80 FR 71868 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Constituting a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 28

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 221 (November 17, 2015)

Page Range		71868-71870
FR Document		2015-29228

Federal Register, Volume 80 Issue 221 (Tuesday, November 17, 2015)

[Federal Register Volume 80, Number 221 (Tuesday, November 17, 2015)]
[Notices]
[Pages 71868-71870]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2015-29228]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76422; File No. SR-NYSE-2015-45]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Constituting a Stated Interpretation With Respect to the Meaning,
Administration, and Enforcement of Rule 28

November 10, 2015.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that October 28,

[[Page 71869]]

2015, New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') filed
with the Securities and Exchange Commission (the ``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been prepared by the self-regulatory organization. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

The Exchange proposes to constitute a stated interpretation with
respect to the meaning, administration, and enforcement of Rule 28. The
proposed rule change is available on the Exchange's Web site at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.

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

In its filing with the Commission, the self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
The Exchange proposes a rule change that constitutes a stated
interpretation with respect to the meaning, administration, and
enforcement of Rule 28 (``Rule 28''). The Exchange is not proposing any
changes to the text of the current version of Rule 28.
Approved in 2003,\4\ Rule 28 describes and provides the basis for
the Exchange's practice of conducting fingerprint-based criminal record
checks. The Rule permits the Exchange to obtain fingerprints of
prospective and current employees, temporary personnel, independent
contractors and service providers of the Exchange and its principal
subsidiaries; submit those fingerprints to the Attorney General of the
United States or his or her designee (``Attorney General'') for
identification and processing; and receive criminal history record
information from the Attorney General for evaluation and use, in
accordance with applicable law, in enhancing the security of the
facilities, systems, data, and/or records of the Exchange and its
principal subsidiaries.
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\4\ See Securities Exchange Act Release No. 4811 (July 1, 2003),
68 FR 41033 (July 9, 2003) (SR-NYSE-2003-18).
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The Exchange utilizes a Live-Scan \5\ electronic system to capture
and transmit fingerprints directly to the Federal Bureau of
Investigation (``FBI''), which maintains on behalf of the Attorney
General a database of fingerprint-based criminal history records. The
capture and transmittal function, and corresponding receipt of criminal
history information from the FBI, is handled directly by Exchange
personnel. The Exchange intends to engage an FBI-approved ``Channel
Partner'' \6\ to maintain and operate, on behalf of the Exchange, a
Live-Scan and/or other electronic system(s) for the submission of
fingerprints to the FBI; to receive and maintain criminal history
record information from the FBI; and to disseminate such information,
through secure systems, to a limited set of approved reviewing
officials within the Exchange and its affiliates. The Exchange believes
Rule 28 allows for the retention of a Channel Partner for these
purposes.\7\
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\5\ Live-Scan refers to the process of capturing fingerprints
directly into a digitized format as opposed to traditional ink and
paper methods. Live-Scan technology captures and transfers images to
a central location and/or interface for identification processing.
The Exchange has used Live-Scan technology for fingerprinting since
Rule 28 was approved in 2003.
\6\ FBI-approved Channel Partners receive the fingerprint
submission and relevant data, collect the associated fee(s),
electronically forward the fingerprint submission with the necessary
information to the FBI Criminal Justice Information Services
Division (``CJIS'') for a national Criminal History Summary check,
and receive the electronic summary check result for dissemination to
the authorized employer entity. See Securities Exchange Act Release
No. 71066 (December 12, 2013), 78 FR 76667 (December 18, 2013) (SR-
ISE-2013-66).
\7\ Rule 28 allows the Exchange to obtain fingerprints from
service providers, including employees of affiliates of the
Exchange. See Chicago Board Options Exchange, Incorporated
(``CBOE'') Rule 15.10; Securities Exchange Act Release No. 69496
(May 2, 2013), 78 FR 26671, 26671 (May 7, 2013) (SR-CBOE-2013-044)
(CBOE conducts fingerprint-based criminal record checks of
directors, officers and employees as well as, without limitation,
``temporary personnel, independent contractors, consultants, vendors
and service providers . . . who have or are anticipated to have
access to facilities and records.'').
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The foregoing interpretation is consistent with the Exchange's
authority under Section 17(f)(2) of the Act, as amended by the Dodd-
Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-
Frank Act''),\8\ which requires, inter alia, that employees of
exchanges be fingerprinted and that exchanges ``shall submit such
fingerprints, or cause the same to be submitted, to the Attorney
General of the United States for identification and appropriate
processing.'' The Exchange further notes that the proposed
interpretation is consistent with the rules and procedures at other
self-regulatory organizations (``SROs'').\9\
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\8\ See 15 U.S.C. 17(f)(2) [sic]; Dodd-Frank Act Sect. 929S.
\9\ See International Securities Exchange (``ISE'') Rule 1408;
Chicago Board Options Exchange (``CBOE'') Rule 15.10. See generally
Securities Exchange Act Release No. 71066 (December 12, 2013), 78 FR
76667, 76668 n. 12 (December 18, 2013) (SR-ISE-2013-66) (noting that
``[a]n FBI-approved Channel Partner simply helps expedite the
delivery of Criminal History Summary information on behalf of the
FBI'', and that the ``process for making a request through an FBI-
approved Channel Partner is consistent with FBI submission
procedures'').
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The Exchange accordingly believes that under Rule 28 and applicable
statutes, the Exchange has the authority to engage an FBI-approved
Channel Partner for some or all of the fingerprinting processes
described in the Rule. The Exchange believes that this proposed
interpretation would ensure the Exchange's continued compliance with
its Rules and applicable state and federal law.\10\
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\10\ Access to the FBI's fingerprint-based database of criminal
records is permitted only when authorized by law. Section 17(f)(2)
of the Act explicitly directs the Attorney General to provide SROs
designated by the Commission (e.g., the Exchange) with access to
such criminal history record information. Further, as amended by the
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,
Section 17(f)(2) specifically requires, inter alia, that employees
of national securities exchanges be fingerprinted. New York's
General Business Law also requires SROs to fingerprint employees
``as a condition of employment,'' as well as certain non-employee
service providers. N.Y. Gen. Bus. Law Sec. 359-e (McKinney).
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2. Statutory Basis
The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\11\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\12\ in particular, because it
is designed to prevent fraudulent and manipulative acts and practices,
promote just and equitable principles of trade, remove impediments to
and perfect the mechanism of a free and open market and a national
market system, and protect investors and the public interest. The
Exchange believes that the proposed stated interpretation would enable
the Exchange to continue to identify and exclude persons with felony or
misdemeanor conviction

