80 FR 61857 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Certain Exchange Disciplinary Rules To Facilitate the Reintegration of Certain Regulatory Functions From Financial Industry Regulatory Authority, Inc.

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 198 (October 14, 2015)

Page Range		61857-61857
FR Document		2015-26031

Federal Register, Volume 80 Issue 198 (Wednesday, October 14, 2015)

[Federal Register Volume 80, Number 198 (Wednesday, October 14, 2015)]
[Notices]
[Page 61857]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-26031]


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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76088; File No. SR-NYSE-2015-35]


Self-Regulatory Organizations; New York Stock Exchange LLC; 
Notice of Designation of a Longer Period for Commission Action on a 
Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend 
Certain Exchange Disciplinary Rules To Facilitate the Reintegration of 
Certain Regulatory Functions From Financial Industry Regulatory 
Authority, Inc.

October 7, 2015.
    On August 5, 2015, New York Stock Exchange LLC (``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 amending 
certain of its disciplinary rules to facilitate the reintegration of 
certain regulatory functions from Financial Industry Regulatory 
Authority, Inc.. On August 14, 2015, the Exchange filed Amendment No. 1 
to the proposed rule change, which amended and replaced the proposed 
rule change in its entirety. The proposed rule change, as modified by 
Amendment No. 1, was published in the Federal Register on August 24, 
2015.\3\ On October 6, 2015, the Exchange filed Amendment No. 2 to the 
proposal. No comments were received on the proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 19s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 75721 (August 18, 
2015), 80 FR 51334.
---------------------------------------------------------------------------

    Section 19(b)(2) of the Act \4\ provides that within 45 days of the 
publication of 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 8, 2015. The Commission is 
extending this 45-day time period. The Commission finds it appropriate 
to designate a longer period within which to take action on the 
proposed rule change so that it has sufficient time to consider this 
proposed rule change, as modified by Amendment Nos. 1 and 2.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------

    Accordingly, the Commission, pursuant to section 19(b)(2) of the 
Act,\5\ designates November 22, 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 No. SR-NYSE-2015-35).
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\6\
---------------------------------------------------------------------------

    \6\ 17 CFR 200.30-3(a)(31).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-26031 Filed 10-13-15; 8:45 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 80, No. 198 / Wednesday, October 14, 2015 / Notices 61857

