal of the Committee is necessary
disapprove the proposed rule change Services of the United States House of
and in the public interest. Representatives, the Committee
(File Number SR–BATS–2015–57). The Committee’s objective is to Management Secretariat of the General
For the Commission, by the Division of provide the Commission with advice on Services Administration, and the
Trading and Markets, pursuant to delegated its rules, regulations, and policies, with Library of Congress. It also has been
authority.8 regard to its mission of protecting posted on the Commission’s Web site at
Robert W. Errett, investors, maintaining fair, orderly, and www.sec.gov.
efficient markets, and facilitating capital
Deputy Secretary. By the Commission.
formation, as they relate to the
[FR Doc. 2015–24599 Filed 9–28–15; 8:45 am] Dated: September 24, 2015.
following:
BILLING CODE 8011–01–P (1) Capital raising by emerging Brent J. Fields,
privately held small businesses Secretary.
(‘‘emerging companies’’) and publicly [FR Doc. 2015–24634 Filed 9–28–15; 8:45 am]
traded companies with less than $250 BILLING CODE 8011–01–P
million in public market capitalization
(‘‘smaller public companies’’) through
securities offerings, including private SECURITIES AND EXCHANGE
and limited offerings and initial and COMMISSION
4 See Securities Exchange Act Release No. 75693 other public offerings;
Sunshine Act Meeting
(August 13, 2015), 80 FR 50370. (2) trading in the securities of
5 See letters from: Teresa Machado B., dated emerging companies and smaller public Notice is hereby given, pursuant to
August 19, 2015; Samuel F. Lek, Chief Executive companies; and the provisions of the Government in the
Officer, Lek Securities Corporation, dated (3) public reporting and corporate Sunshine Act, Public Law 94–409, that
September 3, 2015; R.T. Leuchtkafer to Brent J. governance requirements of emerging the Securities and Exchange
asabaliauskas on DSK5VPTVN1PROD with NOTICES
Fields, Secretary, Commission, dated September, 4,
companies and smaller public Commission will hold a Closed Meeting
2015; Mary Ann Burns, Chief Operating Officer, FIA
Principal Traders Group, to Brent J. Fields,
companies. on Thursday, October 1, 2015 at 2 p.m.
Secretary, Commission, dated September, 9, 2015; Up to 20 voting members will be Commissioners, Counsel to the
and Samuel F. Lek, Chief Executive Officer, Lek appointed to the Committee who can Commissioners, the Secretary to the
Securities Corporation, dated September 18, 2015. effectively represent those directly Commission, and recording secretaries
6 15 U.S.C. 78s(b)(2). affected by, interested in, and/or will attend the Closed Meeting. Certain
7 Id. qualified to provide advice to the staff members who have an interest in
8 17 CFR 200.30–3(a)(31). Commission on its rules, regulations, the matters also may be present.
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Document Created: 2015-12-15 09:47:20
Document Modified: 2015-12-15 09:47:20
| 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 58527 |
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