[[Page 71870]]

records that may pose a threat to the safety of Exchange personnel or
the security of facilities and records, thereby enhancing business
continuity, workplace safety and the security of the Exchange's
operations and helping to protect investors and the public interest.
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\11\ 15 U.S.C. 78f(b).
\12\ 15 U.S.C. 78f(b)(5).
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Continuing to run fingerprint-based background checks is imperative
for the Exchange and its affiliates, as this process helps to identify
persons with criminal history records who may pose a threat to the
safety of Exchange personnel and/or the security of Exchange facilities
and records. This identification and screening process thus enhances
business continuity, workplace safety, and the security of the
Exchange's operations. The use of an FBI-approved Channel Partner in
some or all phases of this process is consistent with Rule 28 and
applicable state and federal law, and in furtherance of the important
objectives described herein. Additionally, the use of a Channel Partner
is consistent with the fingerprinting method currently employed by
other SROs.\13\ For all these reasons, the proposal is also designed to
protect investors as well as the public interest.
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\13\ See note 9, supra.
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B. Self-Regulatory Organization's Statement on Burden on Competition

The Exchange does not believe that the proposed rule change would
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed rule change
would enhance the security of the Exchange's facilities and records
without adding any burden on market participants and allow the Exchange
continued compliance with its fingerprinting rules and with Section
17(f)(2) of the Act as amended by the Dodd-Frank Act.\14\
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\14\ See Section 929S of the Dodd-Frank Act.
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C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

No written comments were solicited or received with respect to the
proposed rule change.

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

The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \15\ and Rule 19b-4(f)(1) \16\ thereunder. The
proposed rule change effects a change that constitutes a stated policy,
practice or interpretation with respect to the meaning, administration,
or enforcement of an existing rule.
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\15\ 15 U.S.C. 78s(b)(3)(A).
\16\ 17 CFR 240.19b-4(f)(6).
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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 necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission will institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.

IV. Solicitation of Comments

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

Electronic 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-NYSE-2015-45 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-NYSE-2015-45. 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 10 a.m. and 3
p.m. Copies of the filing will also be available for inspection and
copying at the NYSE's principal office and on its Internet Web site at
www.nyse.com. 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-
NYSE-2015-45 and should be submitted on or before December 8, 2015.
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\17\ 17 CFR 200.30-3(a)(12).