determine whether the proposed rule For the Commission, by the Division of proposed rule change should be
should be approved or disapproved. Trading and Markets, pursuant to delegated disapproved. The 45th day for this filing
authority.18 is October 8, 2015. The Commission is
IV. Solicitation of Comments Robert W. Errett, extending this 45-day time period. The
Interested persons are invited to Deputy Secretary. Commission finds it appropriate to
submit written data, views and [FR Doc. 2015–26033 Filed 10–13–15; 8:45 am] designate a longer period within which
arguments concerning the foregoing, BILLING CODE 8011–01–P to take action on the proposed rule
including whether the proposal is change so that it has sufficient time to
consistent with the Act. Comments may consider this proposed rule change, as
be submitted by any of the following SECURITIES AND EXCHANGE modified by Amendment Nos. 1 and 2.
methods: COMMISSION Accordingly, the Commission,
pursuant to section 19(b)(2) of the Act,5
Electronic Comments [Release No. 34–76088; File No. SR–NYSE–
designates November 22, 2015, as the
2015–35]
date by which the Commission should
• Use the Commission’s Internet
Self-Regulatory Organizations; New either approve or disapprove, or
comment form (http://www.sec.gov/
York Stock Exchange LLC; Notice of institute proceedings to determine
rules/sro.shtml); or
Designation of a Longer Period for whether to disapprove, the proposed
• Send an email to rule- rule change (File No. SR–NYSE–2015–
comments@sec.gov. Please include File Commission Action on a Proposed
Rule Change, as Modified by 35).
No. SR–BATS–2015–77 on the subject
line. Amendment Nos. 1 and 2, To Amend For the Commission, by the Division of
Certain Exchange Disciplinary Rules Trading and Markets, pursuant to delegated
Paper Comments To Facilitate the Reintegration of authority.6
Certain Regulatory Functions From Robert W. Errett,
• Send paper comments in triplicate Financial Industry Regulatory Deputy Secretary.
to Secretary, Securities and Exchange Authority, Inc. [FR Doc. 2015–26031 Filed 10–13–15; 8:45 am]
Commission, 100 F Street NE.,
BILLING CODE 8011–01–P
Washington, DC 20549–1090. October 7, 2015.
All submissions should refer to File No. On August 5, 2015, New York Stock
SR–BATS–2015–77. This file number Exchange LLC (‘‘Exchange’’) filed with SECURITIES AND EXCHANGE
should be included on the subject line the Securities and Exchange COMMISSION
if email is used. To help the Commission (‘‘Commission’’) pursuant
to section 19(b)(1) of the Securities [Investment Company Act Release No.
Commission process and review your 31863; File No. 812–14533]
comments more efficiently, please use Exchange Act of 1934 (‘‘Act’’) 1 and Rule
only one method. The Commission will 19b–4 thereunder,2 a proposed rule CLA Strategic Allocation Fund and
post all comments on the Commission’s change amending certain of its CLA Asset Management, LLC; Notice
Internet Web site (http://www.sec.gov/ disciplinary rules to facilitate the of Application
rules/sro.shtml). Copies of the reintegration of certain regulatory
functions from Financial Industry October 7, 2015.
submission, all subsequent
Regulatory Authority, Inc.. On August AGENCY: Securities and Exchange
amendments, all written statements
14, 2015, the Exchange filed Commission (‘‘Commission’’).
with respect to the proposed rule
Amendment No. 1 to the proposed rule ACTION: Notice of an application under
change that are filed with the
Commission, and all written change, which amended and replaced section 6(c) of the Investment Company
communications relating to the the proposed rule change in its entirety. Act of 1940 (the ‘‘Act’’) for an
proposed rule change between the The proposed rule change, as modified exemption from sections 18(c) and 18(i)
Commission and any person, other than by Amendment No. 1, was published in of the Act, under sections 6(c) and
those that may be withheld from the the Federal Register on August 24, 23(c)(3) of the Act for an exemption
public in accordance with the 2015.3 On October 6, 2015, the from rule 23c–3 under the Act, and for
provisions of 5 U.S.C. 552, will be Exchange filed Amendment No. 2 to the an order pursuant to section 17(d) of the
proposal. No comments were received Act and rule 17d–1 under the Act.
available for Web site viewing and
printing in the Commission’s Public on the proposed rule change.
SUMMARY: Summary of Application:
Reference Room, 100 F Street NE., Section 19(b)(2) of the Act 4 provides
Applicants request an order to permit
Washington, DC 20549, on official that within 45 days of the publication of
certain registered closed-end
business days between the hours of notice of the filing of a proposed rule
management investment companies to
10:00 a.m. and 3:00 p.m. Copies of such change, or within such longer period up
issue multiple classes of shares and to
filing will also be available for to 90 days as the Commission may
impose asset-based distribution fees and
inspection and copying at the principal designate if it finds such longer period
early withdrawal charges (‘‘EWCs’’).
office of the Exchange. All comments to be appropriate and publishes its Applicants: CLA Strategic Allocation
received will be posted without change; reasons for so finding or as to which the Fund (the ‘‘Initial Fund’’) and CLA
the Commission does not edit personal self-regulatory organization consents, Asset Management, LLC (the
identifying information from the Commission shall either approve the ‘‘Adviser’’).
submissions. You should submit only proposed rule change, disapprove the
proposed rule change, or institute DATES: Filing Dates: The application
tkelley on DSK3SPTVN1PROD with NOTICES

information that you wish to make was filed on August 13, 2015, and
available publicly. All submissions proceedings to determine whether the
amended on September 29, 2015.
should refer to File No. SR–BATS– 1 15 Hearing or Notification of Hearing: An
U.S.C. 19s(b)(1).
2015–77 and should be submitted on or 2 17 order granting the requested relief will
CFR 240.19b–4.
before November 4, 2015. 3 See Securities Exchange Act Release No. 75721

(August 18, 2015), 80 FR 51334. 5 15 U.S.C. 78s(b)(2).
18 17 CFR 200.30–3(a)(12). 4 15 U.S.C. 78s(b)(2). 6 17 CFR 200.30–3(a)(31).

VerDate Sep<11>2014 16:39 Oct 13, 2015 Jkt 238001 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\14OCN1.SGM 14OCN1

Document Created: 2018-02-27 08:50:14
Document Modified: 2018-02-27 08:50:14

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 61857