For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-29228 Filed 11-16-15; 8:45 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 80, No. 221 / Tuesday, November 17, 2015 / Notices 71869

2015, New York Stock Exchange LLC the United States or his or her designee 2010 (‘‘Dodd-Frank Act’’),8 which
(‘‘NYSE’’ or the ‘‘Exchange’’) filed with (‘‘Attorney General’’) for identification requires, inter alia, that employees of
the Securities and Exchange and processing; and receive criminal exchanges be fingerprinted and that
Commission (the ‘‘Commission’’) the history record information from the exchanges ‘‘shall submit such
proposed rule change as described in Attorney General for evaluation and use, fingerprints, or cause the same to be
Items I and II below, which Items have in accordance with applicable law, in submitted, to the Attorney General of
been prepared by the self-regulatory enhancing the security of the facilities, the United States for identification and
organization. The Commission is systems, data, and/or records of the appropriate processing.’’ The Exchange
publishing this notice to solicit Exchange and its principal subsidiaries. further notes that the proposed
comments on the proposed rule change The Exchange utilizes a Live-Scan 5 interpretation is consistent with the
from interested persons. electronic system to capture and rules and procedures at other self-
transmit fingerprints directly to the regulatory organizations (‘‘SROs’’).9
I. Self-Regulatory Organization’s The Exchange accordingly believes
Statement of the Terms of Substance of Federal Bureau of Investigation (‘‘FBI’’),
which maintains on behalf of the that under Rule 28 and applicable
the Proposed Rule Change statutes, the Exchange has the authority
Attorney General a database of
The Exchange proposes to constitute to engage an FBI-approved Channel
fingerprint-based criminal history
a stated interpretation with respect to Partner for some or all of the
records. The capture and transmittal
the meaning, administration, and fingerprinting processes described in
function, and corresponding receipt of
enforcement of Rule 28. The proposed the Rule. The Exchange believes that
criminal history information from the
rule change is available on the this proposed interpretation would
FBI, is handled directly by Exchange
Exchange’s Web site at www.nyse.com, ensure the Exchange’s continued
personnel. The Exchange intends to
at the principal office of the Exchange, compliance with its Rules and
engage an FBI-approved ‘‘Channel
and at the Commission’s Public applicable state and federal law.10
Partner’’ 6 to maintain and operate, on
Reference Room.
behalf of the Exchange, a Live-Scan and/ 2. Statutory Basis
II. Self-Regulatory Organization’s or other electronic system(s) for the The Exchange believes that the
Statement of the Purpose of, and submission of fingerprints to the FBI; to proposed rule change is consistent with
Statutory Basis for, the Proposed Rule receive and maintain criminal history Section 6(b) of the Act,11 in general, and
Change record information from the FBI; and to furthers the objectives of Section 6(b)(5)
In its filing with the Commission, the disseminate such information, through of the Act,12 in particular, because it is
self-regulatory organization included secure systems, to a limited set of designed to prevent fraudulent and
statements concerning the purpose of, approved reviewing officials within the manipulative acts and practices,
and basis for, the proposed rule change Exchange and its affiliates. The promote just and equitable principles of
and discussed any comments it received Exchange believes Rule 28 allows for trade, remove impediments to and
on the proposed rule change. The text the retention of a Channel Partner for perfect the mechanism of a free and
of those statements may be examined at these purposes.7 open market and a national market
the places specified in Item IV below. The foregoing interpretation is system, and protect investors and the
The Exchange has prepared summaries, consistent with the Exchange’s authority public interest. The Exchange believes
set forth in sections A, B, and C below, under Section 17(f)(2) of the Act, as that the proposed stated interpretation
of the most significant parts of such amended by the Dodd-Frank Wall Street would enable the Exchange to continue
statements. Reform and Consumer Protection Act of to identify and exclude persons with
felony or misdemeanor conviction
A. Self-Regulatory Organization’s 5 Live-Scan refers to the process of capturing
Statement of the Purpose of, and the fingerprints directly into a digitized format as 8 See 15 U.S.C. 17(f)(2) [sic]; Dodd-Frank Act Sect.
Statutory Basis for, the Proposed Rule opposed to traditional ink and paper methods. Live- 929S.
Change Scan technology captures and transfers images to a 9 See International Securities Exchange (‘‘ISE’’)
central location and/or interface for identification Rule 1408; Chicago Board Options Exchange
1. Purpose processing. The Exchange has used Live-Scan (‘‘CBOE’’) Rule 15.10. See generally Securities
technology for fingerprinting since Rule 28 was Exchange Act Release No. 71066 (December 12,
The Exchange proposes a rule change approved in 2003. 2013), 78 FR 76667, 76668 n. 12 (December 18,
that constitutes a stated interpretation 6 FBI-approved Channel Partners receive the 2013) (SR–ISE–2013–66) (noting that ‘‘[a]n FBI-
with respect to the meaning, fingerprint submission and relevant data, collect the approved Channel Partner simply helps expedite
administration, and enforcement of Rule associated fee(s), electronically forward the the delivery of Criminal History Summary
fingerprint submission with the necessary information on behalf of the FBI’’, and that the
28 (‘‘Rule 28’’). The Exchange is not information to the FBI Criminal Justice Information ‘‘process for making a request through an FBI-
proposing any changes to the text of the Services Division (‘‘CJIS’’) for a national Criminal approved Channel Partner is consistent with FBI
current version of Rule 28. History Summary check, and receive the electronic submission procedures’’).
Approved in 2003,4 Rule 28 describes summary check result for dissemination to the 10 Access to the FBI’s fingerprint-based database

authorized employer entity. See Securities of criminal records is permitted only when
and provides the basis for the Exchange Act Release No. 71066 (December 12, authorized by law. Section 17(f)(2) of the Act
Exchange’s practice of conducting 2013), 78 FR 76667 (December 18, 2013) (SR–ISE– explicitly directs the Attorney General to provide
fingerprint-based criminal record 2013–66). SROs designated by the Commission (e.g., the
checks. The Rule permits the Exchange 7 Rule 28 allows the Exchange to obtain Exchange) with access to such criminal history
fingerprints from service providers, including record information. Further, as amended by the
to obtain fingerprints of prospective and Dodd-Frank Wall Street Reform and Consumer
employees of affiliates of the Exchange. See Chicago
current employees, temporary Board Options Exchange, Incorporated (‘‘CBOE’’) Protection Act of 2010, Section 17(f)(2) specifically
mstockstill on DSK4VPTVN1PROD with NOTICES

personnel, independent contractors and Rule 15.10; Securities Exchange Act Release No. requires, inter alia, that employees of national
service providers of the Exchange and 69496 (May 2, 2013), 78 FR 26671, 26671 (May 7, securities exchanges be fingerprinted. New York’s
2013) (SR–CBOE–2013–044) (CBOE conducts General Business Law also requires SROs to
its principal subsidiaries; submit those fingerprint employees ‘‘as a condition of
fingerprint-based criminal record checks of
fingerprints to the Attorney General of directors, officers and employees as well as, employment,’’ as well as certain non-employee
without limitation, ‘‘temporary personnel, service providers. N.Y. Gen. Bus. Law § 359-e
4 See Securities Exchange Act Release No. 4811 independent contractors, consultants, vendors and (McKinney).
11 15 U.S.C. 78f(b).
(July 1, 2003), 68 FR 41033 (July 9, 2003) (SR– service providers . . . who have or are anticipated
NYSE–2003–18). to have access to facilities and records.’’). 12 15 U.S.C. 78f(b)(5).

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71870 Federal Register / Vol. 80, No. 221 / Tuesday, November 17, 2015 / Notices

records that may pose a threat to the policy, practice or interpretation with Internet Web site at www.nyse.com. All
safety of Exchange personnel or the respect to the meaning, administration, comments received will be posted
security of facilities and records, or enforcement of an existing rule. without change; the Commission does
thereby enhancing business continuity, At any time within 60 days of the not edit personal identifying
workplace safety and the security of the filing of the proposed rule change, the information from submissions. You
Exchange’s operations and helping to Commission summarily may should submit only information that
protect investors and the public interest. temporarily suspend such rule change if you wish to make available publicly. All
Continuing to run fingerprint-based it appears to the Commission that such submissions should refer to File
background checks is imperative for the action is necessary or appropriate in the Number SR–NYSE–2015–45 and should
Exchange and its affiliates, as this public interest, for the protection of be submitted on or before December 8,
process helps to identify persons with investors, or otherwise in furtherance of 2015.
criminal history records who may pose the purposes of the Act. If the
For the Commission, by the Division of
a threat to the safety of Exchange Commission takes such action, the Trading and Markets, pursuant to delegated
personnel and/or the security of Commission will institute proceedings authority.17
Exchange facilities and records. This to determine whether the proposed rule Robert W. Errett,
identification and screening process change should be approved or
Deputy Secretary.
thus enhances business continuity, disapproved.
[FR Doc. 2015–29228 Filed 11–16–15; 8:45 am]
workplace safety, and the security of the IV. Solicitation of Comments BILLING CODE 8011–01–P
Exchange’s operations. The use of an
FBI-approved Channel Partner in some Interested persons are invited to
or all phases of this process is consistent submit written data, views, and
arguments concerning the foregoing, SECURITIES AND EXCHANGE
with Rule 28 and applicable state and COMMISSION
federal law, and in furtherance of the including whether the proposed rule
important objectives described herein. change is consistent with the Act.
Comments may be submitted by any of Sunshine Act Meeting
Additionally, the use of a Channel
Partner is consistent with the the following methods: Notice is hereby given, pursuant to
fingerprinting method currently Electronic Comments the provisions of the Government in the
employed by other SROs.13 For all these Sunshine Act, Public Law 94–409, that
• Use the Commission’s Internet
reasons, the proposal is also designed to the Securities and Exchange
comment form (http://www.sec.gov/
protect investors as well as the public Commission will hold a Closed Meeting
rules/sro.shtml); or
interest. • Send an email to rule-comments@ on Thursday, November 19, 2015 at 4
sec.gov. Please include File Number SR– p.m.
B. Self-Regulatory Organization’s
NYSE–2015–45 on the subject line. Commissioners, Counsel to the
Statement on Burden on Competition
Commissioners, the Secretary to the
The Exchange does not believe that Paper Comments Commission, and recording secretaries
the proposed rule change would impose • Send paper comments in triplicate will attend the Closed Meeting. Certain
any burden on competition that is not to Brent J. Fields, Secretary, Securities staff members who have an interest in
necessary or appropriate in furtherance and Exchange Commission, 100 F Street the matters also may be present.
of the purposes of the Act. The NE., Washington, DC 20549–1090. The General Counsel of the
proposed rule change would enhance All submissions should refer to File Commission, or her designee, has
the security of the Exchange’s facilities Number SR–NYSE–2015–45. This file certified that, in her opinion, one or
and records without adding any burden number should be included on the more of the exemptions set forth in 5
on market participants and allow the subject line if email is used. To help the U.S.C. 552b(c)(3), (5), (7), 9(B) and (10)
Exchange continued compliance with Commission process and review your and 17 CFR 200.402(a)(3), (5), (7), 9(ii)
its fingerprinting rules and with Section comments more efficiently, please use and (10), permit consideration of the
17(f)(2) of the Act as amended by the only one method. The Commission will scheduled matter at the Closed Meeting.
Dodd-Frank Act.14 post all comments on the Commission’s Commissioner Stein, as duty officer,
C. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ voted to consider the items listed for the
Statement on Comments on the rules/sro.shtml). Copies of the Closed Meeting in closed session.
Proposed Rule Change Received From submission, all subsequent The subject matter of the Closed
Members, Participants, or Others amendments, all written statements Meeting will be:
with respect to the proposed rule Institution and settlement of
No written comments were solicited
change that are filed with the injunctive actions;
or received with respect to the proposed
Commission, and all written
rule change. Institution and settlement of
communications relating to the
administrative proceedings; and
III. Date of Effectiveness of the proposed rule change between the
Proposed Rule Change and Timing for Commission and any person, other than Other matters relating to enforcement
Commission Action those that may be withheld from the proceedings.
public in accordance with the At times, changes in Commission
The foregoing rule change has become priorities require alterations in the
effective pursuant to Section 19(b)(3)(A) provisions of 5 U.S.C. 552, will be
scheduling of meeting items.
mstockstill on DSK4VPTVN1PROD with NOTICES

of the Act 15 and Rule 19b–4(f)(1) 16 available for Web site viewing and
thereunder. The proposed rule change printing in the Commission’s Public For further information and to
effects a change that constitutes a stated Reference Room, 100 F Street NE., ascertain what, if any, matters have been
Washington, DC 20549 on official added, deleted or postponed, please
13 See note 9, supra. business days between 10 a.m. and 3 contact the Office of the Secretary at
14 See Section 929S of the Dodd-Frank Act. p.m. Copies of the filing will also be (202) 551–5400.
15 15 U.S.C. 78s(b)(3)(A). available for inspection and copying at
16 17 CFR 240.19b–4(f)(6). the NYSE’s principal office and on its 17 17 CFR 200.30–3(a)(12).

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Document Created: 2015-12-14 14:00:04
Document Modified: 2015-12-14 14:00:04

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 71868